SEC Region Name|Organization CRD #|SEC #|Primary Business Name|Legal Name|Main Street Address 1|Main Street Address 2|Main Office City, State, Postal Code|Main Office Country|Mail Office Street Address 1|Mail Office Street Address 2|Mail Office City, State, Postal Code|Mail Office Country|Contact Name|Telephone Number|Legal Status|Types of Advisory Activities|Regulator Status|Effective Date|Criminal Disclosures|Regulatory Action Disclosures|Civil Judicial Disclosures|Bankruptcy Disclosures|Judgment/Lien Disclosures|Bond Payout Disclosures|
Atlanta Regional Office|    146|801-39509|ADVANTAGE CAPITAL CORPORATION|ADVANTAGE CAPITAL CORPORATION|2300 WINDY RIDGE PARKWAY,|SUITE 1100|ATLANTA GA 30339|USA|||  ||ED MCCONNELL|770-916-6500|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|11/04/1991|0|13|3|0|0|0
Atlanta Regional Office|   1668|801-35768|DORSEY & COMPANY INC.|DORSEY & COMPANY INC.|511 GRAVIER STREET||NEW ORLEANS LA 70130-2726|USA|||  ||RAYMOND A THOMPSON|504-592-3266|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|12/29/1989|0|20|0|0|0|0
Atlanta Regional Office|   2543|801-67275|WUNDERLICH SECURITIES, INC.|WUNDERLICH SECURITIES, INC.|6000 POPLAR AVENUE|SUITE 150|MEMPHIS TN 38119|USA|||  ||TRACY L WISWALL|(901) 251-1330|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|02/05/2007|0|13|1|0|0|2
Atlanta Regional Office|   2655|801-62628|V.M. MANNING & CO., INC.|V. M. MANNING & CO., INC.|211 E. WASHINGTON ST|SUITE B|GREENVILLE SC 29601|USA|||  ||NELSON B. ARRINGTON III|864-232-9576|Corporation|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|01/02/2004|0|1|0|0|0|0
Atlanta Regional Office|   3711|801-8754|WATERS, PARKERSON & CO., LLC|WATERS, PARKERSON & CO., LLC|SUITE #512|228 ST. CHARLES AVENUE|NEW ORLEANS LA 70130-2682|USA|||  ||CASAMENTO, STEPHEN J|(504) 581-2022|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|06/29/1972|0|0|0|0|0|0
Atlanta Regional Office|   3767|801-37145|WILEY BROS.-AINTREE CAPITAL, LLC|WILEY BROS.-AINTREE CAPITAL, LLC|40 BURTON HILLS BLVD.|SUITE 350|NASHVILLE TN 37215|USA|||  ||DAVID W WILEY III|615-252-6200|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|10/25/1990|0|2|0|0|0|0
Atlanta Regional Office|   4161|801-19665|MORGAN KEEGAN & COMPANY, INC.|MORGAN KEEGAN & COMPANY, INC.|50 FRONT STREET||MEMPHIS TN 38103-9880|USA|||  ||FOWLER, PAUL BRIAN|901-579-2717|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|09/09/1983|0|8|0|0|0|0
Atlanta Regional Office|   6271|801-17212|SUNTRUST ROBINSON HUMPHREY, INC.|SUNTRUST ROBINSON HUMPHREY, INC.|303 PEACHTREE STREET NE|24TH FLOOR|ATLANTA GA 30303|USA|303 PEACHTREE STREET NE|24TH FLOOR|ATLANTA GA 30308|USA|THOMAS KICAK|404-813-0837|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|06/04/1982|0|19|0|0|0|0
Atlanta Regional Office|   6950|801-68820|DUNCAN-WILLIAMS, INC.|DUNCAN-WILLIAMS, INC.|6750 POPLAR AVE. SUITE 300||MEMPHIS TN 38138|USA|||  ||BRAD ZIEMBA|901-260-6886|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/13/2008|0|7|2|0|0|0
Atlanta Regional Office|   7461|801-42017|FSC SECURITIES CORPORATION|FSC SECURITIES CORPORATION|2300 WINDY RIDGE PKWY, STE 1100||ATLANTA GA 30339|USA|||  ||ED MCCONNELL|770-916-6500|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|08/03/1992|0|14|3|0|0|0
Atlanta Regional Office|   7890|801-11448|ASSET PLANNING CORPORATION|ASSET PLANNING CORPORATION|234 S. PETERS RD.|SUITE 102|KNOXVILLE TN 37923|USA|||  ||PAUL K. FAIN, III|865 690-1231|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/02/1976|0|0|0|0|0|0
Atlanta Regional Office|  13787|801-47970|UVEST FINANCIAL SERVICES GROUP, INC.|UVEST FINANCIAL SERVICES GROUP, INC.|200 S. COLLEGE STREET|21ST FLOOR|CHARLOTTE NC 28202|USA|||  ||CHRISTOPHER T. ZAPPALA|704-227-4511|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|12/16/1994|0|16|0|0|0|0
Atlanta Regional Office|  14023|801-19690|SYNOVUS SECURITIES, INC.|SYNOVUS SECURITIES, INC.|1137 FIRST AVENUE - 2ND FLOOR||COLUMBUS GA 31901|USA|P.O. BOX 2628||COLUMBUS GA 31902-2628|USA|BYRNE, DONNA|706-644-0298|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|09/01/1983|0|13|1|0|0|0
Atlanta Regional Office|  15708|801-56010|INVESTMENT ADVISORS|PROEQUITIES INC|2801 HIGHWAY 280 SOUTH||BIRMINGHAM AL 35223|USA|P.O. BOX 518||BIRMINGHAM AL 35201-0518|USA|SUZETTE M. FOSTER|800-288-3035|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Market timing services|APPROVED|11/20/1998|0|5|0|0|0|0
Atlanta Regional Office|  17117|801-63070|FIRST TENNESSEE BROKERAGE, INC.|FIRST TENNESSEE BROKERAGE, INC.|530 OAK COURT DRIVE|SUITE 200|MEMPHIS TN 38117|USA|P O BOX 240655||MEMPHIS TN 38124|USA|YVON FOSTER|901-818-6066|Corporation|Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|05/17/2004|0|9|1|0|0|0
Atlanta Regional Office|  17499|801-56443|SUNTRUST INVESTMENT SERVICES, INC.|SUNTRUST INVESTMENT SERVICES, INC.|303 PEACHTREE CENTER AVENUE|SUNTRUST GARDEN OFFICES SUITE 140|ATLANTA GA 30303|USA|P. O. BOX 4418  MC 107||ATLANTA GA 30302|USA|ANN T. KIMSEY|404-724-3552|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|05/05/1999|0|25|0|0|0|0
Atlanta Regional Office|  17575|801-44465|TAYLOR SECURITIES, INC.|TAYLOR SECURITIES, INC.|100 WINNERS CIRCLE|SUITE 100|BRENTWOOD TN 37027|USA|||  ||BARBARA DAUGHERTY|615-372-1350|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|07/30/1993|0|0|0|0|0|0
Atlanta Regional Office|  17870|801-58257|NBC SECURITIES, INC.|NBC SECURITIES, INC.|1927 FIRST AVENUE NORTH||BIRMINGHAM AL 35203|USA|||  ||SCOTT WILKINS|205.583.3238|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|01/03/2001|0|1|1|0|0|0
Atlanta Regional Office|  18266|801-61265|CULLEN ASSET MANAGEMENT|CULLEN INVESTMENT GROUP, LTD.|1404 S. COLLEGE RD.||LAFAYETTE LA 70503|USA|P.O. BOX 53669||LAFAYETTE LA 70505|USA|DAVID C. BORDES|337-237-8000|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/09/2002|0|1|0|0|0|0
Atlanta Regional Office|  18836|801-68907|MID-ATLANTIC SECURITIES, INC.|MID-ATLANTIC SECURITIES, INC.|4001 BARRETT DRIVE|SUITE 100|RALEIGH NC 27609|USA|||  ||ELIZABETH POWELL|919.783.7787|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|03/19/2008|0|2|1|0|0|0
Atlanta Regional Office|  19396|801-41081|WILMINGTON TRUST INVESTMENT MANAGEMENT|WILMINGTON TRUST INVESTMENT MANAGEMENT LLC|TERMINUS 27TH FLOOR|3280 PEACHTREE ROAD NE|ATLANTA GA 30305-2448|USA|||  ||ANNA M. BENCROWSKY|(302) 651-8512|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters, Other|APPROVED|03/24/1992|0|1|0|0|0|0
Atlanta Regional Office|  25536|801-66163|AMERICAN WEALTH MANAGEMENT, INC.|AMERICAN WEALTH MANAGEMENT, INC.|1050 CROWN POINTE PARKWAY|SUITE 1230|ATLANTA GA 30338|USA|||  ||JEROME A BORZELLO|770-392-8740|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/30/2006|0|1|0|0|0|0
Atlanta Regional Office|  25700|801-65811|HARBOR FINANCIAL SERVICES, LLC|HARBOR FINANCIAL SERVICES, LLC|1555 UNIVERSITY BLVD SOUTH|SUITE B|MOBILE AL 36609|USA|||  ||STACEY LAVENDER|251-445-2428|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/13/2006|0|11|0|0|0|0
Atlanta Regional Office|  25803|801-55518|TRIAD ADVISORS, INC.|TRIAD ADVISORS, INC.|5185 PEACHTREE PARKWAY|SUITE 280|NORCROSS GA 30092|USA|||  ||COREY PUGH|888-713-8334|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|06/02/1998|0|6|0|0|0|0
Atlanta Regional Office|  38095|801-65881|WOODSTOCK FINANCIAL GROUP, INC.|WOODSTOCK FINANCIAL GROUP, INC.|117 TOWNE LAKE PARKWAY|SUITE 200|WOODSTOCK GA 30188|USA|||  ||WILLIAM J. RAIKE, III|770-516-6996|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/01/2006|0|1|0|0|0|0
Atlanta Regional Office|  39326|801-48984|CONSOLIDATED INVESTMENT ADVISORS|THE LAWRENCE D. VITEZ CORPORATION|6525 MORRISON BLVD|SUITE 108|CHARLOTTE NC 28211|USA|||  ||LAWRENCE D. VITEZ|704-366-0466|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|04/18/1995|0|0|0|0|0|0
Atlanta Regional Office|  40637|801-68420|HANCOCK INVESTMENT SERVICES, INC.|HANCOCK INVESTMENT SERVICES, INC.|2600 CITIPLACE DRIVE|SUITE 100|BATON ROUGE LA 70808|USA|||  ||KENDRA CAIN|(225) 248-7109|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|10/24/2007|0|0|0|0|0|0
Atlanta Regional Office|  41123|801-57603|LANDOAK SECURITIES, LLC|LANDOAK SECURITIES, LLC|10267 KINGSTON PIKE||KNOXVILLE TN 37922|USA|||  ||CHARLES C. MATTHEWS|865-531-0000|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|06/06/2000|0|2|1|0|0|0
Atlanta Regional Office|  41527|801-66730|VERITY INVESTMENTS, INC.|VERITY INVESTMENTS, INC.|3100 TOWER BOULEVARD|SUITE 808|DURHAM NC 27707|USA|||  ||GORDON T. WEGWART|919-490-6717|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|05/26/2006|0|0|0|0|0|0
Atlanta Regional Office|  44430|801-57302|FIRST CITIZENS INVESTOR SERVICES, INC.|FIRST CITIZENS INVESTOR SERVICES, INC.|4300 SIX FORKS ROAD||RALEIGH NC 27609|USA|||  ||LAWRENCE LOWMAN|919-716-2492|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/22/2000|0|0|0|0|0|0
Atlanta Regional Office|  46035|801-68315|SYNERGY INVESTMENT GROUP, LLC|SYNERGY INVESTMENT GROUP, LLC|8320 UNIVERSITY EXECUTIVE PARK DR.|SUITE 112|CHARLOTTE NC 28262|USA|||  ||BURTON MEDLIN|704-333-7637|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Market timing services|APPROVED|10/24/2007|0|4|0|0|0|0
Atlanta Regional Office|  46259|801-57922|BANCORPSOUTH INVESTMENT SERVICES, INC.|BANCORPSOUTH INVESTMENT SERVICES, INC.|525 EAST CAPITAL STREET||JACKSON MS 39201|USA|||  ||MARCIA C. WALKER|6015924921|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|10/03/2000|0|0|0|0|0|0
Atlanta Regional Office|  47079|801-67877|RELIANCE SECURITIES, LLC|RELIANCE SECURITIES, LLC|1100 ABERNATHY RD, 500 NORTHPARK|SUITE 400|ATLANTA GA 30328|USA|||  ||THEODORE I BOWDEN|404-965-7286|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/21/2007|0|0|0|0|0|0
Atlanta Regional Office|  47502|801-63052|G.L. SMITH & ASSOCIATES|G.L.S. & ASSOCIATES, INC.|200 CLINTON AVENUE|SUITE 707|HUNTSVILLE AL 35801|USA|||  ||SHARON CLOWDUS|256-539-4805|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers, Market timing services|APPROVED|05/10/2004|0|0|0|0|0|0
Atlanta Regional Office|  47529|801-63043|OPTSECURITIES, LLC|OPTSECURITIES, LLC|200 S. COLLEGE STREET|16TH FLOOR|CHARLOTTE NC 28202|USA|||  ||RICHARD D. EHRHART|704-731-5964|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/28/2004|0|0|0|0|0|0
Atlanta Regional Office|  47893|801-56741|THOROUGHBRED FINANCIAL SERVICES, LLC|THOROUGHBRED FINANCIAL SERVICES, LLC|5110 MARYLAND WAY, SUITE 300||BRENTWOOD TN 37027-7508|USA|||  ||MARK MICCIOLI|615-371-0001|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|08/13/1999|1|1|1|0|0|0
Atlanta Regional Office| 104039|801-57718|TRIANGLE SECURITIES, LLC|TRIANGLE SECURITIES, LLC|1301 ANNAPOLIS DRIVE||RALEIGH NC 27608|USA|||  ||CATHY L. THOMAS|919-838-3224|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/07/2000|0|0|0|0|0|0
Atlanta Regional Office| 104379|801-60158|CAROLINAS INVESTMENT CONSULTING LLC|CAROLINAS INVESTMENT CONSULTING LLC|5605 CARNEGIE BOULEVARD|SUITE 400|CHARLOTTE NC 28209|USA|||  ||GEORGE H EDMISTON JR|704-643-2455|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/17/2001|0|0|0|0|0|0
Atlanta Regional Office| 104537|801-63748|H. S. DREHER CAPITAL MANAGEMENT LLC|H. S. DREHER CAPITAL MANAGEMENT LLC|275 SE BROAD STREET||SOUTHERN PINES NC 28387|USA|||  ||DREHER, HENRY S.|910 692-4330|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/03/2005|0|0|0|0|0|0
Atlanta Regional Office| 104545|801-37240|G. W. HENSSLER & ASSOCIATES, LTD|G. W. HENSSLER & ASSOCIATES, LTD|3735 CHEROKEE STREET||KENNESAW GA 30144|USA|||  ||CHRISTOPHER E. REEVES|770-429-9166|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|08/24/1990|0|0|0|0|0|0
Atlanta Regional Office| 104591|801-20824|CAPITAL INVESTMENT COUNSEL INC|CAPITAL INVESTMENT COUNSEL INC|17 GLENWOOD AVENUE||RALEIGH NC 27603|USA|P.O. BOX 32249||RALEIGH NC 27622||RONALD L. KING|(919) 831-2370|Corporation|Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|03/20/1984|0|0|0|0|0|0
Atlanta Regional Office| 104605|801-18423|RONALD BLUE & CO. LLC|RONALD BLUE & CO LLC|1100 JOHSON FERRY RD|SUITE 800|ATLANTA GA 30342|USA|||  ||RATLEDGE, VIKKI|404-267-2461|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|03/04/1983|0|6|0|0|0|0
Atlanta Regional Office| 104612|801-25887|GRAHAM BORDELON & CO INC|GRAHAM BORDELON & CO INC|2401 TOWER DRIVE||MONROE LA 71201|USA|||  ||BORDELON, RICHARD E|318-322-7157|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|12/05/1985|0|0|0|0|0|0
Atlanta Regional Office| 104628|801-17567|SMITH BREEDEN ASSOCIATES INC|SMITH BREEDEN ASSOCIATES INC|280 SOUTH MANGUM STREET|SUITE 301|DURHAM NC 27701|USA|||  ||MARIANNE O'DOHERTY|919-967-7221|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|09/17/1982|0|1|0|0|0|0
Atlanta Regional Office| 104664|801-31650|WELCH HORNSBY & WELCH, INC|WELCH HORNSBY & WELCH, INC|3500 EASTERN BOULEVARD, SUITE 350||MONTGOMERY AL 36116|USA|P.O. BOX 235018||MONTGOMERY AL 36123-5018|USA|CLARK, JESSE HARVEY|334-272-1192|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|03/14/1988|0|0|0|0|0|0
Atlanta Regional Office| 104715|801-29419|ASSET PLANNING SERVICES INC|ASSET PLANNING SERVICES INC|509 W. 21ST AVENUE||COVINGTON LA 70433|USA|||  ||DUET, KEITH PAUL|985-867-8679|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|05/14/1987|0|0|0|0|0|0
Atlanta Regional Office| 104731|801-9822|THE FIDUCIARY GROUP|FIDUCIARY SERVICES CORPORATION|310 COMMERCIAL DRIVE||SAVANNAH GA 31406|USA|P O BOX 13688||SAVANNAH GA 31416-0688|USA|BUTLER, JULIA|912-447-6870|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/10/1974|0|0|0|0|0|0
Atlanta Regional Office| 104739|801-31621|ASSET ADVISORS CORPORATION|ASSET ADVISORS CORPORATION|2814 HILLCREEK DRIVE|SUITE A|AUGUSTA GA 30909-5635|USA|||  ||KEVIN M WILSON|706-650-9900|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|01/01/1988|0|0|0|0|0|0
Atlanta Regional Office| 104745|801-15926|ARCHIE GRAY ALLEN, JR.|ALLEN ARCHIE GRAY JR|747 SUMMIT STREET||WINSTON SALEM NC 27101|USA|POST OFFICE BOX 394||PFAFFTOWN NC 27040|USA|ALLEN, ARCHIE GRAY|(336) 723-1640|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|03/25/1981|0|0|0|0|0|0
Atlanta Regional Office| 104780|801-14853|FIRST CITY CAPITAL MANAGEMENT INC|FIRST CITY CAPITAL MANAGEMENT INC|136 HABERSHAM ST||SAVANNAH GA 31401|USA|PO BOX 8375||SAVANNAH GA 31412-8375|UNITED STATES|GAY, EDGAR L.T.|912-233-5492|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|10/11/1979|0|0|0|0|0|0
Atlanta Regional Office| 104805|801-14640|COEN & DENSMORE INC|COEN & DENSMORE INC|109 1/2 CHURCH ST||CHARLESTON SC 29401|USA|P.O. BOX 727||CHARLESTON SC 29402|USA|COEN, RICHARD E|843-577-7783|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/01/1979|0|0|0|0|0|0
Atlanta Regional Office| 104830|801-35841|AULL & MONROE|AULL & MONROE INVESTMENT MANAGEMENT CORP|3605 SPRINGHILL BUSINESS PARK SUITE A||MOBILE AL 36608|USA|||  ||THUSS, JAMIE LYNN|(251) 342-3339|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|02/16/1990|0|0|0|0|0|0
Atlanta Regional Office| 104840|801-13200|BOYS ARNOLD & CO. INC.|BOYS ARNOLD & CO. INC.|1272 HENDERSONVILLE RD||ASHEVILLE NC 28803|USA|P.O.  BOX 5255||ASHEVILLE NC 28813|USA|COCKE, STANLEY H|(828)274-1542|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|08/19/1977|0|0|0|0|0|0
Atlanta Regional Office| 104841|801-15398|MONTAG & CALDWELL INC|MONTAG & CALDWELL INC|3455 PEACHTREE RD NE STE 1200||ATLANTA GA 30326-3248|USA|||  ||KEISTER, REBECCA M|404-836-7141|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/02/1980|0|1|0|0|0|0
Atlanta Regional Office| 104842|801-8762|HIGHLAND CAPITAL MANAGEMENT CORP|HIGHLAND CAPITAL MANAGEMENT CORP|6077 PRIMACY PKWY|SUITE 228|MEMPHIS TN 38119|USA|||  ||SPIVEY, DENISE MARIE|901-328-1272|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/21/1972|0|1|0|0|0|0
Atlanta Regional Office| 104855|801-14487|SALEM INVESTMENT COUNSELORS INC|SALEM INVESTMENT COUNSELORS INC|480 SHEPHERD STREET||WINSTON SALEM NC 27103|USA|||  ||GEORGE G. KEENER, IV|336-768-7230|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/02/1979|0|0|0|0|0|0
Atlanta Regional Office| 104887|801-21203|SELECT GROUP INC|SELECT GROUP INC|105 BREAKWATER COURT||MOORESVILLE NC 28117|USA|1415 SOUTH VOSS RD|SUITE 110-137|HOUSTON TX 77057-2611|USA|SORCIC, JOHN A|713-984-8341|Corporation|Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|05/02/1984|0|0|0|0|0|0
Atlanta Regional Office| 104919|801-16359|PARSEC FINANCIAL MANAGEMENT, INC|PARSEC FINANCIAL MANAGEMENT INC|6 WALL ST||ASHEVILLE NC 28801|USA|P.O. BOX 2324||ASHEVILLE NC 28802|USA|BARBARA GRAY|828-255-0271|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|09/14/1981|0|1|0|0|0|0
Atlanta Regional Office| 104930|801-24747|COLONY CAPITAL MANAGEMENT INC|COLONY CAPITAL MANAGEMENT INC|3060 PEACHTREE RD NW, STE 1550||ATLANTA GA 30305|USA|||  ||SLATON, THOMAS MARION|404-365-5050|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/23/1985|0|0|0|0|0|0
Atlanta Regional Office| 104948|801-30248|HIGHLAND ASSOCIATES INC|HIGHLAND ASSOCIATES INC|2545 HIGHLAND AVENUE|SUITE 200|BIRMINGHAM AL 35205|USA|||  ||LAWSON, JOYCE K|205-939-8314|Corporation|Financial planning services, Pension consulting services, Selection of other advisers|APPROVED|08/21/1987|0|1|0|0|0|0
Atlanta Regional Office| 104985|801-14185|PIEDMONT CAPITAL MANAGEMNET ASSOCIATES INC|PIEDMONT CAPITAL MANAGEMENT ASSOCIATES INC|204 GLENROY COURT||FLAT ROCK NC 28731-9561|USA|P.O. BOX 1328||FLAT ROCK NC 28731-9561|HENDERSON|MARGUERITE R. MCCORD|828-693-0499|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/24/1978|0|0|0|0|0|0
Atlanta Regional Office| 105023|801-56921|SNOW INVESTMENT SERVICES CO INC|SNOW INVESTMENT SERVICES CO INC|728 SHADES CREEK PKWY|SUITE 130|BIRMINGHAM AL 35209|USA|||  ||SNOW, JIM S|205-870-1166|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|10/20/1999|0|0|0|0|0|0
Atlanta Regional Office| 105098|801-23126|WEAVER C. BARKSDALE & ASSOCIATES, INC.|WEAVER C. BARKSDALE & ASSOCIATES, INC.|ONE BURTON HILLS BLVD, SUITE 100||NASHVILLE TN 37215|USA|||  ||DEBORAH K. SLOCUM|615-724-2218|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|12/27/1984|0|0|0|0|0|0
Atlanta Regional Office| 105149|801-32407|EASTOVER CAPITAL MANAGEMENT INC|EASTOVER CAPITAL MANAGEMENT INC|4725 PIEDMONT ROW DRIVE|SUITE 450|CHARLOTTE NC 28210|USA|||  ||HOLLAND, JAYNE P|(704) 336-6818|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/08/1988|0|0|0|0|0|0
Atlanta Regional Office| 105153|801-15530|BOWEN, HANES & CO INC|BOWEN, HANES & CO INC|3290 NORTHSIDE PARKWAY|SUITE 880|ATLANTA GA 30327|USA|||  ||KELLY III, DAVID L.|404-995-0507|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/29/1980|0|0|0|0|0|0
Atlanta Regional Office| 105159|801-702|ST. DENIS J. VILLERE & CO., LLC|ST. DENIS J. VILLERE & CO., LLC|601 POYDRAS STREET, SUITE 1808||NEW ORLEANS LA 70130-6308|USA|||  ||YOUNG, GEORGE V.|504-525-0808|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/01/1940|0|0|0|0|0|0
Atlanta Regional Office| 105173|801-11310|WILLIAM J. BURTON, M.A.|BURTON WILLIAM JOE|4304 STEIN AVENUE||MOBILE AL 36608-2016|USA|P. O. BOX 8413||MOBILE AL 36689-0413|USA|BURTON, WILLIAM JOE|251-344-4785; 251-460-8500|Sole Proprietorship|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/16/1976|0|0|0|0|0|0
Atlanta Regional Office| 105189|801-14812|SHEFFIELD INVESTMENT MANAGEMENT INC|SHEFFIELD INVESTMENT MANAGEMENT INC|900 CIRCLE 75 PARKWAY|SUITE 750|ATLANTA GA 30339-3082|USA|||  ||SCOTT, CAROLINE LEE|770-953-1597|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|07/09/1979|0|0|0|0|0|0
Atlanta Regional Office| 105192|801-33511|THOMAS WRIGHT ASSET MANAGEMENT, INC.|THOMAS WRIGHT ASSET MANAGEMENT, INC.|782 JOHNNIE DODDS BLVD.|SUITE H-3|MT. PLEASANT SC 29464|USA|||  ||THOMAS S. WRIGHT|843-971-4265|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/12/1989|0|0|0|0|0|0
Atlanta Regional Office| 105267|801-29945|GREATMARK INVESTMENT PARTNERS, INC.|GREATMARK INVESTMENT PARTNERS, INC.|6001 RIVER ROAD|SUITE 300|COLUMBUS GA 31904-4556|USA|P. O. BOX 4540||COLUMBUS GA 31914-0540|USA|ADAMS, JEFFREY G|706-327-2128|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|07/06/1987|0|0|0|0|0|0
Atlanta Regional Office| 105276|801-11123|SOUTHEASTERN ASSET MANAGEMENT INC.|SOUTHEASTERN ASSET MANAGEMENT INC.|6410 POPLAR AVE., STE. 900||MEMPHIS TN 38119-4843|USA|||  ||MCCARROLL, ANDREW R.|901-761-2474|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/21/1975|0|0|1|0|0|0
Atlanta Regional Office| 105278|801-28292|PROFFITT & GOODSON INC.|PROFFITT & GOODSON INC.|4800 OLD KINGSTON PIKE, STE 200||KNOXVILLE TN 37919-6424|USA|P.O. BOX 11629||KNOXVILLE TN 37939-1629|USA|HOWARD, MIKE|865-584-1850|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/07/1986|0|0|0|0|0|0
Atlanta Regional Office| 105295|801-36415|GWYNN MANAGEMENT CO|GWYNN MANAGEMENT CO|3060 PEACHTREE RD NW|ONE BUCKHEAD PLAZA, SUITE 785|ATLANTA GA 30305-2246|USA|||  ||GWYNN, NOWLAND BENNETT|404-233-4031|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/20/1990|0|0|0|0|0|0
Atlanta Regional Office| 105301|801-27922|PRI INVESTMENTS, INC.|PRI INVESTMENTS, INC.|5900 BIG WOODS ROAD||CHAPEL HILL NC 27514|USA|PO BOX 5190||CHAPEL HILL NC 27514-5002|USA|BLASS, ANDREW|919-968-2977|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Market timing services|APPROVED|09/12/1986|0|0|0|0|0|0
Atlanta Regional Office| 105302|801-22637|SHERRILL & HUTCHINS FINANCIAL ADVISORY INC|SHERRILL & HUTCHINS FINANCIAL ADVISORY INC|200 ASHFORD CENTER NORTH|SUITE 325|ATLANTA GA 30338|USA|||  ||SHERRILL, THOMAS BECK|770-395-9797|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|11/14/1984|0|0|0|0|0|0
Atlanta Regional Office| 105312|801-28196|NCM CAPITAL MANAGEMENT GROUP INC|NCM CAPITAL MANAGEMENT GROUP INC|2634 DURHAM-CHAPEL HILL BOULEVARD|SUITE 206|DURHAM NC 27707|USA|||  ||VICTORIA TREADWELL|919-294-2001|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/18/1986|0|0|0|0|0|0
Atlanta Regional Office| 105360|801-33949|INVESCO INSTITUTIONAL (N.A.), INC.|INVESCO INSTITUTIONAL (N.A.), INC.|TWO PEACHTREE POINTE|1555 PEACHTREE STREET, N.E.|ATLANTA GA 30309|USA|||  ||TODD L. SPILLANE|713-214-1271|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/30/1988|0|2|0|0|0|0
Atlanta Regional Office| 105366|801-17451|CALDWELL & ORKIN INC|CALDWELL & ORKIN INC|5185 PEACHTREE PARKWAY|SUITE 370|NORCROSS GA 30092-6542|USA|||  ||HORNE, WILLIAM C.|678-533-7850|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/07/1982|0|0|0|0|0|0
Atlanta Regional Office| 105368|801-35332|CAMBRIDGE EQUITY ADVISORS INC|CAMBRIDGE EQUITY ADVISORS INC|5214 MARYLAND WAY, STE 309||BRENTWOOD TN 37027|USA|||  ||MAGGIE NUZUM|615-371-9002|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|10/25/1989|0|2|0|0|0|0
Atlanta Regional Office| 105414|801-11499|PATTEN AND PATTEN, INC.|PATTEN AND PATTEN, INC.|520 LOOKOUT STREET||CHATTANOOGA TN 37403-1713|USA|||  ||J. CLAY CRUMBLISS|423.756.3480|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/12/1976|0|0|0|0|0|0
Atlanta Regional Office| 105427|801-15517|CARROLL FINANCIAL ASSOCIATES INC|CARROLL FINANCIAL ASSOCIATES INC|4201 CONGRESS STREET, STE 210||CHARLOTTE NC 28209|USA|||  ||DENNIS ADAMS|704/553-8006|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/19/1980|0|0|0|0|0|0
Atlanta Regional Office| 105430|801-27181|ENTERPRISE CAPITAL MANAGEMENT, INC.|ENTERPRISE CAPITAL MANAGEMENT, INC.|3343 PEACHTREE RD. N.E., STE 450||ATLANTA GA 30326-1022|USA|||  ||JOSEPH J. PAOLO|212-314-5051|Corporation|Portfolio management for investment companies, Selection of other advisers|APPROVED|05/27/1986|0|30|0|0|0|0
Atlanta Regional Office| 105497|801-36438|KELLER INVESTMENT MANAGEMENT INC|KELLER INVESTMENT MANAGEMENT INC|1361 WANDERING RIDGE DR||CASHIERS NC 28717-3267|USA|PO BOX 3267||CASHIERS NC 28717-3267|USA|KELLER, RONALD|828-743-9929|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|05/17/1990|0|0|0|0|0|0
Atlanta Regional Office| 105518|801-31672|MARSHWINDS ADVISORY CO|MARSHWINDS ADVISORY COMPANY|300 MAIN STREET, STE 401||ST SIMONS ISLAND GA 31522|USA|P. O. BOX 21099||ST. SIMONS ISLAND GA 31522|USA|KELLY, EUGENE ALOYSIUS|912-638-5426|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|03/18/1988|0|0|0|0|0|0
Atlanta Regional Office| 105524|801-29263|EADS & HEALD INVESTMENT COUNSEL|R. STEWART EADS INVESTMENT COUNSEL, INC.|2100 RIVEREDGE PKWY N.W. STE 760||ATLANTA GA 30328|USA|||  ||MCBRIDE, DAVID G.|(770) 988-9556|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/30/1987|0|0|0|0|0|0
Atlanta Regional Office| 105527|801-33204|INVESTMENT PERFORMANCE SERVICES LLC|INVESTMENT PERFORMANCE SERVICES LLC|7402 HODGSON MEMORIAL DRIVE, STE 100||SAVANNAH GA 31406|USA|||  ||JOHN F. WHITMORE|912-352-2862|Limited Liability Company|Pension consulting services, Selection of other advisers|APPROVED|11/03/1988|0|0|0|0|0|0
Atlanta Regional Office| 105581|801-34275|SHAPIRO CAPITAL MANAGEMENT LLC|SHAPIRO CAPITAL MANAGEMENT LLC|3060 PEACHTREE RD NW|STE 1555|ATLANTA GA 30305|USA|||  ||LOUIS S. SHAPIRO|404-842-9600|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/21/1989|0|0|0|0|0|0
Atlanta Regional Office| 105582|801-18286|SOUTHERN CAPITAL SERVICES INC|SOUTHERN CAPITAL SERVICES INC|THE SUMMIT 29000 HWY 98|BLDG B SUITE 203|DAPHNE AL 36526|USA|||  ||NAGER, TERRY E.|251-626-1140|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|01/31/1983|0|0|0|0|0|0
Atlanta Regional Office| 105592|801-56489|MCKINNEY ASSET MANAGEMENT INC.|MCKINNEY ASSET MANAGEMENT INC.|224 COLONIAL HEIGHTS ROAD||KINGSPORT TN 37663||||  ||MCKINNEY, JOHN E|404-567-5026|Corporation|Portfolio management for individuals and/or small businesses, Pension consulting services, Publication of periodicals or newsletters|APPROVED|04/30/1999|0|0|0|0|0|0
Atlanta Regional Office| 105612|801-26787|C&O FUNDS ADVISOR INC|C&O FUNDS ADVISOR INC|5185 PEACHTREE PARKWAY|SUITE 370|NORCROSS GA 30092-6542|USA|||  ||HORNE, WILLIAM C|678-533-7850|Corporation|Portfolio management for investment companies|APPROVED|04/24/1986|0|0|0|0|0|0
Atlanta Regional Office| 105615|801-22086|BELL CAPITAL MANAGEMENT INC|BELL CAPITAL MANAGEMENT INC|200 GALLERIA PKWY|STE 1880|ATLANTA GA 30339|USA|||  ||MARK S. PALMER|770-952-7039|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/24/1984|0|1|0|0|0|0
Atlanta Regional Office| 105617|801-32424|CREATIVE FINANCIAL GROUP LTD|CREATIVE FINANCIAL GROUP LTD|1000 ABERNATHY ROAD|BLDG 400, SUITE 1500|ATLANTA GA 30328|USA|||  ||JONATHAN KAUFMAN|770-913-9704|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|07/11/1988|0|0|0|0|0|0
Atlanta Regional Office| 105694|801-16379|PORTFOLIO CAPITAL MANAGEMENT INC|PORTFOLIO CAPITAL MANAGEMENT INC|5950 FAIRVIEW RD|STE 610|CHARLOTTE NC 28210|USA|||  ||DURICA, MARC J|704-552-0073|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/10/1981|0|0|0|0|0|0
Atlanta Regional Office| 105710|801-31437|SHEETS SMITH WEALTH MANAGEMENT|SHEETS SMITH WEALTH MANAGEMENT|120 CLUB OAKS COURT|SUITE 200|WINSTON SALEM NC 27104-4680|USA|||  ||ANTHONY, PAUL T|336-765-2020|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/12/1988|0|0|0|0|0|0
Atlanta Regional Office| 105716|801-26708|BROOKS, MOORE & ASSOCIATES, INC.|BROOKS, MOORE & ASSOCIATES, INC.|JAMES BLDG STE 306|735 BROAD ST|CHATTANOOGA TN 37402|USA|||  ||CALLAHAN, DEBBIE U.|423-756-8628|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/10/1986|0|0|0|0|0|0
Atlanta Regional Office| 105741|801-31093|ALDEBARAN FINANCIAL INC|ALDEBARAN FINANCIAL INC|4105 FORT HENRY DRIVE|SUITE 305|KINGSPORT TN 37663|USA|||  ||RABER, DONALD ROBERT|(423)239-7535|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|12/04/1987|0|0|0|0|0|0
Atlanta Regional Office| 105743|801-29159|CCM INVESTMENT ADVISERS, LLC|CCM INVESTMENT ADVISERS, LLC|1201 MAIN STREET SUITE 1910||COLUMBIA SC 29201|USA|||  ||CARY, FOWLER W. JR.|803-254-9500|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/03/1987|0|0|0|0|0|0
Atlanta Regional Office| 105746|801-26693|WADDELL & ASSOCIATES INC|WADDELL & ASSOCIATES INC|5188 WHEELIS DRIVE||MEMPHIS TN 38117|USA|||  ||WILLIAMS, KATHY S|901-767-9187|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|04/07/1986|0|0|0|0|0|0
Atlanta Regional Office| 105756|801-17671|MONTAG A & ASSOCIATES INC|MONTAG A & ASSOCIATES INC|133 PEACHTREE STREET|2500 GEORGIA PACIFIC CENTER|ATLANTA GA 30303|USA|||  ||EDWARD A. MONTAG|404-522-5774|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|09/13/1982|0|0|0|0|0|0
Atlanta Regional Office| 105825|801-68020|ALPHASTREAM PORTFOLIOS, INC.|ALPHASTREAM PORTFOLIOS, INC.|2625 CUMBERLAND PARKWAY|SUITE 220|ATLANTA GA 30339-3911|USA|||  ||MCWILLIAMS, ROBERT S|678-370-0822|Corporation|Portfolio management for investment companies|APPROVED|06/14/2007|0|0|0|0|0|0
Atlanta Regional Office| 105829|801-11563|LESESNE CAPITAL MANAGEMENT INC|LESESNE CAPITAL MANAGEMENT INC|3414 PEACHTREE ROAD NE|SUITE 750|ATLANTA GA 30326-1153|USA|||  ||LESESNE,JR. BRANNON B|404-231-3414|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|06/21/1976|0|0|0|0|0|0
Atlanta Regional Office| 105867|801-20295|BARNETT & CO INC|BARNETT & CO INC|430 CHESTNUT STREET|SUITE 102|CHATTANOOGA TN 37402-4976|USA|||  ||DOREMUS, KIMBERLY ANN|423-756-0125|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/06/1984|0|0|0|0|0|0
Atlanta Regional Office| 105873|801-24084|KAYS FINANCIAL ADVISORY CORP|KAYS FINANCIAL ADVISORY CORP|200 GALLERIA PARKWAY SE|SUITE 1150|ATLANTA GA 30339|USA|||  ||SCOTT KAYS|770-951-9001|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|04/30/1985|0|0|0|0|0|0
Atlanta Regional Office| 105878|801-38310|OPTIMUM FINANCIAL SERVICES INC|OPTIMUM FINANCIAL SERVICES INC|1817 CRANE RIDGE DRIVE|SUITE 200|JACKSON MS 39216|USA|||  ||STONE JR, A  J|601-981-5900|Corporation|Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|02/22/1991|0|0|0|0|0|0
Atlanta Regional Office| 105959|801-31084|WILLIAM HOWARD & CO FINANCIAL ADVISORS, INC|WILLIAM HOWARD & CO FINANCIAL ADVISORS INC|6410 POPLAR AVE|SUITE 330|MEMPHIS TN 38119|USA|||  ||SANDRA L. OWENS|901-761-5068|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/28/1988|0|0|0|0|0|0
Atlanta Regional Office| 105971|801-17169|LCG ASSOCIATES, INC.|LCG ASSOCIATES, INC.|400 GALLERIA PARKWAY|SUITE 1800|ATLANTA GA 30339-5953|USA|||  ||BURGIN, JOHN WESLEY|(770) 644-0100|Corporation|Pension consulting services, Other|APPROVED|05/17/1982|0|0|0|0|0|0
Atlanta Regional Office| 105977|801-10773|MORGAN INVESTMENTS INC|MORGAN INVESTMENTS INC|720 S PLEASANTBURG DRIVE||GREENVILLE SC 29607|USA|||  ||BALENTINE, JOHN M.|864-235-4196|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/18/1975|0|0|0|0|0|0
Atlanta Regional Office| 106125|801-52893|TD CAPITAL MANAGEMENT LLC|TD CAPITAL MANAGEMENT LLC|5100 POPLAR AVE|THIRTIETH FLOOR|MEMPHIS TN 38137-4000|USA|||  ||SMITH, L. DOUGLAS|901-681-0021|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/16/1996|0|0|0|0|0|0
Atlanta Regional Office| 106155|801-50303|OLD NORTH STATE TRUST, LLC|OLD NORTH STATE TRUST, LLC|106 WEST RALEIGH STREET||SILER CITY NC 27344|USA|P.O. BOX 378||SILER CITY NC 27344|USA|OVIDE T. DE ST AUBIN|919.663.3996|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|10/05/1995|0|1|0|0|0|0
Atlanta Regional Office| 106156|801-42913|SHDR INVESTMENT ADVISERS, INC.|SHDR INVESTMENT ADVISERS, INC.|3 INDEPENDENCE POINTE, SUITE 102||GREENVILLE SC 29615-4543|USA|||  ||JONAS FREDRIC MULLINS, JR.|864-527-0730|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|12/16/1992|0|0|0|0|0|0
Atlanta Regional Office| 106174|801-51946|CHATHAM CAPITAL GROUP INC|CHATHAM CAPITAL GROUP INC|500 STEPHENSON AVE.||SAVANNAH GA 31405|USA|||  ||MULLER, FREDERICK R.|(912)691-2320|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|06/12/1996|0|0|0|0|0|0
Atlanta Regional Office| 106234|801-29479|WEDGE CAPITAL MANAGEMENT LLP|WEDGE CAPITAL MANAGEMENT LLP|301 SOUTH COLLEGE STREET|SUITE 2920|CHARLOTTE NC 28202-6002|USA|||  ||BRADLEY W. HORSTMANN|704-334-6475|Limited Liability Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/31/1987|0|0|0|0|0|0
Atlanta Regional Office| 106235|801-49071|SMITH SHELLNUT WILSON|SMITH SHELLNUT WILSON LLC|403 TOWNE CENTER BLVD BLDG B STE 1&2||RIDGELAND MS 39157|USA|BOX 1408||RIDGELAND MS 39158|USA|LOTT, KENNETH M.|601-605-1776|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/26/1995|0|0|0|0|0|0
Atlanta Regional Office| 106243|801-48866|HIRSCH INVESTMENT MANAGEMENT LLC|HIRSCH INVESTMENT MANAGEMENT LLC|1100 POYDRAS STREET|SUITE 1470|NEW ORLEANS LA 70163|USA|||  ||NICHOLS, MARIE L|504-585-3888|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/30/1995|0|0|0|0|0|0
Atlanta Regional Office| 106275|801-39635|FRANKLIN STREET ADVISORS INC.|FRANKLIN STREET ADVISORS INC.|1450 RALEIGH ROAD|SUITE 300|CHAPEL HILL NC 27517|USA|||  ||MANZON, CAROL ELIZABETH|(919)403-3000|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/15/1991|0|1|0|0|0|0
Atlanta Regional Office| 106298|801-39328|STEARNS FINANCIAL SERVICES GROUP INC|STEARNS FINANCIAL SERVICES GROUP INC|324 W WENDOVER, STE 204||GREENSBORO NC 27408|USA|||  ||STEARNS, DENNIS G.|336-230-1811|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|06/26/1991|0|0|2|0|0|0
Atlanta Regional Office| 106379|801-49811|JOHNSON STERLING, INC.|JOHNSON STERLING, INC.|820 SHADES CREEK PARKWAY|SUITE 3200|BIRMINGHAM AL 35209|USA|||  ||RUTHERFORD, ELIZABETH LEE|(205)871-9940|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|09/05/1995|0|0|0|0|0|0
Atlanta Regional Office| 106390|801-44165|PFM CAPITAL MANAGEMENT LLC|PFM CAPITAL MANAGEMENT LLC|PERIMETER RIDGE 750 HAMMOND DR|BUILDING ONE|ATLANTA GA 30328|USA|||  ||LAURA V. SITHENS|404-705-4593|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|07/02/1993|0|1|0|0|0|0
Atlanta Regional Office| 106401|801-39749|COMMONWEALTH ADVISORS INC|COMMONWEALTH ADVISORS INC|315 THIRD STREET||BATON ROUGE LA 70801|USA|P. O. BOX 3395||BATON ROUGE LA 70821-3395|USA|JAMES F. O'BEIRNE|225-343-9342|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|10/01/1991|0|0|0|0|0|0
Atlanta Regional Office| 106402|801-45453|THE JUMPER GROUP, INC.|JUMPER GROUP INC|1203 CARTER STREET||CHATTANOOGA TN 37402|USA|||  ||JAY JUMPER|423-267-7005|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/29/1993|0|0|0|0|0|0
Atlanta Regional Office| 106430|801-38123|GLOBALT INC|GLOBALT INC|3280 PEACHTREE RD., NW|SUITE 500|ATLANTA GA 30305|USA|||  ||JONATHAN DAVID KAUFMAN|404/364-2188|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/18/1991|0|0|0|0|0|0
Atlanta Regional Office| 106454|801-23973|HAYEK KALLEN INVESTMENT MANAGEMENT L.L.C.|HAYEK KALLEN INVESTMENT MANAGEMENT L.L.C.|121 FAIRHOPE AVE||FAIRHOPE AL 36532|USA|||  ||ERIC KALLEN|251-928-8999|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|07/03/1985|0|0|0|0|0|0
Atlanta Regional Office| 106463|801-40663|ADVANCED FINANCIAL STRATEGISTS INC|ADVANCED FINANCIAL STRATEGISTS INC|2055 NORTH BROWN ROAD|SUITE 130|LAWRENCEVILLE GA 30043|USA|||  ||HOLDEN,JOHN D|770-277-2770|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|01/24/1992|0|0|0|0|0|0
Atlanta Regional Office| 106492|801-40916|CS CAPITAL MANAGEMENT INC|CS CAPITAL MANAGEMENT INC|ONE OVERTON PARK, SUITE 240|3625 CUMBERLAND BOULEVARD|ATLANTA GA 30339|USA|||  ||WINTERS, HEATHER ELAINE|770-818-4040|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|03/03/1992|0|0|0|0|0|0
Atlanta Regional Office| 106522|801-17538|TRUSTCORE FINANCIAL SERVICES, INC.|TRUSTCORE FINANCIAL SERVICES, INC.|105 WESTWOOD PLACE|SUITE 400|BRENTWOOD TN 37027|USA|||  ||MCINTYRE, LARUE|615-377-1177|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|08/27/1982|0|0|0|0|0|0
Atlanta Regional Office| 106530|801-49875|HOLDERNESS INVESTMENTS CO|HOLDERNESS INVESTMENTS CO|102 STATE ST||GREENSBORO NC 27408|USA|||  ||CARSON, KIM C|(336) 574-1400|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/14/1995|0|0|0|0|0|0
Atlanta Regional Office| 106552|801-40981|WEST ELLIS INVESTMENT MANAGEMENT INC|WEST ELLIS INVESTMENT MANAGEMENT INC|226 EAST MOULTON STREET||DECATUR AL 35601|USA|P.O. BOX 2253||DECATUR AL 35609-2253|USA|PROCTOR, KIM M.|256-353-2126|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/25/1992|0|0|0|0|0|0
Atlanta Regional Office| 106580|801-40973|REYNOLDS INVESTMENT MANAGEMENT INC|REYNOLDS INVESTMENT MANAGEMENT INC|27 CLEVELAND STREET, STE 103||GREENVILLE SC 29601|USA|||  ||REYNOLDS III, THOMAS J.|864-232-8670|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/06/1992|0|0|0|0|0|0
Atlanta Regional Office| 106633|801-41821|CRESCENT STERLING LTD.|CRESCENT STERLING LTD|3850 NORTH CAUSEWAY BLVD.|SUITE 1150|METAIRIE LA 70002|USA|||  ||GRAF,HELEN EILEEN|(504) 835-1135|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/01/1992|0|0|0|0|0|0
Atlanta Regional Office| 106678|801-52788|WORSHAM & SAMMONS WEALTH MANAGEMENT, LLC|WORSHAM & SAMMONS WEALTH MANAGEMENT, LLC|4170 ASHFORD DUNWOODY ROAD NE|SUITE 420|ATLANTA GA 30319-1457|USA|||  ||REBECCA M. PHILLIPS|404-256-0056 X27|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|08/26/1996|0|0|0|0|0|0
Atlanta Regional Office| 106711|801-38199|POLARIS INVESTMENT PARTNERS, INC|POLARIS INVESTMENT PARTNERS, INC|30 FENWICK HALL ALLEE||JOHN'S ISLAND SC 29455|USA|||  ||DALLAS JANE MAIN|843-414-4000|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|02/01/1991|1|1|0|0|0|0
Atlanta Regional Office| 106722|801-38262|HARBOR CAPITAL MANAGEMENT INC|HARBOR CAPITAL MANAGEMENT INC|831 EAST MOREHEAD STREET, SUITE 350||CHARLOTTE NC 28202|USA|||  ||CALLIHAN, JACKIE|704 377 6945|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/11/1991|0|0|0|0|0|0
Atlanta Regional Office| 106725|801-39720|GV CAPITAL MANAGEMENT,INC.|GV CAPITAL MANAGEMENT,INC.|1100 ABERNATHY ROAD|SUITE 500|ATLANTA GA 30328-5646|USA|||  ||DAVIS, SUSAN|770-295-5703|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/27/1991|0|0|0|0|0|0
Atlanta Regional Office| 106741|801-41636|ASSET PRESERVATION ADVISORS INC|ASSET PRESERVATION ADVISORS INC|ONE OVERTON PARK|3625 CUMBERLAND BLVD.|ATLANTA GA 30339|USA|||  ||KEVIN B. WOODS|404-261-1333|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|05/27/1992|0|0|0|0|0|0
Atlanta Regional Office| 106782|801-48119|SECTOR CAPITAL MANAGEMENT LLC|SECTOR CAPITAL MANAGEMENT LLC|1900 EXETER ROAD|SUITE 100|GERMANTOWN TN 38138|USA|||  ||KEN RIFFLE|901-761-4999|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/28/1994|0|0|0|0|0|0
Atlanta Regional Office| 106796|801-37633|INVESTORS ASSET MANAGEMENT OF GEORGIA INC|INVESTORS ASSET MANAGEMENT OF GEORGIA INC|7000 PEACHTREE DUNWOODY ROAD|BLDG 9 SUITE 200|ATLANTA GA 30328|USA|||  ||RIGBY, TIMOTHY M|770-394-5619|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|11/01/1990|0|0|0|0|0|0
Atlanta Regional Office| 106803|801-38739|OAK VALUE CAPITAL MANAGEMENT, INC|OAK VALUE CAPITAL MANAGEMENT, INC|3100 TOWER BOULEVARD|SUITE 700|DURHAM NC 27707|USA|||  ||LANDIS, MARGARET C.|919.419.1900 EXT 106|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/24/1991|0|0|0|0|0|0
Atlanta Regional Office| 106809|801-49054|COMPASS FINANCIAL ADVISORS LLC|COMPASS FINANCIAL ADVISORS LLC|795 RIDGELAKE BLVD|SUITE 106|MEMPHIS TN 38120|USA|||  ||THOMAS L WALLACE|901-762-0080|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|04/27/1995|0|0|0|0|0|0
Atlanta Regional Office| 106831|801-19267|COMMONWEALTH FINANCIAL PLANNERS INC|COMMONWEALTH FINANCIAL PLANNERS INC|1033 CANTON STREET||ROSWELL GA 30075|USA|||  ||LOEB, NANCY A.|770-399-6644|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|07/12/1983|0|0|0|0|0|0
Atlanta Regional Office| 106832|801-42500|MONEY MANAGEMENT SERVICES INC|MONEY MANAGEMENT SERVICES, INC.|2100A SOUTHBRIDGE PARKWAY|SUITE 375|BIRMINGHAM AL 35209|USA|||  ||DONALD R. RICE|205-871-7526|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|10/30/1992|0|0|0|0|0|0
Atlanta Regional Office| 106837|801-40329|INVESTOR ADVISORY GROUP|INVESTOR ADVISORY GROUP, LLC|421A S SHARON AMITY ROAD||CHARLOTTE NC 28211|USA|||  ||HARKEY, JR. ERSKINE LEE|704-366-1120|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|12/31/1991|0|0|0|0|0|0
Atlanta Regional Office| 106854|801-40019|MONTFORD ASSOCIATES INC|MONTFORD ASSOCIATES INC|3500 PIEDMONT RD NE|SUITE 225|ATLANTA GA 30305-1520|USA|||  ||ERNEST MONTFORD|404-760-7470|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|10/18/1991|0|0|0|0|0|0
Atlanta Regional Office| 106865|801-31219|WHITENER CAPITAL MANAGEMENT, INC|WHITENER CAPITAL MANAGEMENT, INC|THE POWER PLANT, SUITE 200|1701 SUNSET AVE|ROCKY MOUNT NC 27804|USA|P.O. BOX 7743||ROCKY MOUNT NC 27804|USA|DANIELS, LINDA COLLIER|252-972-8908|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/31/1987|0|0|0|0|0|0
Atlanta Regional Office| 106896|801-36942|ROLLINS FINANCIAL COUNSELING INC|ROLLINS FINANCIAL COUNSELING INC|1201 PEACHTREE STREET STE 1500||ATLANTA GA 30361|USA|||  ||EDWARD WILCOX|404 892-7967|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|07/13/1990|0|0|2|0|0|0
Atlanta Regional Office| 106921|801-60019|EQUITABLE ADVISORS, INC.|EQUITABLE ADVISORS, INC.|4400 HARDING ROAD|SUITE 310|NASHVILLE TN 37205-2314|USA|||  ||DEANNA M. MCCULLEY|615-460-1160|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|02/08/2001|0|0|0|0|0|0
Atlanta Regional Office| 106949|801-43668|PETERS WEALTH ADVISORS LLC|PETERS WEALTH ADVISORS LLC|5800 ONE PERKINS PLACE|SUITE 8A|BATON ROUGE LA 70808-9108|USA|||  ||PETERS, LOUIS W|225-766-4885|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/06/1993|0|0|0|0|0|0
Atlanta Regional Office| 107005|801-16374|CORNERSTONE ADVISORY CORP|CORNERSTONE ADVISORY CORP|8110 WITTY ROAD||SUMMERFIELD NC 27358|USA|||  ||JAMES MARSH TORREY|336-644-6537|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers, Other|APPROVED|09/09/1981|0|0|0|0|0|0
Atlanta Regional Office| 107048|801-36806|CONSULTING SERVICES GROUP, LLC|CONSULTING SERVICES GROUP, LLC|6075 POPLAR AVE|STE 700|MEMPHIS TN 38119|USA|||  ||BALSMANN, EDWARD R.|901-761-8080|Limited Liability Company|Selection of other advisers, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|07/06/1990|0|2|1|0|0|0
Atlanta Regional Office| 107130|801-53512|PARTNER CAPITAL GROUP, LLC|PARTNER CAPITAL GROUP, LLC|ONE BURTON HILLS BLVD,STE 375||NASHVILLE TN 37215|USA|||  ||JOHN VAN|615-377-2949|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/06/1997|0|0|0|0|0|0
Atlanta Regional Office| 107236|801-44259|RINEHART & ASSOCIATES|FIRST PERSONAL FINANCIAL SERVICES INC|521 E. MOREHEAD ST|SUITE 580|CHARLOTTE NC 28202|USA|||  ||CLARK,WILLIAM ERIC|704-374-0646|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|06/01/1993|0|0|0|0|0|0
Atlanta Regional Office| 107297|801-50849|SCHALLER INVESTMENT GROUP, INC.|SCHALLER INVESTMENT GROUP, INC.|324 INDERA MILLS COURT||WINSTON SALEM NC 27101|USA|||  ||KAREN HUEY|770-753-4554|Corporation|Portfolio management for individuals and/or small businesses, Other|APPROVED|12/18/1995|0|0|0|0|0|0
Atlanta Regional Office| 107318|801-49929|SISUNG INVESTMENT MANAGEMENT SERVICES LLC|SISUNG INVESTMENT MANAGEMENT SERVICES LLC|PLACE ST. CHARLES|201 ST. CHARLES AVE., SUITE 4240|NEW ORLEANS LA 70170|USA|||  ||RICHARD L. SOLARES|(504) 544-7700|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/18/1995|0|2|0|0|0|0
Atlanta Regional Office| 107344|801-34570|TRENT CAPITAL MANAGEMENT INC|TRENT CAPITAL MANAGEMENT INC|3150 NORTH ELM ST,STE 204||GREENSBORO NC 27408|USA|||  ||DAVID LABIAK|336/282-9302|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|07/07/1989|0|0|0|0|0|0
Atlanta Regional Office| 107346|801-23163|RIDGEWORTH CAPITAL MANAGEMENT, INC.|RIDGEWORTH CAPITAL MANAGEMENT, INC.|50 HURT PLAZA, STE 1400||ATLANTA GA 30303|USA|||  ||PATRICK A. PAPARELLI|404-581-1589|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|02/01/1985|0|2|0|0|0|0
Atlanta Regional Office| 107385|801-45605|CAPITAL MARKETS ADVISORS INC|CAPITAL MARKETS ADVISORS INC|11675 RAINWATER DRIVE|SUITE 460|ALPHARETTA GA 30004|USA|||  ||MICHAEL A. ELDER|770-667-2667|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/25/1994|0|0|0|0|0|0
Atlanta Regional Office| 107421|801-35040|PIEDMONT INVESTMENT ADVISORY LP|PIEDMONT INVESTMENT ADVISORY LLLP|3424 PEACHTREE ROAD|SUITE 1725|ATLANTA GA 30326|USA|||  ||MECHELLE VICKERS|404-842-4055|Limited Liability Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/01/1989|0|0|0|0|0|0
Atlanta Regional Office| 107428|801-50900|HAMMEL FINANCIAL ADVISORY GROUP, LLC|HAMMEL FINANCIAL ADVISORY GROUP, LLC|5123 VIRGINIA WAY|UNIT B-13|BRENTWOOD TN 37027|USA|||  ||MELISSA K. HAMMEL|615-371-5222|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/02/1996|0|0|0|0|0|0
Atlanta Regional Office| 107454|801-51450|ROBINSON INVESTMENT GROUP INC|ROBINSON INVESTMENT GROUP INC|5301 VIRGINIA WAY STE 150||BRENTWOOD TN 37027|USA|||  ||RUSSELL L. ROBINSON|615-242-3447|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/15/1996|0|0|0|0|0|0
Atlanta Regional Office| 107460|801-60000|AURORA INVESTMENT COUNSEL|AURORA INVESTMENT COUNSEL|3350 RIVERWOOD PKWY|SUITE #1770|ATLANTA GA 30339|USA|||  ||CHINTANIKA A. DESAI|678-202-0485|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/04/2001|0|0|0|0|0|0
Atlanta Regional Office| 107464|801-45370|SANDERS FINANCIAL MANAGEMENT, INC.|SANDERS FINANCIAL MANAGEMENT, INC.|5550 TRIANGLE PARKWAY|SUITE 300|NORCROSS GA 30092|USA|||  ||EMILY C. SANDERS|770-448-5111|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/09/1993|0|0|0|0|0|0
Atlanta Regional Office| 107477|801-54116|MONTIS & EXLEY ASSET MANAGEMENT, LLC|MONTIS & EXLEY ASSET MANAGEMENT, LLC|315 COMMERCIAL DRIVE,SUITE B-4||SAVANNAH GA 31406|USA|||  ||GEORGE MONTIS|912-354-8000|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|03/28/1997|0|1|0|0|0|0
Atlanta Regional Office| 107542|801-45890|PROTECTIVE INVESTMENT ADVISORS INC.|PROTECTIVE INVESTMENT ADVISORS INC.|2801 HIGHWAY 280 SOUTH|C/O PROTECTIVE LIFE CORP|BIRMINGHAM AL 35223|USA|||  ||EMILY AMBERSON|(205) 268-2988|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/22/1994|0|0|0|0|0|0
Atlanta Regional Office| 107560|801-43315|MASTRAPASQUA ASSET MANAGEMENT, INC.|MASTRAPASQUA ASSET MANAGEMENT, INC.|814 CHURCH STREET STE 600||NASHVILLE TN 37203|USA|||  ||NANCY MARTINEZ|615-244-8400|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|02/25/1993|0|0|1|0|0|0
Atlanta Regional Office| 107588|801-42952|SOUTHEAST ASSET ADVISORS INC|SOUTHEAST ASSET ADVISORS INC|314 GORDON AVENUE||THOMASVILLE GA 31792|USA|||  ||C. BRADFORD JACKSON|229-226-8839|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|12/22/1992|0|0|0|0|0|0
Atlanta Regional Office| 107612|801-49240|MOON CAPITAL MANAGEMENT, LLC|MOON CAPITAL MANAGEMENT LLC|2103 RIVERVIEW TOWER|900 S GAY ST|KNOXVILLE TN 37902|USA|||  ||WHEELER DAVID MOON|865-546-1234|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/22/1995|0|0|0|0|0|0
Atlanta Regional Office| 107616|801-42685|VARN INVESTMENT COUNSEL, INC|VARN INVESTMENT COUNSEL INC|3715 NORTHSIDE PARKWAY|BUILDING 300, SUITE 660|ATLANTA GA 30327|USA|||  ||ROBERT B. VARN|404-495-4716|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/23/1992|0|0|0|0|0|0
Atlanta Regional Office| 107640|801-30214|LIBERTY CAPITAL ADVISORS INC|LIBERTY CAPITAL ADVISORS INC|2000 WADE HAMPTON BLVD||GREENVILLE SC 29615|USA|PO BOX 1389||GREENVILLE SC 29602-0943|USA|ROBERT T. COLEMAN, III|864-609-8177|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/04/1987|0|0|0|0|0|0
Atlanta Regional Office| 107647|801-51810|CRENSHAW CHRIS C FINANCIAL SERVICES|CRENSHAW CHRISTOPHER CARROL|3718 UNIVERSITY DR||DURHAM NC 27707|USA|||  ||CHRIS CRENSHAW|919-493-3669|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/07/1996|0|0|0|0|0|0
Atlanta Regional Office| 107671|801-19907|BUILDER INVESTMENT GROUP|BUILDER INVESTMENT GROUP INC|TOWER PLACE 100, SUITE 1775|3340 PEACHTREE ROAD, N.E.|ATLANTA GA 30326|USA|||  ||DALE R. HAJOST|404-233-9341|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|10/01/1983|0|0|0|0|0|0
Atlanta Regional Office| 107679|801-35487|SAYBROOK CAPITAL CORP|SAYBROOK CAPITAL CORP|2000 FRONTIS PLAZA BLVD|SUITE 106|WINSTON SALEM NC 27103|USA|||  ||LAUREEN VANLANDINGHAM|336-659-0290|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/09/1989|0|0|0|0|0|0
Atlanta Regional Office| 107716|801-13578|ROWLAND & CO INVESTMENT COUNSEL|ROWLAND & CO INVESTMENT COUNSEL|3353 PEACHTREE ROAD|555 NORTH TOWER|ATLANTA GA 30326|USA|||  ||MARK ROWLAND|404.816.5350|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/02/1978|0|0|0|0|0|0
Atlanta Regional Office| 107727|801-45185|KELMAN LAZAROV INC|KELMAN LAZAROV INC|5100 POPLAR AVE, STE 3105||MEMPHIS TN 38137|USA|||  ||RONALD J. LAZAROV, CFP|901-685-8284|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/07/1993|0|0|0|0|0|0
Atlanta Regional Office| 107741|801-40286|SPECTRUM ADVISORY SERVICES INC.|SPECTRUM ADVISORY SERVICES INC.|1050 CROWN POINTE PARKWAY|SUITE 750|ATLANTA GA 30338|USA|||  ||JOAN E SELLERS|770-393-8725|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/18/1991|0|0|0|0|0|0
Atlanta Regional Office| 107751|801-25597|STEINE & GOOCH CO INC|STEINE & GOOCH CO INC|1114 17TH AVENUE SOUTH, SUITE 103||NASHVILLE TN 37212|USA|P. O. BOX 128227||NASHVILLE TN 37212-8227|USA|DAVID GOOCH|615-321-0222|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|10/28/1985|0|0|0|0|0|0
Atlanta Regional Office| 107776|801-16349|NUTTALL RICHARD VOIGHT|NUTTALL, RICHARD VOIGHT|9, AIRY HALL COURT||COLUMBIA SC 29209|USA|||  ||DONNA S WATSON|803-765-9078|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|09/17/1981|0|0|0|0|0|0
Atlanta Regional Office| 107852|801-36918|CORNERCAP INVESTMENT COUNSEL INC|CORNERCAP INVESTMENT COUNSEL INC|1355 PEACHTREE STREET N.E.|SUITE 1700|ATLANTA GA 30309|USA|||  ||JOHN ALLEN HACKNEY III|404.870.0700|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|04/30/1990|0|0|0|0|0|0
Atlanta Regional Office| 107861|801-43509|MURPHY MIDDLETON HINKLE & PARKER, INC.|MURPHY MIDDLETON HINKLE & PARKER, INC.|240 SOUTH HANSELL STREET||THOMASVILLE GA 31792|USA|P.O. BOX 1374||THOMASVILLE GA 31799|USA|DAVID J. MIDDLETON|229-228-1822|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|05/03/1993|0|0|0|0|0|0
Atlanta Regional Office| 107866|801-55444|HENSSLER ASSET MANAGEMENT LLC|HENSSLER ASSET MANAGEMENT LLC|3735 CHEROKEE STREET||KENNESAW GA 30144|USA|||  ||CHRISTOPHER E. REEVES|770-429-9166|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|04/24/1998|0|0|0|0|0|0
Atlanta Regional Office| 107870|801-55175|JOSEY BRETT WEALTH MANAGEMENT INC|JOSEY BRETT WEALTH MANAGEMENT INC|401 EDWARDS STREET, SUITE 824||SHREVEPORT LA 71101-5510|USA|||  ||BRETT JOSEY|318-226-9999|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/13/1998|0|0|0|0|0|0
Atlanta Regional Office| 107890|801-14752|T.LEAVELL & ASSOCIATES, INC|LEAVELL INVESTMENT MANAGEMENT, INC.|150 GOVERNMENT ST|SUITE 3000|MOBILE AL 36602|USA|P.O. BOX 1307||MOBILE AL 36633|USA|MARGARET H. ALVES|251/433-3709|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|07/23/1979|0|0|0|0|0|0
Atlanta Regional Office| 107926|801-56189|EARNEST PARTNERS, LLC|EARNEST PARTNERS LLC|1180 PEACHTREE STREET, NE|SUITE 2300|ATLANTA GA 30309|USA|||  ||JAMES M. WILSON|404-815-8772|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/12/1999|0|0|0|0|0|0
Atlanta Regional Office| 107946|801-56006|BILLEAUD CAPITAL MANAGEMENT INC|BILLEAUD CAPITAL MANAGEMENT INC|1018 HARDING ST., SUITE 104||LAFAYETTE LA 70503|USA|P.O. BOX 51162||LAFAYETTE LA 70505|USA|JOSEPH S. BILLEAUD|337-233-7758|Corporation|Portfolio management for individuals and/or small businesses, Other|APPROVED|11/06/1998|0|0|0|0|0|0
Atlanta Regional Office| 107952|801-32593|NASHVILLE CAPITAL CORP|NASHVILLE CAPITAL CORP|209 10TH AVE S, SUITE 332||NASHVILLE TN 37203-4163|USA|||  ||LARRY C. CATLETT|(615) 259-9084|Corporation|Portfolio management for investment companies, Pension consulting services, Selection of other advisers|APPROVED|09/02/1988|0|0|0|0|0|0
Atlanta Regional Office| 107994|801-55414|ABACUS PLANNING GROUP INC|ABACUS PLANNING GROUP INC|3200 DEVINE STREET|SUITE 101|COLUMBIA SC 29205|USA|||  ||CHERYL R. HOLLAND|803-933-0054|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/03/1998|0|0|0|0|0|0
Atlanta Regional Office| 108025|801-58022|FINANCIAL PLANNING SERVICES, INC.|FINANCIAL PLANNING SERVICES, INC|700 EXPOSITION PLACE|SUITE 131|RALEIGH NC 27615|USA|||  ||HOLLY NICHOLSON|919-676-2806|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|04/27/2006|0|0|0|0|0|0
Atlanta Regional Office| 108068|801-56953|LAFFER INVESTMENTS INC|LAFFER INVESTMENTS INC|2909 POSTON AVENUE|2ND FLOOR|NASHVILLE TN 37203|USA|||  ||ARTHUR B. LAFFER, JR.|615-320-3989|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|11/10/1999|0|0|0|0|0|0
Atlanta Regional Office| 108076|801-40703|CARDINAL CAPITAL MANAGEMENT INC|CARDINAL CAPITAL MANAGEMENT INC|2301 REXWOODS DRIVE|SUITE 102|RALEIGH NC 27607|USA|||  ||GLENN C. ANDREWS|919-532-7500|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|01/30/1992|0|0|0|0|0|0
Atlanta Regional Office| 108103|801-55377|BEACON INVESTMENT MANAGEMENT, INC.|BEACON INVESTMENT MANAGEMENT INC|507 W. PEACE ST.|SUITE # 100|RALEIGH NC 27603|USA|||  ||PATRICIA HALL|919-821-5225|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|03/24/1998|0|0|0|0|0|0
Atlanta Regional Office| 108123|801-55159|BANYAN CAPITAL MANAGEMENT INC|BANYAN CAPITAL MANAGEMENT INC|2100 RIVEREDGE PARKWAY|SUITE 1030|ATLANTA GA 30328|USA|||  ||CHERYL COLLIER|770-951-2129|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/13/1998|0|0|0|0|0|0
Atlanta Regional Office| 108128|801-54192|INVESCO GLOBAL ASSET MANAGEMENT (N.A.), INC.|INVESCO GLOBAL ASSET MANAGEMENT N A INC|TWO PEACHTREE POINTE|1555 PEACHTREE STREET, N.E.|ATLANTA GA 30309|USA|||  ||TODD L. SPILLANE|713-214-1271|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/30/1997|0|2|0|0|0|0
Atlanta Regional Office| 108159|801-57611|IBERIABANK ASSET MANAGEMENT, INC.|IBERIABANK ASSET MANAGEMENT, INC.|1515 POYDRAS STREET|SUITE 1800|NEW ORLEANS LA 70112|USA|||  ||ROBERT W. KATZ|504-525-8524|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|06/14/2000|0|0|0|0|0|0
Atlanta Regional Office| 108170|801-55605|MARCO INVESTMENT MANAGEMENT LLC|MARCO INVESTMENT MANAGEMENT LLC|300 ATLANTA FINANCIAL CENTER|3343 PEACHTREE ROAD|ATLANTA GA 30326|USA|||  ||CORLISS SIMS|404/504/8600|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/08/1998|0|0|0|0|0|0
Atlanta Regional Office| 108189|801-35646|HOMRICH & BERG INC|HOMRICH & BERG INC|ONE BUCKHEAD PLAZA, SUITE 830|3060 PEACHTREE ROAD, NW|ATLANTA GA 30305-2240|USA|||  ||CHRISTOPHER CASDIA|404-264-1400|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|11/22/1989|0|0|0|0|0|0
Atlanta Regional Office| 108192|801-33224|VECTOR MONEY MANAGEMENT INC|VECTOR MONEY MANAGEMENT INC|4266 1-55 NORTH, SUITE 102||JACKSON MS 39211-5930|USA|||  ||JOSEPH DAVID DELASKI|601-981-1773|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/10/1988|0|1|0|0|0|0
Atlanta Regional Office| 108199|801-24818|WOODARD & CO ASSET MANAGEMENT GROUP INC|WOODARD & CO ASSET MANAGEMENT GROUP INC|117 KINDERTON BOULEVARD||ADVANCE NC 27006|USA|||  ||JOHN B. WOODARD, JR.|336-998-7000|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|08/01/1985|0|0|0|0|0|0
Atlanta Regional Office| 108216|801-18013|TOWNSEND ASSET MANAGEMENT CORP.|TOWNSEND ASSET MANAGEMENT CORP.|5120 BUR OAK CIRCLE||RALEIGH NC 27612|USA|||  ||GERALD TOWNSEND|(919) 782-9689|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|12/06/1982|0|1|0|0|0|0
Atlanta Regional Office| 108250|801-60005|HUNGERPILLER CAPITAL MANAGEMENT|HUNGERPILLER CAPITAL MANAGEMENT, LLC|110 EAST PRESIDENT STREET|2ND FLOOR|SAVANNAH GA 31401|USA|NA|NA|NA  NA|NA|JAMES R. HUNGERPILLER|912-790-7660|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/26/2001|0|0|0|0|0|0
Atlanta Regional Office| 108330|801-36616|GERBER TAYLOR ASSOCIATES, INC.|GERBER TAYLOR ASSOCIATES, INC.|ONE COMMERCE SQUARE|SUITE 1900|MEMPHIS TN 38103|USA|||  ||MARY C. CORNPROPST|901-526-9750|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/22/1999|0|0|0|0|0|0
Atlanta Regional Office| 108385|801-55803|WATCH HILL CAPITAL LLC|WATCH HILL CAPITAL LLC|15 WEST ANDREWS DRIVE NW||ATLANTA GA 30305|USA|2870 PEACHTREE RD NW|PMB 424|ATLANTA GA 30305|USA|ROGER C. HAMILTON|404-264-8686|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/14/1998|0|0|0|0|0|0
Atlanta Regional Office| 108411|801-56537|PANTHEON INVESTMENT LLC|PANTHEON INVESTMENT LLC|735 BROAD STREET|SUITE 200|CHATTANOOGA TN 37402|USA|||  ||TAGUE R. GOODHUE, CFA|423-266-8020|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/26/1999|0|0|0|0|0|0
Atlanta Regional Office| 108413|801-55253|CAPITAL INVESTMENT ADVISORS INC|CAPITAL INVESTMENT ADVISORS INC|200 SANDY SPRINGS PLACE|SUITE 300|ATLANTA GA 30328|USA|||  ||MICHAEL J. REINER|404-531-0018|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|03/30/1998|0|1|0|0|0|0
Atlanta Regional Office| 108443|801-57847|BB&T ASSET MANAGEMENT, INC.|BB&T ASSET MANAGEMENT, INC.|434 FAYETTEVILLE STREET, 5TH FL||RALEIGH NC 27601|USA|P.O. BOX 29575||RALEIGH NC 27626-0575|USA|CLINT WARD|919-716-9032|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|08/22/2000|0|17|0|0|0|0
Atlanta Regional Office| 108457|801-56163|BUCKHORN CAPITAL MANAGEMENT LLC|BUCKHORN CAPITAL MANAGEMENT LLC|1724 EAST BLVD. SUITE 100||CHARLOTTE NC 28203|USA|||  ||WINSTON W. WAY JR.|704-358-8336|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/06/1999|0|0|0|0|0|0
Atlanta Regional Office| 108504|801-64395|CB & H WEALTH MANAGEMENT, L.L.C.|CB & H WEALTH MANAGEMENT, L.L.C.|1029 GREENE STREET||AUGUSTA GA 30901|USA|||  ||MARK T. MAUND|706-724-3557|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/27/2005|0|0|0|0|0|0
Atlanta Regional Office| 108508|801-20170|BIRMINGHAM CAPITAL MANAGEMENT CO INC|BIRMINGHAM CAPITAL MANAGEMENT CO INC|2 PERIMETER PARK SOUTH|SUITE 235-EAST|BIRMINGHAM AL 35243-3253|USA|||  ||H. THOMAS SMITH|(205) 967-7062|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/22/1983|0|0|0|0|0|0
Atlanta Regional Office| 108510|801-27781|EQUITY INVESTMENT CORP|EQUITY INVESTMENT CORP|3007 PIEDMONT ROAD, NE, SUITE 200||ATLANTA GA 30305|USA|||  ||JOYCE MICHELS|404-239-0111|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/13/1986|0|0|0|0|0|0
Atlanta Regional Office| 108527|801-43408|PROVIDENT INVESTMENT MANAGEMENT LLC|PROVIDENT INVESTMENT MANAGEMENT LLC|1 FOUNTAIN SQUARE||CHATTANOOGA TN 37402|USA|||  ||JANNA T. MULLIN|423-294-4350|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/07/1993|0|0|0|0|0|0
Atlanta Regional Office| 108533|801-57230|ERISA PLAN SERVICES INC|ERISA PLAN SERVICES INC|1818 PARK DRIVE||ANDERSON SC 29625|USA|PO BOX 1285||ANDERSON SC 29622|USA|MICHAEL M CRUCE|864-375-0473|Corporation|Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|02/01/2000|1|0|0|0|0|0
Atlanta Regional Office| 108546|801-56418|RANDALL PAUL MARTIN|RANDALL PAUL MARTIN|77 E. ANDREWS DR.|APT. 381|ATLANTA GA 30305|USA|PO BOX 52308||ATLANTA GA 30355|USA|RANDALL P. MARTIN|404-237-1286|Sole Proprietorship|Portfolio management for individuals and/or small businesses, Other|APPROVED|06/25/1999|0|0|0|0|0|0
Atlanta Regional Office| 108584|801-54866|LINDNER CAPITAL ADVISORS, INC.|LINDNER CAPITAL ADVISORS, INC.|600 VILLAGE TRACE|BUILDING 23, SUITE 300|MARIETTA GA 30067|USA|||  ||ROBERT J. LINDNER|770-977-7779|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/17/1997|0|0|0|0|0|0
Atlanta Regional Office| 108619|801-18073|LEGACY WEALTH MANAGEMENT INC|LEGACY WEALTH MANAGEMENT INC|6800 POPLAR AVENUE|SUITE 101|MEMPHIS TN 38138|USA|||  ||JOHN W. UELEKE|901-758-9006|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|12/23/1982|0|0|0|0|0|0
Atlanta Regional Office| 108663|801-57501|SECURITY FEDERAL SAVINGS BANK OF MCMINNVILLE TN|SECURITY FEDERAL SAVINGS BANK OF MCMINNVILLE TN|306 WEST MAIN STREET||MCMINNVILLE TN 37110|USA|P.O. BOX 7027||MCMINNVILLE TN 37111|USA|KENNETH W. SMITH|931-473-4483|Other (specify)|Portfolio management for individuals and/or small businesses|APPROVED|05/11/2000|0|0|0|0|0|0
Atlanta Regional Office| 108718|801-55241|MARTIN & COMPANY INVESTMENT COUNSEL|MARTIN & COMPANY, INC|TWO CENTRE SQUARE, SUITE 200|625 SOUTH GAY ST|KNOXVILLE TN 37902-1669|USA|||  ||WILLIAM E. WOODSON, JR.|865 541-4747|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/02/1998|0|0|0|0|0|0
Atlanta Regional Office| 108741|801-34451|SOUTHERNSUN ASSET MANAGEMENT, INC|SOUTHERNSUN ASSET MANAGEMENT, INC|6000 POPLAR AVENUE|SUITE 220|MEMPHIS TN 38119|USA|||  ||WILLIAM P. HALLIDAY III|(901) 333-6980|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/18/1989|0|2|0|0|0|0
Atlanta Regional Office| 108747|801-32023|DCA GLOBAL INVESTMENT MANAGEMENT|DAVID COOK & ASSOCIATES, INC.|3500 PARKWAY LANE|SUITE 400|NORCROSS GA 30092|USA|||  ||SEAN COOK|770-622-9957|Corporation|Other, Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|07/25/1988|0|1|0|0|0|0
Atlanta Regional Office| 108780|801-56890|BRAGG FINANCIAL ADVISORS INC|BRAGG FINANCIAL ADVISORS INC|100 QUEENS ROAD||CHARLOTTE NC 28204|USA|||  ||STEVE SCRUGGS|704-714-7711|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|10/12/1999|0|0|0|0|0|0
Atlanta Regional Office| 108837|801-55522|ALDER FINANCIAL GROUP INC|ALDER FINANCIAL GROUP INC|700 GALLERIA PKWY|SUITE 520|ATLANTA GA 30339|USA|||  ||CHARLES WEBB|770-563-8240|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/12/1998|0|0|0|0|0|0
Atlanta Regional Office| 108856|801-57615|BEY-DOUGLAS, LLC INVESTMENT COUNSEL|BEY-DOUGLAS, LLC|1640 POWERS FERRY RD., BLDG. 22|SUITE 200|MARIETTA GA 30067|USA|||  ||GEORGE BEYLOUNI|770-858-0001|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/05/2000|0|1|0|0|0|0
Atlanta Regional Office| 108930|801-57941|FORTUNE MANAGEMENT, LLC|FORTUNE MANAGEMENT, LLC|2700 WYCLIFF RAOD|SUITE 103|RALEIGH NC 27607-3062|USA|||  ||WILLIAM K. DIX|919-782-5228|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|09/07/2000|0|0|0|0|0|0
Atlanta Regional Office| 108932|801-55831|ASSET MANAGEMENT SERVICES LLP|ASSET MANAGEMENT SERVICES LLP|2205 CAHABA VALLEY DRIVE|SUITE 100|BIRMINGHAM AL 35242|USA|||  ||THOMAS E. POWELL|205-408-9596|Limited Liability Partnership|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Other|APPROVED|09/08/1998|0|0|0|0|0|0
Atlanta Regional Office| 108934|801-55232|ING INVESTMENT MANAGEMENT LLC|ING INVESTMENT MANAGEMENT LLC|5780 POWERS FERRY ROAD NW|SUITE 300|ATLANTA GA 30327-4349|USA|||  ||GERALD T. LINS|212-309-8260|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/30/1998|0|3|0|0|0|0
Atlanta Regional Office| 108941|801-55657|PLANFIRST INC|PLANFIRST INC|9 HALTON GREEN WAY||GREENVILLE SC 29607|USA|P.O. BOX 5898||GREENVILLE SC 29606|USA|RHONDA SCOFIELD|864-233-7405|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/22/1998|0|0|0|0|0|0
Atlanta Regional Office| 108943|801-55589|LBMC INVESTMENT ADVISORS, LLC|LBMC INVESTMENT ADVISORS LLC|5250 VIRGINIA WAY||BRENTWOOD TN 37027|USA|P.O. BOX 1869||BRENTWOOD TN 37024-1869|USA|GREGORY MICHAEL HERMAN|(615) 377-4603|Limited Liability Company|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|05/26/1998|0|0|0|0|0|0
Atlanta Regional Office| 108972|801-57187|MCBREARTY CAPITAL MANAGEMENT INC|MCBREARTY CAPITAL MANAGEMENT INC|424 EBENEZER||KNOXVILLE TN 37923|USA|||  ||MARTIN MCBREARTY|865/693/5300|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|01/21/2000|0|0|0|0|0|0
Atlanta Regional Office| 108988|801-56829|MCCARTHY J MICHAEL FINANCIAL ADVISOR INC|MCCARTHY J MICHAEL FINANCIAL ADVISOR INC|845 MALVERN HILL CT.||ALPHARETTA GA 30022|USA|||  ||MICHAEL GAUDETTE|(404) 502-2301|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|10/27/1999|0|0|0|0|0|0
Atlanta Regional Office| 109004|801-57755|BRYSPEN, INCORPORATED|BRYSPEN, INCORPORATED|7 PIEDMONT CENTER|SUITE 300|ATLANTA GA 30305-1530|USA|||  ||JOHN SPENCER BRYAN|404-233-1534|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|08/03/2000|0|0|0|0|0|0
Atlanta Regional Office| 109024|801-55667|SOVEREIGN WEALTH MANAGEMENT INC|SOVEREIGN WEALTH MANAGEMENT INC|1000 RIDGEWAY LOOP ROAD|SUITE 103|MEMPHIS TN 38120|USA|||  ||MICHAEL DEUTSCH|901-937-3013|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|06/23/1998|0|0|0|0|0|0
Atlanta Regional Office| 109025|801-55276|SYNTHESIS ADVISORS, INC.|SYNTHESIS ADVISORS, INC.|424 CHURCH ST|SUITE 2101|NASHVILLE TN 37219-2305|USA|||  ||LORRIE K. GRIFFITH|615-256-2556|Corporation|Portfolio management for individuals and/or small businesses, Other|APPROVED|03/16/1998|0|0|0|0|0|0
Atlanta Regional Office| 109040|801-57167|DIVERSIFIED FINANCIAL PLANNING INC|DIVERSIFIED FINANCIAL PLANNING INC|10892 CRABAPPLE ROAD|SUITE 303|ROSWELL GA 30075|USA|||  ||ROBERT P. JAMISON|678/323-3444|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/14/2000|0|0|0|0|0|0
Atlanta Regional Office| 109050|801-56258|B F ANDERSON & CO. INC|B F ANDERSON & CO. INC.|2237 SOUTH ACADIAN THRUWAY|SUITE 605|BATON ROUGE LA 70808|USA|||  ||MARK SIMMONS|225-926-8050|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/23/1999|0|1|0|0|0|0
Atlanta Regional Office| 109136|801-57825|MOTT & ASSOCIATES INC|MOTT & ASSOCIATES INC|560 DAVIDSON GATEWAY DRIVE|SUITE 200|DAVIDSON NC 28036|USA|PO BOX 2507||DAVIDSON NC 28036|USA|JOE MOTT|704-896-6841|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|08/03/2000|0|0|0|0|0|0
Atlanta Regional Office| 109214|801-57183|WRENN FINANCIAL STRATEGIES, INC.|WRENN FINANCIAL STRATEGIES, INC.|8352 SIX FORKS ROAD, SUITE 201||RALEIGH NC 27615|USA|||  ||MAX E. WRENN, JR.|919-848-9999|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|01/21/2000|0|0|0|0|0|0
Atlanta Regional Office| 109239|801-57057|CAPITAL STRATEGIES ADVISORS, INC|CAPITAL STRATEGIES ADVISORS, INC|TWO METROPLEX DRIVE, SUITE 111||BIRMINGHAM AL 35209|USA|||  ||JAMES RAINER TWIFORD|(205)263-2332|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|12/16/1999|0|2|0|0|0|0
Atlanta Regional Office| 109270|801-47978|GUTT FINANCIAL MANAGEMENT, LLC|GUTT FINANCIAL MANAGEMENT, LLC|3414 PEACHTREE RD NE|103 MONARCH PLAZA|ATLANTA GA 30326|USA|||  ||SUSAN SPRATLIN|404-237-4188|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/18/1995|0|0|0|0|0|0
Atlanta Regional Office| 109279|801-58035|DIXON HUGHES WEALTH ADVISORS, LLC|DIXON HUGHES WEALTH ADVISORS, LLC|500 RIDGEFIELD COURT, SUITE 100|SUITE 100|ASHEVILLE NC 28806|USA|P.O. BOX 3049||ASHEVILLE NC 28802|USA|CATHERINE ANDERSON|828/236-5801|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|10/12/2000|0|0|0|0|0|0
Atlanta Regional Office| 109319|801-56698|GERBER/TAYLOR MANAGEMENT COMPANY|GERBER/TAYLOR MANAGEMENT COMPANY|ONE COMMERCE SQUARE|SUITE 1900|MEMPHIS TN 38103|USA|||  ||SIMONE T. MEEKS|901-526-9750|Corporation|Selection of other advisers, Other|APPROVED|07/22/1999|0|0|0|0|0|0
Atlanta Regional Office| 109335|801-57250|ARLINGTON FAMILY OFFICE|ARLINGTON PARTNERS LLC|THE JOHN HAND BUILDING|2000 MORRIS AVENUE, SUITE 1200|BIRMINGHAM AL 35203|USA|||  ||WILLIAM K. NICROSI, II|205.488.4300|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|02/08/2000|0|0|0|0|0|0
Atlanta Regional Office| 109349|801-55882|GRAY & CO|GRAY FINANCIAL GROUP|7000 PEACHTREE DUNWOODY|BUILDING 5|ATLANTA GA 30328|USA|||  ||SYLVIA WASHINGTON|678-805-0512|Corporation|Pension consulting services|APPROVED|09/24/1998|0|0|0|0|0|0
Atlanta Regional Office| 109352|801-56310|KENNETH FRENKE & CO|FRENKE KENNETH & CO INC|15 LOOP ROAD|SUITE 105|ARDEN NC 28704|USA|15 LOOP ROAD|SUITE 105|ARDEN NC 28704|USA|KENNETH FRENKE|828-654-9343|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|02/26/1999|0|0|0|0|0|0
Atlanta Regional Office| 109392|801-57846|TANDEM INVESTMENT ADVISORS INC|TANDEM INVESTMENT ADVISORS INC|145 KING STREET|SUITE 227|CHARLESTON SC 29401|USA|||  ||JOHN CAREW|434-979-4300|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|09/15/2000|0|0|0|0|0|0
Atlanta Regional Office| 109416|801-55753|CAPITAL MANAGEMENT INC|CAPITAL MANAGEMENT INC|628 GREEN VALLEY ROAD, SUITE 204||GREENSBORO NC 27408|USA|||  ||DAVID P. GRAY|(336) 856-2911|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|07/24/1998|0|0|0|0|0|0
Atlanta Regional Office| 109423|801-56424|SHAYNE & CO LLC|SHAYNE & CO LLC|4015 HILLSBORO PIKE|SUITE 203|NASHVILLE TN 37215-2776|USA|||  ||JONATHAN A. SHAYNE|615/250-1600|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/09/1999|0|0|0|0|0|0
Atlanta Regional Office| 109438|801-55450|KIELY FINANCIAL SERVICES, INC.|KIELY FINANCIAL SERVICES INC|1290 EAST ARLINGTON BLVD|SUITE 102, JEFFERSON PLACE|GREENVILLE NC 27858|USA|||  ||KATHRYN BURR|336-298-4316|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters, Other|APPROVED|04/20/1998|0|1|0|0|0|0
Atlanta Regional Office| 109520|801-58025|PIEDMONT INVESTMENT ADVISORS, LLC|PIEDMONT INVESTMENT ADVISORS, LLC|411 WEST CHAPEL HILL STREET||DURHAM NC 27701|USA|||  ||CHARLES CURRY|919-688-8600|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/16/2000|0|0|0|0|0|0
Atlanta Regional Office| 109540|801-56734|SMITH & HOWARD WEALTH MANAGEMENT, LLC|SMITH & HOWARD WEALTH MANAGEMENT, LLC|171 17TH STREET|SUITE 900|ATLANTA GA 30363|USA|||  ||LISA CURLES|404/874-6244|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|08/02/1999|0|0|0|0|0|0
Atlanta Regional Office| 109547|801-57113|LANGER WEALTH MANAGEMENT LLC|LANGER WEALTH MANAGEMENT LLC|1213 CULBRETH DR||WILMINGTON NC 28405|USA|||  ||PETER H. LANGER|910-256-6521|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|12/28/1999|0|0|0|0|0|0
Atlanta Regional Office| 109552|801-57316|HORIZON INVESTMENTS LLC|HORIZON INVESTMENTS LLC|7401 CARMEL EXECUTIVE PARK|STE 106|CHARLOTTE NC 28226|USA|||  ||THADDEUS W. COOK|704-544-2399|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Other|APPROVED|02/24/2000|0|0|1|0|0|0
Atlanta Regional Office| 109569|801-57003|BRIGHTWORTH, LLC|BRIGHTWORTH, LLC|5445 TRIANGLE PARKWAY, SUITE 150||NORCROSS GA 30092|USA|||  ||SHERRY G. ELDRIDGE|770 368-1700|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/19/1999|0|0|0|0|0|0
Atlanta Regional Office| 109586|801-55920|STRAUSS FINANCIAL GROUP, INC.|STRAUSS FINANCIAL GROUP, INC.|5300 CAHAHA RIVER ROAD, SUITE 200||BIRMINGHAM AL 35243|USA|||  ||HEIDI BEACH STRAUSS|205-967-9595|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|09/28/1998|0|0|0|0|0|0
Atlanta Regional Office| 109600|801-54962|CARNEGIE CAPITAL ADVISORS LLC|CARNEGIE CAPITAL ADVISORS LLC|SOUTH PARK TOWERS 12TH FLOOR|6000 FAIRVIEW RD|CHARLOTTE NC 28210|USA|PO BOX 11967||CHARLOTTE NC 28220|USA|MICHELLE ANN MAIDT|704 643 6464|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|10/15/1997|0|0|0|0|0|0
Atlanta Regional Office| 109602|801-56364|LITTLEFIELD ASSET MGMT. INC.|LITTLEFIELD ASSET MGMT. INC.|948 CASTLE FALLS DRIVE||ATLANTA GA 30329|USA|PO BOX 15360||ATLANTA GA 30333|USA|DAVID JOSEPH LITTLEFIELD|(404) 634-5404|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|03/26/1999|0|0|0|0|0|0
Atlanta Regional Office| 109606|801-56221|SUMMIT ASSET MANAGEMENT LLC|SUMMIT ASSET MANAGEMENT LLC|4729 SPOTTSWOOD AVENUE||MEMPHIS TN 38117-4818|USA|||  ||STEPHEN H. RHEA, JR.|901/683-6669|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|01/21/1999|0|0|0|0|0|0
Atlanta Regional Office| 109685|801-58222|JK HARRIS ADVISORS, LLC|JK HARRIS ADVISORS, LLC|4975 LACROSS ROAD|SUITE 110|NORTH CHARLESTON SC 29406|USA|4995 LACROSS ROAD|SUITE 1800|NORTH CHARLESTON SC 29406|USA|AUGUSTINE J. ORTEGA|800-313-0877, EXT. 2203|Limited Liability Company|Financial planning services|APPROVED|12/15/2000|0|0|0|0|0|0
Atlanta Regional Office| 109689|801-56501|BROWN FINANCIAL ADVISORY INC|BROWN FINANCIAL ADVISORY INC|508 FAIRHOPE AVENUE||FAIRHOPE AL 36532|USA|||  ||JOHN BROWN|251-928-9498|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/04/1999|0|0|0|0|0|0
Atlanta Regional Office| 109762|801-57269|CAPITAL DIRECTIONS LLC|CAPITAL DIRECTIONS INVESTMENT ADVISORS LLC|400 NORTHRIDGE ROAD|SUITE 220|ATLANTA GA 30350|USA|||  ||DENNIS W. COVINGTON|404-237-8881|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/17/2000|0|0|0|0|0|0
Atlanta Regional Office| 109772|801-43611|COMPREHENSIVE FINANCIAL PLANNING INC|COMPREHENSIVE FINANCIAL PLANNING INC|3883 ROGERS BRIDGE ROAD|SUITE 303-A|DULUTH GA 30097|USA|||  ||RAYMOND HOWE|770-623-3825|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/12/1993|0|0|0|0|0|0
Atlanta Regional Office| 109779|801-57961|WOODMONT INVESTMENT COUNSEL, LLC|WOODMONT INVESTMENT COUNSEL, LLC|102 WOODMONT BLVD|SUITE 350|NASHVILLE TN 37205|USA|||  ||STEPHEN A. FROHSIN|615-297-5250|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/11/2000|0|0|0|0|0|0
Atlanta Regional Office| 109799|801-57028|HALSEY ADVISORY AND MANAGEMENT,   LLC|HALSEY ADVISORY AND MANAGEMENT,  LLC|117 BOUNTY STREET||DANIEL ISLAND SC 29492|USA|||  ||TYSON HALSEY|(212) 237-1414|Limited Liability Company|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|12/01/1999|0|0|0|0|0|0
Atlanta Regional Office| 109817|801-31661|SOUTHEASTERN ADVISORY SERVICES INC|SOUTHEASTERN ADVISORY SERVICES INC|12 PIEDMONT CENTER|SUITE 202|ATLANTA GA 30305|USA|||  ||JOHN L. SMALL|404-237-3156|Corporation|Pension consulting services|APPROVED|03/17/1988|0|0|0|0|0|0
Atlanta Regional Office| 109827|801-50316|TIMBERVEST LLC|TIMBERVEST LLC|3715 NORTHSIDE PARKWAY|BUILDING 200, SUITE 500|ATLANTA GA 30327|USA|||  ||BARBARA WESTBROOK|404-848-7505|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|10/05/1995|0|0|0|0|0|0
Atlanta Regional Office| 109832|801-46630|QUANTUM/DARIEN, LP|QUANTUM/DARIEN, LP|1705 MILAN||NEW ORLEANS LA 70113|USA|||  ||HARRY TABONY|504-895-1550|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/01/1994|0|0|0|0|0|0
Atlanta Regional Office| 109843|801-31614|C. F. PARKS & CO., INC.|C.F. PARKS & CO., INC.|1932 SOUTH MAIN STREET||SALISBURY NC 28144|USA|POST OFFICE BOX 1216||SALISBURY NC 28145|USA|CHARLES F. PARKS|704-637-6011|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/22/1988|0|0|0|0|0|0
Atlanta Regional Office| 109867|801-60334|FINANCIAL AND INVESTMENT MANAGEMENT ADVISORS, INC.|FINANCIAL AND INVESTMENT MANAGEMENT ADVISORS, INC.|72108 RAMOS AVENUE|SUITE D|COVINGTON LA 70433|USA|P.O. BOX 1723||COVINGTON LA 70434-1723|USA|SCOTT BORDELON|985-893-1440|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters, Other|APPROVED|06/22/2001|0|0|0|0|0|0
Atlanta Regional Office| 109873|801-57345|MATRIX WEALTH ADVISORS, INC.|MATRIX WEALTH ADVISORS, INC|831 EAST MOREHEAD STREET|SUITE 760|CHARLOTTE NC 28202-2731|USA|||  ||GILES ALMOND|704-940-4292|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|03/10/2000|0|0|0|0|0|0
Atlanta Regional Office| 109944|801-60062|G.I.F. SERVICES, LLC|G.I.F. SERVICES, LLC|3908 RANDALL FARM ROAD||ATLANTA GA 30339|USA|1266 WEST PACES FERRY RD, #442||ATLANTA GA 30327|USA|JOHN J. TILLAPAUGH|770-319-0037|Limited Liability Company|Selection of other advisers|APPROVED|03/01/2001|0|0|0|0|0|0
Atlanta Regional Office| 110113|801-46654|DBA, BAILEY & ASSOCIATES|BAILEY DELTON OVID JR/SC/|1122 LADY STREET, SUITE 605||COLUMBIA SC 29201|USA|||  ||PATRICIA BAILEY|(803) 799-6850|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/21/1994|0|0|0|0|0|0
Atlanta Regional Office| 110115|801-60222|ADVISOR FINANCIAL SERVICES, LLP|ADVISOR FINANCIAL SERVICES, LLP|302 CREEKSTONE RIDGE||WOODSTOCK GA 30188|USA|||  ||ROBERT J. COOPMAN|770-517-6411|Limited Liability Partnership|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|05/04/2001|0|0|0|0|0|0
Atlanta Regional Office| 110137|801-62178|COVENANT PARTNERS, LLC|COVENANT PARTNERS, LLC|BURTON HILLS IV OFFICE BUILDING|40 BURTON HILLS BLVD, SUITE 140|NASHVILLE TN 37215|USA|P.O. BOX 158187||NASHVILLE TN 37215|USA|TODD D. GLISSON|615-665-1801|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|06/27/2003|0|0|0|0|0|0
Atlanta Regional Office| 110163|801-27363|FOREST INVESTMENT ASSOCIATES|FOREST INVESTMENT ASSOCIATES L.P.|15 PIEDMONT CENTER|SUITE 1250|ATLANTA GA 30305-1509|USA|||  ||CHRISTINA D. PURCELL|404-261-9575|Partnership|Other|APPROVED|06/20/1986|0|0|0|0|0|0
Atlanta Regional Office| 110167|801-48914|INTERNATIONAL DISCOUNT INVESTORS|INTERNATIONAL DISCOUNT INVESTORS INC|4814 OLD KINGSTON PIKE||KNOXVILLE TN 37919-6424|USA|||  ||JOHN C. PARKS|865-212-4333|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|04/13/1995|0|2|0|0|0|0
Atlanta Regional Office| 110177|801-57207|EAGLE CAPITAL MANAGEMENT, LLC|EAGLE CAPITAL MANAGEMENT, LLC|HEARST PLAZA, 4937 HEARST ST., SUITE 2L||METAIRIE LA 70001|USA|||  ||MICHAEL ROHM|504-250-4049|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/01/2000|0|0|0|0|0|0
Atlanta Regional Office| 110231|801-55855|RESOURCE MANAGEMENT INC|RESOURCE MANAGEMENT INC|3300 WEST ESPLANADE AVE STE 212||METAIRE LA 70002|USA|||  ||D. RANDOLPH WAESCHE|504-833-5378|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|09/02/1998|0|0|0|0|0|0
Atlanta Regional Office| 110257|801-53402|COLONIAL ASSET MANAGEMENT INC|COLONIAL ASSET MANAGEMENT INC|359 SOUTH PINE STREET||SPARTANBURG SC 29302|USA|P.O. BOX 1724||SPARTANBURG SC 29304|USA|BERT D. BARRE|864-582-3356|Corporation|Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|02/21/1997|0|0|0|0|0|0
Atlanta Regional Office| 110267|801-17960|BRANDON FINANCIAL PLANNING INC.|BRANDON FINANCIAL PLANNING INC.|5101 WHEELIS ROAD|SUITE 112|MEMPHIS TN 38117|USA|P O BOX 770870||MEMPHIS TN 38177|USA|RAY BRANDON|901-324-6600|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|12/03/1982|0|0|0|0|0|0
Atlanta Regional Office| 110271|801-15563|CRAWFORD INVESTMENT COUNSEL INC|CRAWFORD INVESTMENT COUNSEL INC|600 GALLERIA PARKWAY, NW|SUITE 1650|ATLANTA GA 30339|USA|||  ||LISA NAJDOWSKI|770-859-0045|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/15/1980|0|0|0|0|0|0
Atlanta Regional Office| 110311|801-60071|CHARLES MICHAEL MILLER|CHARLES MICHAEL MILLER|306 CHAMBERLAIN BLVD.||KNOXVILLE TN 37920|USA|||  ||CHARLES MICHAEL MILLER|865-609-8222|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|04/13/2001|0|0|0|0|0|0
Atlanta Regional Office| 110313|801-53089|ANDERSON GRIGGS PORTFOLIO MANAGEMENT|ANDERSON GRIGGS & COMPANY, INC.|113 E. MAIN STREET, SUITE 310||ROCK HILL SC 29730|USA|||  ||KENDALL J. ANDERSON|803-324-5044|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|09/15/1996|0|0|0|0|0|0
Atlanta Regional Office| 110332|801-23135|BETH WRIGHT WOODSIDE, CFP|WOODSIDE, BETH WRIGHT|104 SOUTH MAIN ST.|SUITE 801|GREENVILLE SC 29601|USA|P.O. BOX 10737||GREENVILLE SC 29603|USA|BETH WRIGHT WOODSIDE|864-232-9950|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|12/27/1984|0|0|0|0|0|0
Atlanta Regional Office| 110344|801-15641|TRENHOLM PETER INVESTMENT COUNSEL|TRENHOLM PETER INC|300 MILLWOOD RD||ABBEVILLE SC 29620|USA|||  ||JOHN P.TRENHOLM|864.366-9044|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|11/10/1980|0|0|0|0|0|0
Atlanta Regional Office| 110375|801-55086|JE WILSON ADVISORS, LLC|JE WILSON ADVISORS, LLC|2431 DEVINE STREET||COLUMBIA SC 29205|USA|||  ||JAMES E. WILSON|(803)799-9203|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|12/05/1997|0|0|0|0|0|0
Atlanta Regional Office| 110397|801-16306|ZWJ INVESTMENT COUNSEL INC|ZWJ INVESTMENT COUNSEL INC|75 14TH STREET NE|SUITE 2900|ATLANTA GA 30309-7604|USA|||  ||CHARLES J. WALLACE, JR.|404-873-2211|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/10/1981|0|0|0|0|0|0
Atlanta Regional Office| 110400|801-26038|HORIZON CAPITAL MANAGEMENT, INC.|HORIZON CAPITAL MANAGEMENT, INC.|106 VALERIE DR||LAFAYETTE LA 70508-6008|USA|||  ||MARK THOMAS|337-993-3613|Corporation|Portfolio management for investment companies|APPROVED|12/31/1985|0|0|0|0|0|0
Atlanta Regional Office| 110408|801-32478|STERNE AGEE ASSET MANAGEMENT|STERNE AGEE ASSET MANAGEMENT INC|800 SHADES CREEK PARKWAY|SUITE 125|BIRMINGHAM AL 35209|USA|||  ||JOHN H. POOLE, JR.|(205) 414-3339|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/29/1988|0|0|0|0|0|0
Atlanta Regional Office| 110418|801-16512|PALMER JONES & ASSOCIATES, INC.|JONES PALMER & ASSOCIATES INC|8 TIDELANDS CT||BLUFFTON SC 29910|USA|||  ||GLENDON JONES|843-757-0050|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|11/06/1981|0|0|0|0|0|0
Atlanta Regional Office| 110440|801-45421|THE HARBINGER GROUP JV|THE HARBINGER GROUP JV|2100 THIRD AVENUE NORTH, STE 600||BIRMINGHAM AL 35203|USA|||  ||MICHAEL BAUDER|205/987-5500|Other (specify)|Other|APPROVED|01/05/1994|0|0|0|0|0|0
Atlanta Regional Office| 110447|801-40001|CAPITAL MANAGEMENT ADVISORS INC|CAPITAL MANAGEMENT ADVISORS INC|ONE PARKWAY CENTER|1850 PARKWAY PL SE, STE 135|MARIETTA GA 30067-8219|USA|||  ||TED J. PROPES|770-422-4606|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|11/05/1991|0|0|0|0|0|0
Atlanta Regional Office| 110460|801-25365|CONSOLIDATED ASSET MANAGEMENT, LTD.|CONSOLIDATED ASSET MANAGEMENT LTD|517 NORTH HOWE STREET||SOUTHPORT NC 28461|USA|||  ||SHERRY L. FISHER|(410) 964-6690|Corporation|Portfolio management for individuals and/or small businesses, Market timing services|APPROVED|09/27/1985|0|0|0|0|0|0
Atlanta Regional Office| 110501|801-9488|MAURY WADE & COMPANY|EUGENE MAURY WADE, JR.|5100 POPLAR AVENUE|SUITE 2224|MEMPHIS TN 38137|USA|||  ||MAURY WADE, JR.|901 682-4613|Sole Proprietorship|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/02/1973|0|0|0|0|0|0
Atlanta Regional Office| 110519|801-27098|BUSINESS & WEALTH ADVISORS INC|BUSINESS & WEALTH ADVISORS INC|1050 CROWN POINTE PARKWAY|STE #920|ATLANTA GA 30338|USA|||  ||WAYNE E. CHODKOWSKI|770-396-5300|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|05/29/1986|0|0|0|0|0|0
Atlanta Regional Office| 110522|801-38978|BALLEW RUSSELL INC|BALLEW RUSSELL INC|4800 I-55 NORTH|SUITE 21|JACKSON MS 39211|USA|P.O. BOX 14888||JACKSON MS 39236-4888|USA|PATRICIA MARTIN|601-368-3500|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Publication of periodicals or newsletters|APPROVED|06/21/1991|0|0|0|0|0|0
Atlanta Regional Office| 110531|801-60181|WESBAN FINANCIAL CONSULTANTS, P.C.|WESBAN FINANCIAL CONSULTANTS, P.C.|1800 PROVIDENCE PARK, SUITE 200||BIRMINGHAM AL 35242|USA|||  ||DONNA MINSHEW|(205) 995-7778|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/06/2001|0|0|0|0|0|0
Atlanta Regional Office| 110533|801-60234|CAPITAL ONE ASSET MANAGEMENT, LLC|CAPITAL ONE ASSET MANAGEMENT, LLC|313 CARONDELET, 7TH FL.||NEW ORLEANS LA 70130|USA|||  ||RICHARD L. CHAUVIN|(225) 381-2334|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/01/2001|0|16|0|0|0|0
Atlanta Regional Office| 110554|801-60024|CORNERSTONE ADVISORS, INC.|CORNERSTONE ADVISORS, INC.|ONE WEST PACK SQUARE|SUITE 1650|ASHEVILLE NC 28801|USA|||  ||WILLIAM A. CLARK|828-210-8184|Corporation|Portfolio management for investment companies|APPROVED|02/14/2001|0|0|0|0|0|0
Atlanta Regional Office| 110577|801-55926|HARBERT FUND ADVISORS, INC.|HARBERT FUND ADVISORS, INC.|2100 THIRD AVENUE NORTH, STE 600||BIRMINGHAM AL 35203|USA|||  ||MICHAEL BAUDER|205/987-5500|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|10/27/1998|0|1|0|0|0|0
Atlanta Regional Office| 110624|801-27087|SOCIAL RESPONSIBILITY INVESTMENT GROUP, INC.|SOCIAL RESPONSIBILITY INVESTMENT GROUP, INC.|1145 ZONOLITE ROAD|SUITE 7|ATLANTA GA 30306|USA|||  ||HUGH J. KELLEY|404-815-7977|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/29/1986|0|0|0|0|0|0
Atlanta Regional Office| 110663|801-35883|DOMAIN CAPITAL ADVISORS, LLC|DOMAIN CAPITAL ADVISORS, LLC|1100 ABERNATHY ROAD NE BLDG.500|SUITE 700|ATLANTA GA 30328|USA|||  ||JOHN R. LUCKETT|770.551.0007|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/09/1990|0|0|0|0|0|0
Atlanta Regional Office| 110667|801-57973|GOLDEN CAPITAL MANAGEMENT, LLC|GOLDEN CAPITAL MANAGEMENT, LLC|10715 DAVID TAYLOR DR|SUITE 150|CHARLOTTE NC 28262|USA|||  ||ROBERT B. CARROLL|704-593-1144 X 112|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|10/04/2000|0|1|1|0|0|0
Atlanta Regional Office| 110671|801-24252|RESOURCE ADVISORY SERVICES, INC.|RESOURCE ADVISORY SERVICES, INC.|ONE LAKESIDE CENTRE|2035 LAKESIDE CENTRE WAY, SUITE 110|KNOXVILLE TN 37922|USA|||  ||J. DAVID LEWIS|865-560-0140|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|06/04/1985|0|0|0|0|0|0
Atlanta Regional Office| 110676|801-24716|NEWSOUTH CAPITAL MANAGEMENT INC|NEWSOUTH CAPITAL MANAGEMENT INC|1100 RIDGEWAY LOOP RD|SUITE 444|MEMPHIS TN 38120-4058|USA|||  ||PATRICK J. DANEHY|901-761-5561|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/21/1985|0|0|0|0|0|0
Atlanta Regional Office| 110707|801-57810|BUCKHEAD CAPITAL MANAGEMENT, LLC|BUCKHEAD CAPITAL MANAGEMENT, LLC|3330 CUMBERLAND BOULEVARD|SUITE 650|ATLANTA GA 30339-5995|USA|||  ||CYNTHIA L. PRINCE|404-720-8797|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/09/2000|0|0|0|0|0|0
Atlanta Regional Office| 110775|801-14116|FLOWER WALTER C & CO INC|FLOWER WALTER C & CO INC|408 MAGAZINE STREET||NEW ORLEANS LA 70130-2435|USA|||  ||WALTER C. FLOWER III|504.524.8276|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|10/20/1978|0|0|0|0|0|0
Atlanta Regional Office| 110798|801-57287|TRINITY CAPITAL INVESTORS|TRINITY CAPITAL INVESTORS|800 AVERY BLVD|STE H|RIDGELAND MS 39157|USA|P O BOX 2840||RIDGELAND MS 39158|USA|JEFF WILSON|601-956-3511|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/18/2000|0|0|0|0|0|0
Atlanta Regional Office| 110854|801-15919|MCMILLION CAPITAL MANAGEMENT INC|MCMILLION CAPITAL MANAGEMENT INC|701 GREEN VALLEY ROAD|SUITE 104|GREENSBORO NC 27408|USA|P. O. BOX 21447||GREENSBORO NC 27420|USA|DONALD C. MCMILLION|(336)274-2491|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|04/10/1981|0|0|0|0|0|0
Atlanta Regional Office| 110876|801-48755|PW ADVISERS INC|PW ADVISERS INC|15 RICHARD ARRINGTON JR., BLVD NORTH||BIRMINGHAM AL 35203-4103|USA|||  ||JAMES H. WHITE, III|205-252-3681|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|05/12/2005|0|4|0|0|0|0
Atlanta Regional Office| 110945|801-49710|FAMILY LEGACY, INC.|FAMILY LEGACY, INC.|104 BROADUS AVENUE||GREENVILLE SC 29601|USA|||  ||CHRISTOPHER A. BROWN|864-233-2788|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|08/15/1995|0|0|0|0|0|0
Atlanta Regional Office| 110955|801-20842|CLARK FINANCIAL ADVISORS|B, B, H, & B INC.|4128 CROSSHAVEN DRIVE||BIRMINGHAM AL 35243|USA|P O BOX 43828||BIRMINGHAM AL 35243|USA|MARIO HUMBERT|205-298-8480|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/16/1984|0|0|0|0|0|0
Atlanta Regional Office| 110996|801-14470|PAUL MANNERS & ASSOCIATES, INC.|MANNERS PAUL & ASSOCIATES, INC.|3414 PEACHTREE ROAD NE|SUITE 1250|ATLANTA GA 30326|USA|||  ||DAVID CRAIG|479-452-0996|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/22/1979|0|0|0|0|0|0
Atlanta Regional Office| 111002|801-30924|LEE DANNER & BASS INC|LEE DANNER & BASS INC|3100 WEST END AVENUE|SUITE 1250|NASHVILLE TN 37203|USA|||  ||MARK B. SMITH|615-244-7775|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/27/1987|0|0|0|0|0|0
Atlanta Regional Office| 111025|801-11913|CONSOLIDATED PLANNING CORP|CONSOLIDATED PLANNING CORP|400 COLONY SQUARE|STE 525|ATLANTA GA 30361|USA|||  ||ROBERT D. BORDETT|404-892-1995|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/06/1976|0|0|0|0|0|0
Atlanta Regional Office| 111042|801-18528|WILLIS INVESTMENT COUNSEL INC|WILLIS INVESTMENT COUNSEL INC|710 GREEN STREET||GAINESVILLE GA 30501|USA|||  ||ROBERT WILLIS|770-718-0706|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|03/22/1983|0|0|0|0|0|0
Atlanta Regional Office| 111049|801-20028|SOVEREIGN ADVISERS|SOVEREIGN HOLDINGS LLC|3440 TORINGDON WAY|SUITE 308|CHARLOTTE NC 28277|USA|||  ||TIM JENKINS|704-366-1091|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|10/21/1983|0|0|0|0|0|0
Atlanta Regional Office| 111055|801-57165|WINDHAM BRANNON FINANCIAL GROUP, INC.|WINDHAM BRANNON FINANCIAL GROUP, INC.|1355 PEACHTREE ST|STE 200|ATLANTA GA 30309|USA|||  ||JAMES W. HEARD|404-898-2000|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/14/2000|0|0|0|0|0|0
Atlanta Regional Office| 111071|801-56214|JONAS BRITTAIN GLENN INC.|JONAS BRITTAIN GLENN INC.|% WACHOVIA BK.  TR. DEPT.|101 N PINE ST.|SPARTANBURG SC 29304|USA|||  ||JONAS B. GLENN|843-722-3080|Other (specify)|Portfolio management for individuals and/or small businesses|APPROVED|03/09/1999|0|0|0|0|0|0
Atlanta Regional Office| 111077|801-58281|ARBOR INVESTMENT ADVISORS|ARBOR INVESTMENT ADVISORS, LLC|100 NORTH CHERRY STREET|SUITE 500|WINSTON SALEM NC 27101|USA|||  ||SCOTT EDWARD CAWOOD|336-777-1677|Limited Liability Company|Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters, Other|APPROVED|01/24/2001|0|0|0|0|0|0
Atlanta Regional Office| 111093|801-60113|SELECT CONSULTING, INC.|SELECT CONSULTING, INC.|8816 RED OAK BLVD SUITE 260||CHARLOTTE NC 28217|USA|||  ||ROBERT V SYTZ JR|704-426-6100|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/23/2001|0|0|0|0|0|0
Atlanta Regional Office| 111111|801-16393|WILLIAMSON & SNEED INCORPORATED|WILLIAMSON & SNEED INCORPORATED|1301 HIGHTOWER TRAIL|SUITE 350|ATLANTA GA 30350|USA|||  ||MARK A. SNEED|678-935-0000|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|07/31/1981|0|0|0|0|0|0
Atlanta Regional Office| 111220|801-60115|RELIANT INVESTMENT MANAGEMENT, LLC|RELIANT INVESTMENT MANAGEMENT, LLC|6077 PRIMACY PARKWAY|SUITE 130|MEMPHIS TN 38119-5766|USA|||  ||JOHN HUFFMAN|901-843-0600|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/26/2001|0|0|0|0|0|0
Atlanta Regional Office| 111270|801-56718|FEE-ONLY PLANNING PROFESSIONALS, LLC|FEE-ONLY PLANNING PROFESSIONALS, LLC|3940 MONTCLAIR RD|SUITE 406|BIRMINGHAM AL 35213|USA|||  ||GREG WEYANDT|205-871-5805|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|07/29/1999|0|0|0|0|0|0
Atlanta Regional Office| 111273|801-56254|THE WELCH GROUP, LLC|THE WELCH GROUP, LLC|3940 MONTCLAIR RD|FIFTH FLOOR|BIRMINGHAM AL 35213|USA|||  ||GREG WEYANDT|205-879-5001|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|02/02/1999|0|0|0|0|0|0
Atlanta Regional Office| 111283|801-56888|ENTRUST INVESTMENT MANAGEMENT LLC|ENTRUST INVESTMENT MANAGEMENT LLC|2401 TOWER DRIVE||MONROE LA 71201|USA|P.O. BOX 14096||MONROE LA 71207|USA|RICHARD E. BORDELON|318-322-7157|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|09/28/1999|0|0|0|0|0|0
Atlanta Regional Office| 111359|801-39597|ORLEANS CAPITAL MANAGEMENT CORP|ORLEANS CAPITAL MANAGEMENT CORP|594 ASBURY DRIVE, SUITE E||MANDEVILLE LA 70471|USA|||  ||L. FARRELL CRANE, JR.|504-592-4680|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/02/1991|0|0|0|0|0|0
Atlanta Regional Office| 111471|801-56673|MORTON WEALTH MANAGEMENT LLC|MORTON WEALTH MANAGEMENT LLC|628 GREEN VALLEY ROAD, SUITE 206||GREENSBORO NC 27408|USA|||  ||STEVEN H. MORTON|336-294-8585|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Financial planning services|APPROVED|07/13/1999|0|0|0|0|0|0
Atlanta Regional Office| 111491|801-49757|YON DRAKE & ASSOCIATES INC|YON DRAKE & ASSOCIATES INC|914 RICHLAND ST|SUITE C-200|COLUMBIA SC 29201|USA|P.O. BOX 2139||COLUMBIA SC 29202-2139|USA|DAVID A. YON|803-256-1212, X28|Corporation|Pension consulting services, Selection of other advisers, Other|APPROVED|07/27/1995|0|0|0|0|0|0
Atlanta Regional Office| 111524|801-43321|RESOURCE PLANNING GROUP, LTD.|RESOURCE PLANNING GROUP, LTD.|7000 PEACHTREE DUNWOODY RD|BUILDING 6, SUITE 100|ATLANTA GA 30328|USA|||  ||JOHN HOWARD|770/671/9500|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/11/1993|0|0|0|0|0|0
Atlanta Regional Office| 111629|801-61837|NETINVESTMENTADVISOR.COM|NETINVESTMENTADVISOR.COM, INC.|2713 WELLINGTON DR.||AUGUSTA GA 30909|USA|P.O.BOX 40052||AUGUSTA GA 30909|USA|KATHERINE H. PRICE|706-833-3704|Corporation|Pension consulting services, Other|APPROVED|02/28/2003|0|0|0|0|0|0
Atlanta Regional Office| 111635|801-62905|J. MARK NICKELL & CO.|J. MARK NICKELL & CO.|104 EAST PARK DRIVE, SUITE 310||BRENTWOOD TN 37027|USA|||  ||J. MARK NICKELL|615 371-6622|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|03/26/2004|0|0|0|0|0|0
Atlanta Regional Office| 111715|801-27629|MORGAN ASSET MANAGEMENT, INC.|MORGAN ASSET MANAGEMENT, INC.|1901 6TH AVENUE NORTH|FOURTH FLOOR|BIRMINGHAM AL 35203|USA|||  ||MICHELE F. WOOD|901-579-2744|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/15/1986|0|1|0|0|0|0
Atlanta Regional Office| 111726|801-54778|WELLS ASSET MANAGEMENT INC|WELLS ASSET MANAGEMENT INC|6200 THE CORNERS PARKWAY||NORCROSS GA 30092|USA|P O BOX 926040||NORCROSS GA 30092-9209|USA|JILL W. MAGGIORE|770-243-8138|Corporation|Portfolio management for investment companies|APPROVED|10/23/1997|0|1|0|0|0|0
Atlanta Regional Office| 111748|801-57832|COUNCILMARK ASSET MANAGEMENT, LLC|COUNCILMARK ASSET MANAGEMENT, LLC|DOME BUILDING, SUITE 401|736 GEORGIA AVENUE|CHATTANOOGA TN 37402|USA|||  ||DANIEL WALDEN PETTWAY|(423) 424-2299|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/17/2000|0|0|0|0|0|0
Atlanta Regional Office| 111753|801-61425|CORNERSTONE INVESTMENT PARTNERS, LLC|CORNERSTONE INVESTMENT PARTNERS, LLC|8097 ROSWELL ROAD|BUILDING A|ATLANTA GA 30350|USA|||  ||DARLENE BROGIE|770-393-2852|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/13/2002|0|0|0|0|0|0
Atlanta Regional Office| 111983|801-60142|HORIZON ADVISERS|HANCOCK BANK|2510 14TH STREET, 3RD FLOOR||GULFPORT MS 39501|USA|||  ||KENDRA CAIN|225-248-7109|Other (specify)|Portfolio management for investment companies|APPROVED|04/03/2001|0|0|0|0|0|0
Atlanta Regional Office| 112028|801-60187|ARGENT ADVISORS, INC.|ARGENT ADVISORS, INC.|1609 STUBBS AVENUE||MONROE LA 71201|USA|||  ||VICKI TINDALL|318-324-8000|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|04/06/2001|0|0|0|0|0|0
Atlanta Regional Office| 112118|801-60254|GV FINANCIAL ADVISORS, INC.|GV FINANCIAL ADVISORS,INC.|1100 ABERNATHY ROAD|SUITE 500|ATLANTA GA 30328-5646|USA|||  ||SUSAN DAVIS|770-295-5703|Corporation|Financial planning services|APPROVED|05/21/2001|0|0|0|0|0|0
Atlanta Regional Office| 112145|801-60184|CHECKS & BALANCES, INC.|CHECKS & BALANCES, INC.|3290 NORTHSIDE PKWY|SUITE 375|ATLANTA GA 30327|USA|||  ||FRANCES G. ROGERS|404 233-0560|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/25/2001|0|0|0|0|0|0
Atlanta Regional Office| 112155|801-55500|PATRIOT INVESTMENT MANAGEMENT GROUP INC|PATRIOT INVESTMENT MANAGEMENT GROUP INC|9725 COGDILL ROAD|SUITE 102|KNOXVILLE TN 37932|USA|||  ||DONALD E. NALLS|865-777-2479|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/20/1998|0|0|0|0|0|0
Atlanta Regional Office| 112231|801-57365|JONATHAN SMITH & CO.|JONATHAN SMITH & CO. INVESTMENT COUNSEL LLC|128 EAST FISHER AVE||GREENSBORO NC 27401-2034|USA|||  ||ANNE FLEGAL SMITH|336 272 9488|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|04/28/2000|0|0|0|0|0|0
Atlanta Regional Office| 112268|801-60295|FAISON CAPITAL LLC|FAISON CAPITAL LLC|2130 NORTON ROAD||CHARLOTTE NC 28207|USA|||  ||THAD H. FAISON|(704) 332-5152|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/23/2001|0|0|0|0|0|0
Atlanta Regional Office| 112276|801-61875|WOODMONT ADVISORY GROUP, INC.|WOODMONT ADVISORY GROUP, INC.|224 AVALON CIR. SUITE A||BRANDON MS 39047|USA|P.O. BOX 5427||BRANDON MS 39047|USA|HENRY W. STEPHENSON|601-919-8178|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/03/2003|0|0|0|0|0|0
Atlanta Regional Office| 112355|801-60269|WEALTH PLANNERS, LLC|WEALTH PLANNERS, LLC|6230 PERKINS ROAD|SUITE B|BATON ROUGE LA 70808|USA|||  ||MARCEL DUPRE|225-757-8007|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/21/2001|0|0|0|0|0|0
Atlanta Regional Office| 112407|801-56121|ATLANTA INVESTMENT COUNSEL LLC|ATLANTA INVESTMENT COUNSEL LLC|4161 HARRIS TRAIL, NW||ATLANTA GA 30327|USA|||  ||DOUGLAS DAVENPORT|404-841-6132|Limited Liability Company|Portfolio management for investment companies|APPROVED|12/23/1998|0|0|0|0|0|0
Atlanta Regional Office| 112409|801-16429|HILLER GEORGE M COMPANIES LLC|HILLER GEORGE M COMPANIES LLC|1110 MONARCH PLAZA|3414 PEACHTREE RD NE|ATLANTA GA 30326|USA|||  ||HILLER GEORGE|404-365-0222|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|09/25/1981|0|0|0|0|0|0
Atlanta Regional Office| 112521|801-65331|NERY ASSET MANAGEMENT, LLC|NERY ASSET MANAGEMENT, LLC|959 MERRIMON AVENUE|SUITE 6, BOX 9|ASHEVILLE NC 28804|USA|||  ||MICHAEL A. NERY|(828) 225-5908|Limited Liability Company|Other|APPROVED|01/19/2006|0|0|0|0|0|0
Atlanta Regional Office| 112599|801-30155|CHARLES DEROSE, INC.|CHARLES DEROSE, INC.|3004 OLD BRIDGEVIEW LANE||CHARLESTON SC 29403-5298|USA|P.O. BOX 1158||ANNA MARIA FL 34216-1158|USA|CHARLES DE ROSE|800-678-3620|Corporation|Portfolio management for individuals and/or small businesses, Other|APPROVED|09/03/1987|0|0|0|0|0|0
Atlanta Regional Office| 112608|801-45601|PERSONAL MUTUAL FUND MANAGEMENT/401K TOOLBOX|PMFM INC|1061 CLIFF DAWSON RD||WATKINSVILLE GA 30677|USA|||  ||ANN P. ROULEAU|706-583-5144|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Publication of periodicals or newsletters|APPROVED|01/31/1994|0|0|0|0|0|0
Atlanta Regional Office| 112636|801-40818|GROVE INVESTMENTS|GROVE WILLIAM FRANKLIN|213 MARINA DRIVE||ST. SIMONS ISLAND GA 31522|USA|||  ||WILLIAM FRANKLIN GROVE|(912)634-6131|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/20/1992|0|0|0|0|0|0
Atlanta Regional Office| 112660|801-57494|STRUCTURED CREDIT PARTNERS LLC|STRUCTURED CREDIT PARTNERS LLC|ONE WACHOVIA CENTER|301 S COLLEGE STREET NC0602|CHARLOTTE NC 28288-0600|USA|||  ||SCOTT TAYLOR|(704) 374-3390|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/21/2000|0|0|0|0|0|0
Atlanta Regional Office| 112758|801-60393|SIGNATUREFD, LLC|SIGNATUREFD, LLC|600 PEACHTREE STREET, NE|SUITE 1910|ATLANTA GA 30308-2265|USA|||  ||HEATHER ROBERTSON FORTNER|404-253-7692|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/06/2001|0|0|0|0|0|0
Atlanta Regional Office| 112772|801-39296|ALBRITTON CAPITAL MANAGEMENT CO|ALBRITTON CAPITAL MANAGEMENT CO|2475 NORTHWINDS PARKWAY, #200||ALPHARETTA GA 30004|USA|P.O. BOX 1125||ALPHARETTA GA 30009|USA|HUGH ALBRITTON,III|770-753-6041|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/10/1991|0|0|0|0|0|0
Atlanta Regional Office| 112897|801-57054|FRAZIER FINANCIAL CONSULTANTS, LLC|FRAZIER, DEBORAH JANE|109 CONNER DRIVE|SUITE 205|CHAPEL HILL NC 27514|USA|||  ||DEBORAH J|(919)929-6940|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|12/09/1999|0|0|0|0|0|0
Atlanta Regional Office| 113075|801-60397|W.WALL AND COMPANY, INC.|W.WALL AND COMPANY, INC.|TWO TOWN SQUARE|SUITE 310A|ASHEVILLE NC 28803|USA|||  ||WARREN W. WALL|828-651-9617|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/06/2001|0|0|0|0|0|0
Atlanta Regional Office| 113106|801-60350|ALLEN, MOONEY & BARNES INVESTMENT ADVISORS, LLC|ALLEN, MOONEY & BARNES INVESTMENT ADVISORS, LLC|135 SOUTH MADISON STREET||THOMASVILLE GA 31792|USA|P.O. BOX 1116||THOMASVILLE GA 31799-1116|USA|CARLA ROACH|866-277-1500|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/13/2001|0|0|0|0|0|0
Atlanta Regional Office| 113181|801-60383|REGATTA RESEARCH & MONEY MANAGEMENT L.L.C.|REGATTA RESEARCH & MONEY MANAGEMENT L.L.C.|2121 N. CAUSEWAY BLVD.|SUITE 257|METAIRIE LA 70001-2894|USA|11931 JUSTICE AVE., STE. D||BATON ROUGE LA 70816|USA|RUDY J. BLANCHARD|225-291-2502 X3|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters, Market timing services, Other|APPROVED|07/03/2001|0|0|0|0|0|0
Atlanta Regional Office| 113205|801-62828|FFC CAPITAL MANAGEMENT|FRANCIS FINANCIAL GROUP, LLC|400 POYDRAS STREET|SUITE 2400|NEW ORLEANS LA 70130|USA|||  ||OCTAVE J. FRANCIS, III|504-299-2990|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|03/15/2004|0|1|0|0|0|0
Atlanta Regional Office| 113224|801-57862|SATUIT CAPITAL MANAGEMENT, LLC|SATUIT CAPITAL MANAGEMENT, LLC|15 EASTLAKE ROAD||MT PLEASANT SC 29464|USA|||  ||DAVID D. JONES|281-419-2140|Limited Liability Company|Portfolio management for investment companies|APPROVED|08/16/2000|0|0|0|0|0|0
Atlanta Regional Office| 113364|801-60356|SOUTHPORT CAPITAL, INC.|LIVINGSTON GROUP ASSET MANAGEMENT COMPANY|ONE UNION SQUARE SUITE 300||CHATTANOOGA TN 37402-2936|USA|||  ||CURTIS W. SEILER|423-664-4505|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|06/08/2001|0|0|0|0|0|0
Atlanta Regional Office| 113538|801-60473|ATLANTA LIFE INVESTMENT ADVISORS, INC.|ATLANTA LIFE INVESTMENT ADVISORS, INC.|HERNDON PLAZA|100 AUBURN AVENUE, N.E.|ATLANTA GA 30303|USA|||  ||ANNETTE M. MARSHALL|404-232-8806|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Other|APPROVED|08/10/2001|0|0|0|0|0|0
Atlanta Regional Office| 113584|801-60556|POPE ASSET MANAGEMENT, LLC|POPE ASSET MANAGEMENT, LLC|5100 POPLAR AVENUE|SUITE 805|MEMPHIS TN 38137|USA|||  ||ASHLEY AUSTIN|901/ 763-4001|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/10/2001|0|0|0|0|0|0
Atlanta Regional Office| 113586|801-61148|TYNER CAPITAL MANAGEMENT INVESTMENT COUNSEL, INC.|TYNER CAPITAL MANAGEMENT INVESTMENT COUNSEL, INC.|318 JAMES BOULEVARD||SIGNAL MOUNTAIN TN 37377|USA|P. O. BOX 369||SIGNAL MOUNTAIN TN 37377|USA|PAUL TYNER|423-886-2625|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|05/10/2002|0|0|0|0|0|0
Atlanta Regional Office| 113599|801-60514|GREENWICH ALTERNATIVE ASSET MANAGEMENT, LLC|GREENWICH ALTERNATIVE ASSET MANAGEMENT, LLC|ONE BURTON HILLS BLVD,STE 375||NASHVILLE TN 37215|USA|||  ||JOHN VAN|(615) 377-2949|Limited Liability Company|Other|APPROVED|08/24/2001|0|0|0|0|0|0
Atlanta Regional Office| 113600|801-60529|JOLLEY ASSET MANAGEMENT, LLC|JOLLEY ASSET MANAGEMENT, LLC|210 BRYANT STREET|SUITE A|ROCKY MOUNT NC 27804|USA|P.O. BOX 7967||ROCKY MOUNT NC 27804|USA|TERRY W. SAPP|252-451-1450|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/12/2001|0|0|0|0|0|0
Atlanta Regional Office| 113670|801-60394|ROBYN HARI & ASSOC., PC|ROBYN HARI & ASSOC., PC|229 WARD CIRCLE, STE. B-23||BRENTWOOD TN 37027|USA|||  ||ROBYN A. HARI, CFP, CPA-PFS|615-377-5080|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/03/2001|0|0|0|0|0|0
Atlanta Regional Office| 113688|801-60492|DELTA ASSET MANAGEMENT, LLC|DELTA ASSET MANAGEMENT, LLC|700 COLONIAL ROAD|SUITE 130|MEMPHIS TN 38117-5190|USA|||  ||CHRISMAN, CANDY|901-767-4791|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/21/2001|0|0|0|0|0|0
Atlanta Regional Office| 113713|801-60453|HAYS ADVISORY, LLC|HAYS ADVISORY, LLC|301 SEVEN SPRINGS WAY, SUITE 150||BRENTWOOD TN 37027|USA|||  ||WENDY VASQUEZ|(615) 467-6070|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|08/03/2001|0|0|0|0|0|0
Atlanta Regional Office| 113724|801-60402|DORIAN EASON ASSET MANAGEMENT, LLC|DORIAN EASON ASSET MANAGEMENT, LLC|6750 POPLAR AVENUE|SUITE 810|MEMPHIS TN 38138|USA|||  ||PAUL T. DORIAN|(901)755-2075|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/13/2001|0|0|0|0|0|0
Atlanta Regional Office| 113769|801-68474|CENTURY WEALTH MANAGEMENT, LLC|CENTURY WEALTH MANAGEMENT, LLC|5350 POPLAR AVE.|SUITE 395|MEMPHIS TN 38119|USA|||  ||JAY HEALY|901-850-5532|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|10/22/2007|0|0|0|0|0|0
Atlanta Regional Office| 113772|801-63335|GREENWICH ALTERNATIVE INVESTMENT ADVISORS, LLC|GREENWICH ALTERNATIVE INVESTMENT ADVISORS, LLC|ONE BURTON HILLS BLVD,STE 375||NASHVILLE TN 37215|USA|||  ||JOHN VAN|615-377-2949|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/19/2004|0|0|0|0|0|0
Atlanta Regional Office| 113925|801-64059|NEW PERSPECTIVES, INC.|NEW PERSPECTIVES, INC.|303 HIGHLAND PARK COVE|SUITE B|RIDGELAND MS 39157|USA|303 HIGHLAND PARK COVE|SUITE B|RIDGELAND MS 39157|USA|NANCY LOTTRIDGE ANDERSON|601-991-3158|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Publication of periodicals or newsletters|APPROVED|04/20/2005|0|0|0|0|0|0
Atlanta Regional Office| 113961|801-60743|ASSET MANAGEMENT AND PLANNING, LLC|ASSET MANAGEMENT AND PLANNING, LLC|602 MEETING STREET SUITE C||WEST COLUMBIA SC 29169|USA|||  ||LAURIE WHITE|803-739-6311|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|12/05/2001|0|0|0|0|0|0
Atlanta Regional Office| 114100|801-68875|JAFFE WEALTH MANAGEMENT & CONSULTING, INC.|JAFFE WEALTH MANAGEMENT & CONSULTING, INC.|6465 N. QUAIL HOLLOW RD.|SUITE 260|MEMPHIS TN 38120|USA|||  ||EDWIN H. JAFFE|901-753-3886|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|03/10/2008|0|1|1|0|0|0
Atlanta Regional Office| 114288|801-68076|RESOURCE PARTNERS LLC|RESOURCE PARTNERS LLC|10 13TH AVENUE NW||HICKORY NC 28601|USA|P.O. BOX 3407||HICKORY NC 28603|US|REBECCA MONISH|(828)324-4420|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/05/2007|0|0|0|0|0|0
Atlanta Regional Office| 114315|801-60543|MIMOSA INVESTMENT MANAGEMENT, LLC|MIMOSA INVESTMENT MANAGEMENT, LLC|4400 SILAS CREEK PARKWAY|SUITE 104|WINSTON-SALEM NC 27104|USA|||  ||ROBERT H. KLUTTZ|336-659-0050|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|09/05/2001|0|0|0|0|0|0
Atlanta Regional Office| 114471|801-60460|HUNT COLLINS & ASSOCIATES, LLC|HUNT COLLINS & ASSOCIATES, LLC|524 NORTH TRADE STREET||WINSTON SALEM NC 27101|USA|||  ||RENE CLARK|336/723-1220|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|07/30/2001|0|0|0|0|0|0
Atlanta Regional Office| 114520|801-61871|BILLS ASSET MANAGEMENT|BILLS ASSET MANAGEMENT|3001 FLAGSTONE DRIVE||FRANKLIN TN 37069|USA|||  ||SAM C. BILLS, JR.|615-371-5928|Partnership|Portfolio management for individuals and/or small businesses|APPROVED|03/11/2003|0|0|0|0|0|0
Atlanta Regional Office| 114575|801-63377|THE MOLPUS WOODLANDS GROUP, LLC|THE MOLPUS WOODLANDS GROUP, LLC|654 NORTH STATE STREET||JACKSON MS 39202|USA|||  ||MICHAEL R. COOPER|601-948-8733|Limited Liability Company|Other|APPROVED|07/22/2004|0|0|0|0|0|0
Atlanta Regional Office| 114631|801-64207|EVERGREEN MANAGEMENT, LLC|EVERGREEN MANAGEMENT, LLC|1200 MARKET STREET||CHATTANOOGA TN 37402|USA|||  ||JAMES HARRAL PLACE|423.826.1670|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|05/25/2005|0|0|0|0|0|0
Atlanta Regional Office| 114802|801-64110|GNI CAPITAL INC.|GNI CAPITAL INC.|125 THE PARKWAY|SUITE 201|GREENVILLE SC 29615|USA|||  ||DAVID C. DAMERON|864-288-2849|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/29/2005|0|0|0|0|0|0
Atlanta Regional Office| 114862|801-60830|MORRIS FINANCIAL CONCEPTS, INC.|MORRIS FINANCIAL CONCEPTS, INC.|107 PITT STREET||MOUNT PLEASANT SC 29464-5318|USA|||  ||KYRA H. MORRIS|843-884-6192|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/11/2002|0|0|0|0|0|0
Atlanta Regional Office| 114885|801-66996|RATHER & KITTRELL, INC.|RATHER & KITTRELL, INC.|11905 KINGSTON||KNOXVILLE TN 37934|USA|||  ||LYTLE A. RATHER IV|865-218-8404|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other, Financial planning services|APPROVED|07/14/2006|0|0|0|0|0|0
Atlanta Regional Office| 114968|801-61758|WOODRIDGE CAPITAL PORTFOLIO MANAGEMENT, LLC|WOODRIDGE CAPITAL PORTFOLIO MANAGEMENT, LLC|800 WOODLANDS PKY|SUITE 201|RIDGELAND MS 39157|USA|||  ||BARRY C. SMITH|601-957-6006|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/24/2003|0|0|0|0|0|0
Atlanta Regional Office| 115015|801-60493|GREENWOOD CAPITAL ASSOCIATES, LLC|GREENWOOD CAPITAL ASSOCIATES, LLC|104 MAXWELL AVENUE|GREENWOOD BUILDING, 5TH FLOOR|GREENWOOD SC 29646|USA|POST OFFICE BOX 3181||GREENWOOD SC 29648|USA|MICHAEL NIX|864-941-4049|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/05/2001|0|0|0|0|0|0
Atlanta Regional Office| 115046|801-61728|MASCAGNI & COMPANY, INC.|MASCAGNI & COMPANY, INC.|205 E. MAIN STREET||CLINTON MS 39056|USA|||  ||JULIE SYLVESTER|601-925-8099|Corporation|Financial planning services, Pension consulting services|APPROVED|01/24/2003|0|0|0|0|0|0
Atlanta Regional Office| 115231|801-60517|GREEN SQUARE CAPITAL, LLC|GREEN SQUARE CAPITAL, LLC|6075 POPLAR AVENUE|SUITE 322|MEMPHIS TN 38119|USA|||  ||STEVEN SANSOM|901-259-6300|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|08/24/2001|0|0|0|0|0|0
Atlanta Regional Office| 115332|801-60741|WARREN, AVERETT, KIMBROUGH AND MARINO WEALTH MANAGEMENT, LLC|WARREN, AVERETT, KIMBROUGH AND MARINO WEALTH MANAGEMENT, LLC|2500 ACTON ROAD||BIRMINGHAM AL 35243|USA|||  ||STEVEN C. CAUSEY|205-979-4100|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|11/30/2001|0|0|0|0|0|0
Atlanta Regional Office| 115340|801-62738|STEWARDSHIP PARTNERS INVESTMENT COUNSEL, INC.|STEWARDSHIP PARTNERS INVESTMENT COUNSEL, INC.|2514 PLANTATION CENTER DR.||MATTHEWS NC 28105|USA|||  ||TIM BURNS|1-800-930-6949|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/10/2004|0|0|0|0|0|0
Atlanta Regional Office| 115489|801-60905|BCS FINANCIAL, LLC|BCS FINANCIAL, LLC|801-B SUNSET DRIVE||JOHNSON CITY TN 37604|USA|P.O. BOX 3743||JOHNSON CITY TN 37602|USA|JAMES L MOTTE|423-283-9821|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Publication of periodicals or newsletters|APPROVED|02/08/2002|0|0|0|0|0|1
Atlanta Regional Office| 115526|801-60630|HAMMOND INVESTMENT PLANNING CORPORATION|HAMMOND INVESTMENT PLANNING CORPORATION|4045 ORCHARD ROAD|SUITE 120|SMYRNA GA 30080|USA|||  ||WILLIAM G. HAMMOND|770-226-5343|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|10/12/2001|0|0|0|0|0|0
Atlanta Regional Office| 115613|801-68006|MCALLISTER CAPITAL MANAGEMENT|MCALLISTER CAPITAL MANAGEMENT CORPORATION|1907 DUNBARTON DRIVE|SUITE E|JACKSON MS 39216|USA|||  ||LYLE L. MCALLISTER, JR.|601.362.1000|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/13/2007|0|0|0|0|0|0
Atlanta Regional Office| 115653|801-63770|CORNERSTONE CAPITAL MANAGEMENT, LLC|CORNERSTONE CAPITAL MANAGEMENT, LLC|4011 UNIVERSITY DRIVE|SUITE 202|DURHAM NC 27707|USA|||  ||BRENDA SPIZZO|(919) 419-6400|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|01/03/2005|0|0|0|0|0|0
Atlanta Regional Office| 115725|801-60658|MCW ADVISORS|MCW ADVISORS|84 TALL POPLAR SUMMIT||HENDERSONVILLE NC 28739|USA|||  ||CARL WEAVER|828.692.7004|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|11/09/2001|0|0|0|0|0|0
Atlanta Regional Office| 115824|801-60761|AMERICAN FINANCIAL ADVISORS, LLC.|AMERICAN FINANCIAL ADVISORS, LLC.|2551 ROSWELL ROAD|SUITE 310|MARIETTA GA 30062|USA|||  ||ANDRIA WILLIAMS|770 977-2434|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/13/2001|0|0|0|0|0|0
Atlanta Regional Office| 116047|801-60687|CHARLES D. HAINES, LLC|CHARLES D. HAINES, LLC|600 UNIVERSITY PARK PLACE|SUITE 501|BIRMINGHAM AL 35209|USA|||  ||JOSHUA W. LANCASTER|205-871-3334|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Other|APPROVED|11/09/2001|0|0|0|0|0|0
Atlanta Regional Office| 116091|801-61445|JACKSON THORNTON ASSET MANAGEMENT, LLC|JACKSON THORNTON ASSET MANAGEMENT, LLC|200 COMMERCE STREET||MONTGOMERY AL 36104|USA|P.O. BOX 96||MONTGOMERY AL 36104-0096|USA|JERRY MITCHELL|334-240-3688|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|09/24/2002|0|0|0|0|0|0
Atlanta Regional Office| 116344|801-60666|LEWIS FINANCIAL MANAGEMENT, LLC|LEWIS FINANCIAL MANAGEMENT, LLC|4904 PROFESSIONAL COURT|SUITE 101|RALEIGH NC 27609|USA|||  ||LEWIS, DOUGLAS|(919) 872-7000|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|10/05/2001|0|1|0|0|0|0
Atlanta Regional Office| 116519|801-63224|AVL/WEALTHCARE, LLC|AVL/WEALTHCARE, LLC|9490 THREE RIVERS ROAD||GULFPORT MS 39503|USA|||  ||RODNEY M. VAN LOON|228-863-0437|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|06/08/2004|0|0|0|0|0|0
Atlanta Regional Office| 116565|801-67913|HANKINSON WEALTH MANAGEMENT, INC.|HANKINSON WEALTH MANAGEMENT, INC.|1259 GREENE STREET||AUGUSTA GA 30901|USA|||  ||JAMES W. HANKINSON|706-722-4909|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|06/04/2007|0|0|0|0|0|0
Atlanta Regional Office| 116719|801-60673|ATLANTA CAPITAL|ATLANTA CAPITAL MANAGEMENT COMPANY, L.L.C.|1349 WEST PEACHTREE ST.|TWO MIDTOWN PLAZA STE. 1600|ATLANTA GA 30309|USA|||  ||R. KELLY WILLIAMS, JR.|404-876-9411|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/30/2001|0|0|0|0|0|0
Atlanta Regional Office| 116802|801-65968|CAROLINA CAPITAL CONSULTING, INC.|CAROLINA CAPITAL CONSULTING, INC.|3111 SPRINGBANK LANE|SUITE B|CHARLOTTE NC 28226|USA|||  ||BRIAN H. FENN|704-541-3199|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|02/01/2006|0|1|0|0|0|0
Atlanta Regional Office| 116828|801-68990|WOODWARD FINANCIAL ADVISORS, LLC|WOODWARD FINANCIAL ADVISORS, LLC|1504 E. FRANKLIN ST.|SUITE 105|CHAPEL HILL NC 27514|USA|||  ||HENRY WOODWARD|(919) 929-2495|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|04/10/2008|0|0|0|0|0|0
Atlanta Regional Office| 116840|801-63766|LAIN ASSET MANAGEMENT & PLANNING|LAIN, STEPHEN PAUL|707 WESTCHESTER DRIVE|SUITE 204|HIGH POINT NC 27262-2418|USA|PO BOX 5168||HIGH POINT NC 27262-5168|USA|STEPHEN P. LAIN|336-887-9390|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/03/2005|0|0|0|0|0|0
Atlanta Regional Office| 117040|801-65870|FREEGULLIVER, LLC|FREEGULLIVER, LLC|509 OCTAVIA STREET||NEW ORLEANS LA 70115|USA|||  ||DENISE GUTTENBERG|504-897-4141|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|01/30/2006|0|0|0|0|0|0
Atlanta Regional Office| 117109|801-66239|PLANNING FOR WEALTH, LLC|PLANNING FOR WEALTH, LLC|1900 ROSELAWN AVENUE||MONROE LA 71201|USA|||  ||JO ANN PICKERING|318-325-6500|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/02/2006|0|0|0|0|0|0
Atlanta Regional Office| 117116|801-62403|AMERICAN VALUES INVESTMENTS, INC.|AMERICAN VALUES INVESTMENTS, INC.|1321 SUNSET DRIVE SUITE 23||JOHNSON CITY TN 37604|USA|||  ||DIANA HODGE|423-722-1776|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/29/2003|0|0|0|0|0|0
Atlanta Regional Office| 117221|801-67881|INVESTEDGE|INVESTEDGE LLC|747 DAVENTRY DRIVE||BATON ROUGE LA 70808|USA|||  ||PATRICK R. LANDRY|225-766-9720|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/14/2007|0|0|0|0|0|0
Atlanta Regional Office| 117222|801-66991|TWRU PRIVATE WEALTH MANAGEMENT, LLC|TWRU PRIVATE WEALTH MANAGEMENT, LLC|527 E. AIRPORT AVE||BATON ROUGE LA 70806|USA|||  ||KERRY UFFMAN|225-926-1050|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|08/11/2006|0|0|0|0|0|0
Atlanta Regional Office| 117236|801-62527|KBOC, LLC|KOLTUN, BUCKMAN, ORTIZ CONSULTANTS, L.L.C.|2555 SEVERN AVENUE|SUITE 100|METAIRIE LA 70002|USA|||  ||JAY L. BUCKMAN|(504) 457-6252|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|11/19/2003|0|0|0|0|0|0
Atlanta Regional Office| 117410|801-64883|CARSON ADVISORY, INC.|CARSON ADVISORY, INC.|470 HILL ST.||ATHENS GA 30601|USA|||  ||ROBERT H. CARSON, JR.|706-543-6578|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|01/03/2006|0|0|0|0|0|0
Atlanta Regional Office| 117418|801-63570|FINANCIAL ECONOMICS CONSULTING GROUP, INC.|FINANCIAL ECONOMICS CONSULTING GROUP, INC.|2316 UNIVERSITY BLVD.||TUSCALOOSA AL 35401|USA|||  ||STEPHEN W. REINHART|205-345-0934|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|10/13/2004|0|0|0|0|0|0
Atlanta Regional Office| 117442|801-63241|FINANCIAL MANAGEMENT ADVISORS, INC.|FINANCIAL MANAGEMENT ADVISORS, INC.|115 N. JACKSON STREET|SUITE B|TULLAHOMA TN 37388|USA|PO BOX 1914||TULLAHOMA TN 37388|USA|JIM BRATCHER|931-455-0151|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|07/06/2004|0|0|0|0|0|0
Atlanta Regional Office| 117592|801-63767|STRATEGIC INVESTMENT ADVISORS, INC.|STRATEGIC INVESTMENT ADVISORS, INC.|132 NORTH FIRST STREET||ALBEMARLE NC 28001|USA|P.O. BOX 1517||ALBEMARLE NC 28002||MARTHA O'BRIEN|704-983-5959|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Other|APPROVED|01/03/2005|0|0|0|0|0|0
Atlanta Regional Office| 117816|801-44183|KUHN AND CARSON, INC.|KUHN AND CARSON, INC.|3622 LYCKAN PARKWAY|SUITE 1001|DURHAM NC 27707|USA|||  ||CHARLES RANDALL CLIFTON|919-493-3233|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/21/1993|0|0|0|0|0|0
Atlanta Regional Office| 117825|801-67333|COLHOUN, ROBINS, DAVENPORT & CO., LLC|COLHOUN, ROBINS, DAVENPORT & CO., LLC|505 OLIVE ST.||WINSTON-SALEM NC 27103|USA|||  ||ED L. ROBINS|336-765-7595|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/20/2006|0|0|0|0|0|0
Atlanta Regional Office| 117836|801-66369|CONCORDE FINANCIAL RESOURCES, LLC|CONCORDE FINANCIAL RESOURCES, LLC|1728 WINKLER STREET||WILKESBORO NC 28697|USA|||  ||JAMES C. FAW|(336) 838-4100|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|03/16/2006|0|0|0|0|0|0
Atlanta Regional Office| 117861|801-67526|LINDER FINANCIAL SERVICES, INC.|LINDER FINANCIAL SERVICES, INC.|43 MULBERRY COURT|NONE|HENDERSONVILLE NC 28739|USA|||  ||TOBY LINDER|828-692-0061|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|01/31/2007|0|0|0|0|0|0
Atlanta Regional Office| 117878|801-65204|WUNDERLICH CAPITAL MANAGEMENT|WUNDERLICH CAPITAL MANAGEMENT, LLC|6000 POPLAR AVENUE|SUITE 150|MEMPHIS TN 38119|USA|||  ||PHILIP WUNDERLICH|901-251-1330|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|04/26/2006|0|1|0|0|0|0
Atlanta Regional Office| 117892|801-60849|VERATIS INSTITUTIONAL ADVISORS, INC.|VERATIS INVESTMENT GROUP, INC.|1400 CRESCENT GREEN|SUITE 110|CARY NC 27518-8118|USA|||  ||KENT G. ABBEY|919.460.8875|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Publication of periodicals or newsletters|APPROVED|01/18/2002|0|0|0|0|0|0
Atlanta Regional Office| 117949|801-61848|NOVARE CAPITAL MANAGEMENT|NOVARE CAPITAL MANAGEMENT|128 S. TRYON STREET|SUITE 1580|CHARLOTTE NC 28202|USA|||  ||DON OLMSTEAD|704-334-3698|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/26/2003|0|0|0|0|0|0
Atlanta Regional Office| 118014|801-61315|COPLEY INVESTMENT MANAGEMENT, LLC|COPLEY INVESTMENT MANAGEMENT, LLC|5025 B WRIGHTSVILLE AVE||WILMINGTON NC 28403|USA|||  ||RONALD EDWARD COPLEY|910 452-7147|Limited Liability Company|Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|08/02/2002|0|0|0|0|0|0
Atlanta Regional Office| 118154|801-61246|GW & ASSOCIATES INVESTMENT ADVISORS LLC|GW & ASSOCIATES INVESTMENT ADVISORS LLC|201 SOUTH TRYON STREET|SUITE 1500|CHARLOTTE NC 28202|USA|||  ||JAMES N. REICHARD|704.377.0239|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|06/14/2002|0|0|0|0|0|0
Atlanta Regional Office| 118181|801-68553|COX WEALTH MANAGEMENT, LLC|COX WEALTH MANAGEMENT, LLC|6031 SHALLOWFORD ROAD|SUITE 109|CHATTANOOGA TN 37421-1688|USA|P.O. BOX 22967||CHATTANOOGA TN 37422-2967|USA|RICHARD L. COX, SR.|423-894-3882|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|11/13/2007|0|0|0|0|0|0
Atlanta Regional Office| 118205|801-64622|COLLEGIATE CAPITAL MANAGEMENT, INC.|COLLEGIATE CAPITAL MANAGEMENT, INC.|214 NEW BERN PLACE||RALEIGH NC 27601|USA|||  ||TONY WAYNE SIGMON|(919) 838-0101|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|09/01/2005|0|0|0|0|0|0
Atlanta Regional Office| 118284|801-68032|CLIFTON, ROGER LAMBERT|CLIFTON, ROGER LAMBERT|1081 PHILLIPS ROAD||COLUMBUS NC 28722|USA|||  ||ROGER L. CLIFTON|828-863-4729|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|06/28/2007|0|2|0|0|0|0
Atlanta Regional Office| 118296|801-64487|CAPSTONE WEALTH MANAGEMENT, LLC|CAPSTONE WEALTH MANAGEMENT, LLC|2704 8TH ST.||TUSCALOOSA AL 35401|USA|||  ||JAMES G BRAZIL JR|205-349-2050|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|07/15/2005|0|0|0|0|0|0
Atlanta Regional Office| 118337|801-67174|CAPITAL ASSET MANAGEMENT CORPORATION|CAPITAL ASSET MANAGEMENT CORPORATION|124 MINE LAKE CT.||RALEIGH NC 27615|USA|||  ||GARLAND L. CORLEY|9198475439|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|09/15/2006|0|0|0|0|0|0
Atlanta Regional Office| 118363|801-66188|VISION CAPITAL|VISION CAPITAL & MANAGEMENT|108 SOUTH MAIN|SUITE E|DAVIDSON NC 28036|USA|PO BOX 1750||DAVIDSON NC 28036|USA|ERIC LLOYD VOGEN|704-894-9639|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/15/2006|0|0|0|0|0|0
Atlanta Regional Office| 118412|801-60793|PHOENIX FINANCIAL INC.|PHOENIX FINANCIAL INC.|100 EUROPA DRIVE|SUITE 500|CHAPEL HILL NC 27517|USA|||  ||WILLIAM W. FARLEY, JR|919-929-4448|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|12/14/2001|0|0|0|0|0|0
Atlanta Regional Office| 118437|801-63919|CORNERSTONE INVESTMENT SERVICES, INC.|CORNERSTONE INVESTMENT SERVICES, INC.|1020 ANTIOCH WOODS DR.||MATTHEWS NC 28104|USA|||  ||DAVID HOSHOUR|704-844-1020|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/17/2005|0|0|0|0|0|0
Atlanta Regional Office| 118442|801-63487|CAPITAL ADVISERS, INC.|CAPITAL ADVISERS, INC.|21 GLENWOOD AVENUE, SUITE 107||RALEIGH NC 27603|USA|||  ||ROLAND JONES|919-865-1930|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|09/03/2004|0|0|0|0|0|0
Atlanta Regional Office| 118443|801-62698|FINANCAL SYMMETRY INC.|FINANCIAL SYMMETRY INCORPORATED|1401 SUNDAY DR|SUITE 115|RALEIGH NC 27607|USA|||  ||WILLIAM RAMSAY|919-851-8200|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/28/2004|0|0|0|0|0|0
Atlanta Regional Office| 118469|801-69151|LAUREL WEALTH ADVISORS, LLC|LAUREL WEALTH ADVISORS, LLC|309 S. LAUREL AVENUE||CHARLOTTE NC 28207|USA|||  ||WES SUGG|704-927-4739|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/21/2008|0|1|0|0|0|0
Atlanta Regional Office| 118471|801-61670|GORDON ASSET MANAGEMENT, LLC|GORDON ASSET MANAGEMENT, LLC|1007 SLATER ROAD|SUITE 200|DURHAM NC 27703|USA|||  ||JOSEPH M. GORDON|919-313-6666|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|01/02/2003|0|0|0|0|0|0
Atlanta Regional Office| 118477|801-60845|PERSONAL FINANCIAL ADVISORS, L.L.C.|PERSONAL FINANCIAL ADVISORS, L.L.C.|100 TYLER STREET, NUMBER 6||COVINGTON LA 70433|USA|P. O. BOX 3730||COVINGTON LA 70437-3730|USA|ROBERT JENNINGS REED, JR.|985-898-0450|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/18/2002|0|0|0|0|0|0
Atlanta Regional Office| 118494|801-61700|QMA INVESTMENT MANAGEMENT, LLC|QMA INVESTMENT MANAGEMENT, LLC|3720 WENDWOOD LANE|SUITE 305|CHARLOTTE NC 28211|USA|||  ||CHRISTINE KRAUSE|704-807-3531|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Market timing services|APPROVED|01/10/2003|0|0|0|0|0|0
Atlanta Regional Office| 118519|801-66583|PHYSICIANS FINANCIAL SERVICES, INC.|PHYSICIANS FINANCIAL SERVICES, INC.|13-B GLENWOOD AVENUE||RALEIGH NC 27603|USA|PO BOX 10973||RALEIGH NC 27605|USA|CON T. MCDONALD|919-863-2355|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|06/08/2006|0|0|0|0|0|0
Atlanta Regional Office| 118530|801-64616|CHAPEL HILL INVESTMENT ADVISORS|CHAPEL HILL INVESTMENT ADVISORS, LTD.|6320 QUADRANGLE DRIVE|SUITE 310|CHAPEL HILL NC 27517|USA|||  ||CHARLES D. LEEDY|919.401.3500|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|08/22/2005|0|0|0|0|0|0
Atlanta Regional Office| 118614|801-62721|WEALTHHARBOR CAPITAL GROUP, LLC|WEALTHHARBOR CAPITAL GROUP, LLC|4227 CANAL STREET||NEW ORLEANS LA 70119|USA|||  ||SCOTT GRANDBOUCHE|504-482-1962|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|01/16/2004|0|0|0|0|0|0
Atlanta Regional Office| 118620|801-68225|ERICKSON ADVISORS|LINDA P. ERICKSON, CFP, INC.|301 S. GREENE STREET|SUITE 202|GREENSBORO NC 27401|USA|||  ||LINDA P. ERICKSON|336-274-9403|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/08/2007|0|0|0|0|0|0
Atlanta Regional Office| 118635|801-60803|MORGAN KEEGAN FUND MANAGEMENT, INC.|MORGAN KEEGAN FUND MANAGEMENT, INC.|50 NORTH FRONT STREET||MEMPHIS TN 38103|USA|||  ||THOMAS J. MCQUISTON|901-579-4356|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/10/2002|0|0|0|0|0|0
Atlanta Regional Office| 118668|801-61330|GUARDIAN WEALTH MANAGEMENT, INC.|GUARDIAN WEALTH MANAGEMENT, INC.|6151 SHALLOWFORD ROAD|SUITE 102|CHATTANOOGA TN 37421|USA|||  ||DAVID A. HODGES|423-510-0409|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/19/2002|0|0|0|0|0|0
Atlanta Regional Office| 118696|801-68146|STARKS FINANCIAL GROUP, INC.|STARKS FINANCIAL GROUP, INC.|56 CLAYTON STREET||ASHEVILLE NC 28801|USA|||  ||DAWN G. STARKS|(828) 285-8777|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/23/2007|0|0|0|0|0|0
Atlanta Regional Office| 118698|801-67495|ASSET MANAGEMENT SERVICES|JAMES EVON HAMLETT|129 W. BELLE STREET||HENDERSON NC 27536|USA|||  ||JAMES E. HAMLETT|252-492-8934|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|01/31/2007|0|0|0|0|0|0
Atlanta Regional Office| 118725|801-62185|DAVIDSON CAPITAL|DAVIDSON CAPITAL CORPORATION|705 PENINSULA DRIVE||DAVIDSON NC 28036|USA|||  ||PHILLIP GUSSMAN|704-987-0288|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|07/09/2003|0|0|0|0|0|0
Atlanta Regional Office| 118794|801-58083|THE BEDMINSTER GROUP|WEBER, STEVEN IRA|36 WILLIAM POPE DR STE 201||BLUFFTON SC 29909|USA|||  ||STEVEN WEBER|843-705-5544|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|11/03/2001|0|0|0|0|0|0
Atlanta Regional Office| 118826|801-60966|TRUSTMARK INVESTMENT ADVISORS, INC.|TRUSTMARK INVESTMENT ADVISORS, INC.|1701 LAKELAND DRIVE||JACKSON MS 39216|USA|||  ||ELEANOR MAULDING|601-208-7974|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|03/01/2002|0|0|0|0|0|0
Atlanta Regional Office| 118849|801-66680|MAIN STREET FINANCIAL GROUP, INC|MAIN STREET FINANCIAL GROUP, INC|22 NORTH TRADE STREET||TRYON NC 28782|USA|||  ||C. ANDREW MILLARD|828-859-9252|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Other|APPROVED|05/04/2006|0|0|0|0|0|0
Atlanta Regional Office| 118896|801-62981|MELD FINANCIAL, INC.|MELD FINANCIAL, INC.|3008 PUMP HOUSE RD.||BIRMINGHAM AL 35243|USA|P.O. BOX 43626||BIRMINGHAM AL 35243|USA|MARK ALAN MCGARVEY|205-967-4200|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|04/07/2004|0|0|0|0|0|0
Atlanta Regional Office| 118937|801-61751|BLUE RIDGE TRUST|SMILEY, WILLIAM, MICHAEL|10333 OLD CAROLINA DRIVE||CHARLOTTE NC 28214|USA|3611-204 MT HOLLY-HUNTERSVILLE RD|BOX 245|CHARLOTTE NC 28216|USA|WILLIAM MICHAEL SMILEY|704-399-7010|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/23/2003|0|0|0|0|0|0
Atlanta Regional Office| 119058|801-60982|G/T OFFSHORE MANAGEMENT, L.L.C.|G/T OFFSHORE MANAGEMENT,L.L.C.|ONE COMMERCE SQUARE|SUITE 1900|MEMPHIS TN 38103|USA|||  ||SIMONE T. MEEKS|901-526-9750|Limited Liability Company|Selection of other advisers, Other|APPROVED|04/05/2002|0|0|0|0|0|0
Atlanta Regional Office| 119081|801-60964|PRO NVEST, INC.|SUNGARD PRONVEST, INC.|1203 CARTER STREET||CHATTANOOGA TN 37402|USA|||  ||JOHN HIMEBOOK|678-942-2539|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/26/2002|0|0|0|0|0|0
Atlanta Regional Office| 119100|801-62830|COMPASS FINANCIAL CONSULTING, LLC|COMPASS FINANCIAL CONSULTING, LLC|200 GALLERIA PARKWAY|SUITE 1950|ATLANTA GA 30339|USA|||  ||JOHN BOCHNIAK|770-563-8895|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|03/04/2004|0|0|0|0|0|0
Atlanta Regional Office| 119139|801-66686|KRAFT ASSET MANAGEMENT, LLC|KRAFT ASSET MANAGEMENT, LLC|555 GREAT CIRCLE ROAD|SUITE 200|NASHVILLE TN 37228|USA|||  ||RICHARD EVAN FLOHR|615-782-4288|Limited Liability Company|Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|05/04/2006|0|0|0|0|0|0
Atlanta Regional Office| 119148|801-63155|PROFESSIONAL ADVISORY SERVICES, LLC|PROFESSIONAL ADVISORY SERVICES, LLC|1667 DAVIE AVENUE||STATESVILLE NC 28677|USA|||  ||DOUG RALSTON|704-883-0284|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|05/28/2004|0|0|0|0|0|0
Atlanta Regional Office| 119176|801-68291|WESTHAMPTON CAPITAL|WESTHAMPTON CAPITAL, LLC|2150 COUNTRY CLUB RD|SUITE 250|WINSTON-SALEM NC 27104|USA|||  ||BRANT SNAVELY|336-725-5579|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|08/30/2007|0|1|0|0|0|0
Atlanta Regional Office| 119236|801-63537|PROFESSIONAL ADVISORY RESOURCES, LLC|PROFESSIONAL ADVISORY RESOURCES, LLC|500 COLONIAL CENTER PARKWAY|SUITE 600|ROSWELL GA 30076|USA|||  ||VICKIE POND|770-998-8721|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|10/05/2004|0|0|0|0|0|0
Atlanta Regional Office| 119314|801-64247|ROSENBERG FINANCIAL GROUP, INC.|ROSENBERG FINANCIAL GROUP, INC.|2517 MOODY ROAD||WARNER ROBINS GA 31088|USA|||  ||STEPHEN M. ROSENBERG|478-922-8100|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|05/06/2005|0|1|0|0|0|0
Atlanta Regional Office| 119492|801-61828|ELLIOTT DAVIS INVESTMENT ADVISORY SERVICES, LLC|ELLIOTT DAVIS INVESTMENT ADVISORY SERVICES, LLC|200 EAST BROAD STREET||GREENVILLE SC 29601|USA|200 E. BROAD STREET|P.O. BOX 6286|GREENVILLE SC 29606|USA|JEREMY S. ELLIOTT|864-242-3370|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|03/03/2003|0|0|0|0|0|0
Atlanta Regional Office| 119598|801-61056|SAPERE WEALTH MANAGEMENT, LLC|SAPERE WEALTH MANAGEMENT, LLC|130 MATTHEWS STATION ST.|SUITE 2A|MATTHEWS NC 28105|USA|||  ||SCOTT P. TREASE|704-321-5244|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|04/05/2002|0|0|0|0|0|0
Atlanta Regional Office| 119630|801-63829|VERITY AND VERITY, LLC|VERITY AND VERITY, LLC|2015 BOUNDARY STREET|3RD FLOOR|BEAUFORT SC 29902|USA|P.O. BOX 1086||BEAUFORT SC 29901|USA|WILLIAM W. VERITY|843-379-6661|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/14/2005|0|0|0|0|0|0
Atlanta Regional Office| 119655|801-63150|HANOVER ADVISORS, INC|HANOVER ADVISORS, INC|115 PERIMETER CENTER PLACE NE|SUITE 825|ATLANTA GA 30346|USA|115 PERIMETER CENTER PLACE|SUITE 825|ATLANTA GA 30346|FULTON|STEPHEN MOLYNEAUX|770-392-3998|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/07/2004|0|0|0|0|0|0
Atlanta Regional Office| 119670|801-61015|PROFESSIONAL ASSET STRATEGIES, LLC|PROFESSIONAL ASSET STRATEGIES, LLC|3500 BLUE LAKE DRIVE, SUITE 155||BIRMINGHAM AL 35243|USA|||  ||NORMAN M. BERK|205-298-1234|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/21/2002|0|0|0|0|0|0
Atlanta Regional Office| 119962|801-61895|TARPLEY & UNDERWOOD FINANCIAL ADVISORS, LLC|TARPLEY & UNDERWOOD FINANCIAL ADVISORS, LLC|THREE RAVINIA DRIVE|SUITE 1550|ATLANTA GA 30346|USA|||  ||ROGER G. WARD|770-730-5010|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|03/19/2003|0|0|0|0|0|0
Atlanta Regional Office| 120238|801-62498|STATON FINANCIAL ADVISORS, LLC|STATON FINANCIAL ADVISORS, LLC|2431 HARTMILL COURT||CHARLOTTE NC 28226|USA|||  ||MARY STATON|704-365-2122|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/20/2003|0|0|0|0|0|0
Atlanta Regional Office| 120434|801-61130|MUNICIPAL PORTFOLIO MANAGERS, INC.|MUNICIPAL PORTFOLIO MANAGERS, INC.|5555 GLENRIDGE CONNECTOR|SUITE 915|ATLANTA GA 30342|USA|||  ||JOHN DUFFY|404.239.9940|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|05/17/2002|0|0|0|0|0|0
Atlanta Regional Office| 120462|801-64519|BROYHILL ASSET MANAGEMENT, LLC|BROYHILL ASSET MANAGEMENT, LLC|800 GOLFVIEW PARK||LENOIR NC 28645|USA|P.O. BOX 500||LENOIR NC 28645|USA|DAN J. WAKIN|828-758-6100 X 118|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|07/15/2005|0|0|0|0|0|0
Atlanta Regional Office| 120504|801-61186|UCS FINANCIAL SERVICES|SCHLAGER, REID E.|5930 LENOX PARK PLACE||SUGAR HILL GA 30518|USA|||  ||REID SCHLAGER|678-541-5118|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/24/2002|0|0|0|0|0|0
Atlanta Regional Office| 120679|801-66165|DECATUR CAPITAL MANAGEMENT, INC.|DECATUR CAPITAL MANAGEMENT, INC.|250 EAST PONCE DE LEON AVENUE, SUITE 325||DECATUR GA 30030|USA|||  ||DEGAS A. WRIGHT,CFA|(404)270-9838|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/09/2006|0|0|0|0|0|0
Atlanta Regional Office| 120780|801-64141|BONAVENTURE CAPITAL, LLC|BONAVENTURE CAPITAL, LLC|3104 BLUE LAKE DR., STE. 120||BIRMINGHAM AL 35243|USA|||  ||WILLIAM E. REISER, JR.|205-870-8050|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/12/2005|0|0|0|0|0|0
Atlanta Regional Office| 120823|801-61214|PRIVATE WEALTH MANAGEMENT, INC.|PRIVATE WEALTH MANAGEMENT, INC.|3725 CHAMPION HILLS DR.|SUITE 1400|MEMPHIS TN 38125|USA|||  ||JOSEPH P. HORNER|901-322-4212|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|05/31/2002|0|0|0|0|0|0
Atlanta Regional Office| 121006|801-61500|WEBSTERROGERS FINANCIAL ADVISORS, LLC|WEBSTERROGERS FINANCIAL ADVISORS, LLC|1411 SECOND LOOP ROAD||FLORENCE SC 29505-2801|USA|P.O. BOX 6707||FLORENCE SC 29502-6707|USA|LINDA RUSSELL|843-665-6321|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|09/27/2002|0|0|0|0|0|0
Atlanta Regional Office| 121180|801-64499|N.D. PITMAN & COMPANY, INC.|N.D. PITMAN & COMPANY, INC.|3800 AIRPORT BLVD|SUITE 306|MOBILE AL 36608|USA|||  ||NORMAN D. PITMAN, III|251.345.7748|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|07/12/2005|0|0|0|0|0|0
Atlanta Regional Office| 121197|801-66301|HOLCOMBE & MCGRATH INC.|MCGRATH & ASSOCIATES, INC.|12A BAY STREET||ASHEVILLE NC 28802|USA|P.O BOX 2058||ASHEVILLE NC 28802|USA|SUSAN L. MCGRATH|828-252-8228|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/02/2006|0|0|0|0|0|0
Atlanta Regional Office| 121375|801-61708|GIBSON GAITHER WEALTH MANAGEMENT ADVISORS|GIBSON GAITHER WEALTH MANAGEMENT ADVISORS, LLC|1612 GUNBARREL ROAD|SUITE 103|CHATTANOOGA TN 37421|USA|||  ||JOHN GAITHER|423-826-1820|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/10/2003|0|1|1|0|0|0
Atlanta Regional Office| 121529|801-63153|ALTRIUS CAPITAL MANAGEMENT, INC.|ALTRIUS CAPITAL MANAGEMENT, INC.|1323 COMMERCE DRIVE||NEW BERN NC 28562|USA|||  ||JAMES M. RUSSO|252-638-7598|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|05/27/2004|0|0|0|0|0|0
Atlanta Regional Office| 122092|801-61891|DELTA FINANCIAL ADVISORS|DELTA FINANCIAL ADVISORS, L.L.C.|909 POYDRAS STREET|SUITE 1717|NEW ORLEANS LA 70112|USA|||  ||GERARD A. PLAUCHE'|504 522-9019|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/03/2003|0|0|0|0|0|0
Atlanta Regional Office| 122122|801-66441|RETIREMENT ADVISORS, INC.|RETIREMENT ADVISORS, INC.|1009 DOWNTOWNER BLVD||MOBILE AL 36609|USA|||  ||STEPHEN HAIDT|251-344-0707|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|03/27/2006|0|0|0|0|0|0
Atlanta Regional Office| 122160|801-61385|SANCO SERVICES, INC.|SANCO SERVICES, INC.|3912 BETSY KERRISON PKWY||JOHNS ISLAND SC 29455|USA|||  ||STEVE SELENGUT|843-243-0494|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|08/13/2002|0|0|0|0|0|0
Atlanta Regional Office| 122213|801-68137|GREER CAPITAL ADVISORS, LLC|GREER CAPITAL ADVISORS, LLC|2200 WOODCREST PLACE|SUITE 309|BIRMINGHAM AL 35209|USA|||  ||LAWRENCE W. GREER|205-445-0800|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/16/2007|0|1|0|0|0|0
Atlanta Regional Office| 122326|801-62511|ALTAVISTA WEALTH MANAGEMENT, INC.|ALTAVISTA WEALTH MANAGEMENT, INC.|ONE TOWN SQUARE BOULEVARD, STE 260||ASHEVILLE NC 28803|USA|ONE TOWN SQUARE BOULEVARD, STE 260||ASHEVILLE NC 28803|U.S.A|CHRISTINE NELSON|828-684-2600|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|11/10/2003|0|0|0|0|0|0
Atlanta Regional Office| 122442|801-61411|FPL ASSET MANAGEMENT, LLC|FPL ASSET MANAGEMENT, LLC|1890 HUDSON CIRCLE|SUITE 1|MONROE LA 71201|USA|||  ||KENNETH VINES|318-323-3752|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|08/28/2002|0|0|0|0|0|0
Atlanta Regional Office| 122451|801-64122|WEST FINANCIAL CONSULTING, INC.|WEST FINANCIAL CONSULTING, INC.|220 B. RHETT AVENUE||HUNTSVILLE AL 35801|USA|||  ||LARRY K. WEST|256-534-1196|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|03/31/2005|0|0|0|0|0|0
Atlanta Regional Office| 122477|801-68613|STONEBRIDGE INVESTMENT COUNSEL, INC.|STONEBRIDGE INVESTMENT COUNSEL, INC.|215 WARD CIRCLE|SUITE 200|BRENTWOOD TN 37027|USA|||  ||MITCHELL S. MARTIN|615-309-0969|Corporation|Selection of other advisers, Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|01/02/2008|0|0|0|0|0|0
Atlanta Regional Office| 122545|801-68215|ALPHA FINANCIAL ADVISORS, LLC|ALPHA FINANCIAL ADVISORS, LLC|13925 BALLANTYNE CORPORATE PL.|SUITE #280|CHARLOTTE NC 28277-2704|USA|||  ||JOHN T. GUGLE|704-716-1100|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|08/02/2007|0|0|0|0|0|0
Atlanta Regional Office| 122683|801-67293|SUMMIT WEALTH MANAGEMENT, LLC|SUMMIT WEALTH MANAGEMENT, LLC|2208 UNIVERSITY BOULEVARD|SUITE 100|BIRMINGHAM AL 35233|USA|||  ||JERRY D. CALLAHAN, JR.|205-776-0100|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|11/13/2006|0|0|0|0|0|0
Atlanta Regional Office| 122875|801-65886|CHITWOOD ADVISORY GROUP|CHITWOOD ADVISORY GROUP|4956 VALLEYDALE ROAD, STE 201||BIRMINGHAM AL 35242|USA|||  ||PATRICK CHITWOOD|205-980-8113|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|01/31/2006|0|0|0|0|0|0
Atlanta Regional Office| 123051|801-61734|FISCO INVESTMENT MANAGEMENT, L.P.|FISCO INVESTMENT MANAGEMENT, L.P.|1899 POWERS FERRY ROAD SE|SUITE 120|ATLANTA GA 30339|USA|||  ||MARTHA MATTHEWS|678-905-5735|Partnership|Other|APPROVED|01/27/2003|0|0|0|0|0|0
Atlanta Regional Office| 123440|801-64253|WALLS INVESTMENT MANAGEMENT COMPANY|WALLS INVESTMENT MANAGEMENT COMPANY|102 BUCKWALTER PARKWAY|SUITE 3Y|BLUFFTON SC 29910|USA|||  ||MARIA HENRY|888-925-5764|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|05/06/2005|0|0|0|0|0|0
Atlanta Regional Office| 123444|801-61590|LOOKOUT MOUNTAIN CAPITAL, INC.|LOOKOUT MOUNTAIN CAPITAL, INC.|610 NORTH BRAGG AVENUE||LOOKOUT MOUNTAIN TN 37350|USA|||  ||TIMOTHY SHIPLEY|(423) 821-0007|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|11/19/2002|0|0|0|0|0|0
Atlanta Regional Office| 123457|801-68891|SARD WEALTH MANAGMENT GROUP, LLC|SARD WEALTH MANAGEMENT GROUP, LLC|1100 JOHNSON FERRY ROAD|SUITE 695|ATLANTA GA 30342|USA|||  ||JONATHAN SARD|404-843-4483|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|03/11/2008|0|0|0|0|0|0
Atlanta Regional Office| 123585|801-67714|ROSEN CAPITAL MANAGEMENT, INC.|ROSEN CAPITAL MANAGEMENT, INC.|119 CALLOWAY DRIVE||MACON GA 31204|USA|||  ||GLENN ROSEN|478-742-1667|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|03/30/2007|0|0|0|0|0|0
Atlanta Regional Office| 123724|801-67461|BROUSSARD FINANCIAL GROUP, LLC|BROUSSARD FINANCIAL GROUP, LLC|106 WEST VETERANS MEMORIAL DRIVE||KAPLAN LA 70548|USA|POST OFFICE BOX 505||KAPLAN LA 70548-0505|USA|JERRY J. BROUSSARD|337-643-8319|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/11/2007|0|0|0|0|0|0
Atlanta Regional Office| 123833|801-69173|THE MCCUTCHEN COMPANY, INC.|THE MCCUTCHEN COMPANY, INC.|524-A BOULEVARD PARK WEST||MOBILE AL 36609|USA|P. O. BOX 9217||MOBILE AL 36691|USA|DEBORAH MCCUTCHEN|251-344-4440|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/21/2008|0|0|0|0|1|0
Atlanta Regional Office| 123835|801-68984|LEGACY PLANNING GROUP, INC.|LEGACY PLANNING GROUP, INC.|105 KEEVIEW COURT||JOHNSON CITY TN 37615|UNITED STATES|105 KEEVIEW COURT||JOHNSON CITY TN 37615|UNITED STATES|JEFFREY D VOUDRIE|423-913-2950|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/15/2008|0|0|0|0|0|0
Atlanta Regional Office| 123902|801-62087|NBZ INVESTMENT ADVISORS, LLC|NBZ INVESTMENT ADVISORS, LLC|4110 SUTHERLAND AVENUE||KNOXVILLE TN 37919|USA|||  ||RICHARD I. ZIVI, JR.|865.584.1184|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|06/03/2003|0|0|0|0|0|0
Atlanta Regional Office| 123983|801-62829|KAY QUINN FINANCIAL|QUINN, CATHERINE V|2000 GLEN ECHO ROAD|SUITE 209|NASHVILLE TN 37215|USA|||  ||CATHERINE QUINN|615-297-3434|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|02/26/2004|0|0|0|0|0|0
Atlanta Regional Office| 124322|801-67775|CORNERSTONE INVESTMENT MANAGEMENT AND CONSULTING,LLC|CORNERSTONE INVESTMENT MANAGEMENT AND CONSULTING,LLC|713 BELROSE AVE||DAPHNE AL 36526|USA|2200 HIGHWAY 98|SUITE 4 PMB 205|DAPHNE AL 36526|USA|SCOTT KOSER|251-626-6292|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|04/17/2007|0|0|0|0|0|0
Atlanta Regional Office| 124446|801-67970|J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC|J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC|ONE BUCKHEAD PLAZA|3060 PEACHTREE ROAD NW, 11TH FLOOR|ATLANTA GA 30305|USA|||  ||ROD KRESGE|404-479-8300|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|06/27/2007|0|3|0|0|0|0
Atlanta Regional Office| 124471|801-61979|EQUITAS CAPITAL ADVISORS,LLC|EQUITAS CAPITAL ADVISORS,LLC|909 POYDRAS STREET|SUITE 1850|NEW ORLEANS LA 70112|USA|||  ||S. DERBY GISCLAIR|(504) 569-9604|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|04/17/2003|0|0|0|0|0|0
Atlanta Regional Office| 124528|801-61671|GLOBAL STRATEGIES INVESTMENT MANAGEMENT, LLC|GLOBAL STRATEGIES INVESTMENT MANAGEMENT, LLC|1100 PEACHTREE STREET NE|SUITE 1480|ATLANTA GA 30309|USA|||  ||CRAIG MAGHER|404-233-4429|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/02/2003|0|0|0|0|0|0
Atlanta Regional Office| 124645|801-67202|ALLISON INVESTMENT MANAGEMENT, LLC|ALLISON INVESTMENT MANAGEMENT, LLC|1201 LINCOLN STREET|SUITE 200|COLUMBIA SC 29201|USA|||  ||JOHN E. ALLISON|803-806-8400|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|09/27/2006|0|0|0|0|0|0
Atlanta Regional Office| 124778|801-63817|ST. JOHN & ASSOCIATES, INC.|ST. JOHN & ASSOCIATES, INC.|500 SUN VALLEY DRIVE SUITE D-3 & D-4||ROSWELL GA 30076|USA|||  ||RICHARD J. ST. JOHN|770/642-7631|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers, Other|APPROVED|02/04/2005|0|0|0|0|0|0
Atlanta Regional Office| 125005|801-68804|CANADA CAPITAL, LLC|CANADA CAPITAL, LLC|2647 ROCKY RIDGE LANE||BIRMINGHAM AL 35216|USA|||  ||KEVIN CANADA|205-985-8759|Limited Liability Company|Portfolio management for individuals and/or small businesses, Other|APPROVED|01/28/2008|0|0|0|0|0|0
Atlanta Regional Office| 125052|801-67770|CAMPBELL ASSET MANAGEMENT, L.L.C.|CAMPBELL ASSET MANAGEMENT, L.L.C.|551 OAK STREET||CHATTANOOGA TN 37403|USA|||  ||JAMES P. CAMPBELL, III|423-265-7931|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/17/2007|0|0|0|0|0|0
Atlanta Regional Office| 125085|801-68639|BEACON FINANCIAL ADVISERS, INC.|BEACON FINANCIAL ADVISERS, INC.|1429 BUSINESS CENTER DRIVE||CONYERS GA 30094|USA|||  ||NORRIS G EDMONSON, JR, CPA, PFS|678-750-1703|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|01/02/2008|0|0|0|0|0|0
Atlanta Regional Office| 125095|801-63309|BOULEGERIS INVESTMENTS, INC.|BOULEGERIS INVESTMENTS, INC.|3340 PEACHTREE RD. NE|SUITE 1800|ATLANTA GA 30326-1081|USA|||  ||MICHAEL BOULEGERIS|404-812-5386|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|06/30/2004|0|0|0|0|0|0
Atlanta Regional Office| 125268|801-62265|JPH ADVISORY GROUP, INC.|JPH ADVISORY GROUP, INC.|600 GALLERIA PARKWAY|SUITE 1600|ATLANTA GA 30339|USA|||  ||JON P. HOUK|770-859-0076|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|08/12/2003|0|0|0|0|0|0
Atlanta Regional Office| 125278|801-64152|ARLINGTON HALL RESEARCH & INVESTMENT MANAGEMENT, LLC|ARLINGTON HALL RESEARCH & INVESTMENT MANAGEMENT, LLC|4500 WINGHAM PLACE||MARIETTA GA 30062-8141|USA|||  ||MARK WISNESKI|770-778-7800|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|04/12/2005|0|0|0|0|0|0
Atlanta Regional Office| 125320|801-61798|DRAUGHN PARTNERS, INC.|DRAUGHN PARTNERS, INC.|15 LAKE ST.|SUITE 100|SAVANNAH GA 31411|USA|||  ||CLIFFORD W. DRAUGHN|912-598-4032|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/07/2003|0|0|0|0|0|0
Atlanta Regional Office| 125376|801-63063|AEGIS CAPITAL, LLC|AEGIS CAPITAL, LLC|1013 SOUTH TRYON STREET|SUITE 105|CHARLOTTE NC 28203|USA|1013 SOUTH TRYON STREET|SUITE 105|CHARLOTTE NC 28203|USA|ALLEN DARBY|704-756-7160|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/14/2004|0|0|0|0|0|0
Atlanta Regional Office| 125383|801-63588|FINANCIAL DISCOVERY|THE FINANCIAL DISCOVERY GROUP,INC.|4403 NORTHSIDE PKWY STE 1104||ATLANTA GA 30327|USA|||  ||KYLE FLYNN|404-816-0160|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|10/22/2004|0|0|0|0|0|0
Atlanta Regional Office| 125453|801-68692|APEX INVESTMENT MANAGEMENT, INC.|APEX INVESTMENT MANAGEMENT, INC.|200 WESTPARK DRIVE, STE.270||PEACHTREE CITY GA 30269|USA|||  ||BYRON D. ALDRIDGE, JR.|770-632-8859|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|01/02/2008|0|0|0|0|0|0
Atlanta Regional Office| 125489|801-63179|NOVA WEALTH MANAGEMENT GROUP, LLC|NOVA WEALTH MANAGEMENT GROUP, LLC|8300 DUNWOODY PLACE|SUITE 200|ATLANTA GA 30350|USA|||  ||JEFFREY COHEN|770.394.3281|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Other, Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/27/2004|0|0|0|0|0|0
Atlanta Regional Office| 125490|801-66519|TANDEMGROWTH FINANCIAL ADVISORS, LLC|TANDEMGROWTH FINANCIAL ADVISORS, LLC|500 COLONIAL CENTER PARKWAY|SUITE 625|ROSWELL GA 30076|USA|||  ||JON JEFFREY BERNIER|770-641-6360|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|04/17/2006|0|0|0|0|0|0
Atlanta Regional Office| 125549|801-62106|DAY & ENNIS, LLC|DAY & ENNIS, LLC|125 PLANTATION CENTRE DRIVE SOUTH|BLDG 400 B|MACON GA 31210|USA|||  ||JOHN R. DAY|478/474-7480|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|06/02/2003|0|0|0|0|0|0
Atlanta Regional Office| 125568|801-61868|COMPASS ADVISORY GROUP, LLC|COMPASS ADVISORY GROUP, LLC|213 OVERLOOK CIRCLE|SUITE A-1|BRENTWOOD TN 37027|USA|||  ||STEPHEN HAMMERS|615-661-9622|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/14/2003|0|0|0|0|0|0
Atlanta Regional Office| 125607|801-61872|BLUE GRANITE CAPITAL, LLC|BLUE GRANITE CAPITAL, LLC|14 NORTH ADGER'S WHARF||CHARLESTON SC 29401|USA|||  ||SCOTT SHUBERT|843-722-7330|Limited Liability Company|Other, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/26/2003|0|1|0|0|0|0
Atlanta Regional Office| 125621|801-65240|CAPITAL RESEARCH ADVISORS, LLC|CAPITAL RESEARCH ADVISORS, LLC|4321 LEE STREET, SUITE 300||BUFORD GA 30518|USA|||  ||KENNETH DWAIN GRAVES|770-925-1000|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/01/2006|0|0|0|0|0|0
Atlanta Regional Office| 125646|801-66146|C.W. O'CONNER & ASSOCIATES, INC.|C.W. O'CONNER & ASSOCIATES, INC.|7074 PEACHTREE INDUSTRIAL BOULEVARD|SUITE 100|NORCROSS GA 30071|USA|||  ||CLIFFORD W. O'CONNER|770-368-9919|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|08/28/2006|0|0|0|0|0|0
Atlanta Regional Office| 125724|801-67808|KEEBLE & PYKE FINANCIAL ADVISORS, INC.|KEEBLE & PYKE FINANCIAL ADVISORS, INC.|345 CORPORATE CENTER COURT||STOCKBRIDGE GA 30281|USA|||  ||JOHN B. KEEBLE, IV, CFP (R)|(770) 507-0025|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/17/2007|0|0|0|0|0|0
Atlanta Regional Office| 125730|801-67771|ANTHONY SMITH ADVISORS, INC.|ANTHONY SMITH ADVISORS, INC.|2999 PIEDMONT ROAD, N.E.|SUITE 100|ATLANTA GA 30305|USA|||  ||ANTHONY C. SMITH|404-231-1414|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers, Other|APPROVED|04/24/2007|0|0|1|0|0|0
Atlanta Regional Office| 125800|801-68426|ALPHA FINANCIAL MANAGEMENT, INC.|ALPHA FINANCIAL MANAGEMENT, INC.|7505 WATERS AVENUE, SUITE E-1||SAVANNAH GA 31406|USA|||  ||IRIS MACK DAYOUB|912.353.9343|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|10/02/2007|0|0|0|0|0|0
Atlanta Regional Office| 125828|801-63080|CORNERSTONE MANAGEMENT, INC.|FINANCIAL ADVISORY CONSULTANTS,INC.|7074 PEACHTREE INDUSTRIAL BLVD.|SUITE 100|NORCROSS GA 30071|USA|||  ||PATTI BUTLER FRIES|770-449-7799|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|05/11/2004|0|0|0|0|0|0
Atlanta Regional Office| 125829|801-65779|SMITH CAPITAL, LLC|SMITH CAPITAL, LLC|500 WESTPARK DRIVE|SUITE 100|PEACHTREE CITY GA 30269|USA|||  ||CHAD R. SMITH|770-631-0600|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/27/2006|0|0|0|0|0|0
Atlanta Regional Office| 125830|801-68034|LETSON INVESTMENT MANAGEMENT, INC.|LETSON INVESTMENT MANAGEMENT, INC.|48 WEST BROOKHAVEN DR NE||ATLANTA GA 30319-1102|USA|||  ||JAMES F LETSON|404-237-7794|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/19/2007|0|0|0|0|0|0
Atlanta Regional Office| 125930|801-66525|PPA ADVISORY SERVICES, INC.|PPA ADVISORY SERVICES, INC.|500 COLONIAL CENTER PARKWAY,|SUITE 600|ROSWELL GA 30076|USA|||  ||DANIEL M. DUBAY|(770)998-8721|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|04/03/2006|0|0|0|0|0|0
Atlanta Regional Office| 126060|801-66580|THE WEALTH ENHANCEMENT GROUP, INC.|THE WEALTH ENHANCEMENT GROUP, INC.|1075 POWERS PLACE|SUITE B|ALPHARETTA GA 30004|USA|||  ||MIKE ROSS|7707771845|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/01/2006|0|0|0|0|0|0
Atlanta Regional Office| 126069|801-62407|PRINCIPLE PLANNING ADVISORS, LLC|PRINCIPLE PLANNING ADVISORS, LLC|500 COLONIAL CENTER PKWY|SUITE 600|ROSWELL GA 30076|USA|||  ||CHUCK GRAY|770-998-8721|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|10/02/2003|0|0|0|0|0|0
Atlanta Regional Office| 126090|801-61989|SSN ADVISORY, INC.|SSN ADVISORY, INC.|10207 TECHNOLOGY DRIVE|SUITE ONE|KNOXVILLE TN 37932|USA|||  ||DOUG BAXLEY|865-671-5231|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/28/2003|0|7|0|0|0|0
Atlanta Regional Office| 126145|801-61959|PATTON ALBERTSON & MILLER LLC|PATTON ALBERTSON & MILLER LLC|231 RIVERSIDE DRIVE|SUITE 105|MACON GA 31201|USA|||  ||JAMES B. PATTON|478.742.5554|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/23/2003|0|0|0|0|0|0
Atlanta Regional Office| 126238|801-68129|CFS CUBIC FINANCIAL SERVICES, INC.|CFS CUBIC FINANCIAL SERVICES, INC.|5315 GOLDEN LEAF TRAIL||NORCROSS GA 30092|USA|||  ||JOHN C. CUBIC|770.326.6600|Corporation|Portfolio management for individuals and/or small businesses, Other|APPROVED|07/16/2007|0|0|0|0|0|0
Atlanta Regional Office| 126241|801-65998|TOWNSEND  FINANCIAL|TOWNSEND PERSONAL FINANCIAL PLANNING, LLC|6867 MOUNTAINBROOK DR.|SUITE 102|COLUMBUS GA 31904|USA|||  ||B. KENNETH TOWNSEND|706-221-8200|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/21/2006|0|0|0|0|0|0
Atlanta Regional Office| 126291|801-62193|CAPTRUST FINANCIAL ADVISORS|CAPFINANCIAL PARTNERS, LLC|8816 SIX FORKS ROAD|SUITE 301|RALEIGH NC 27615|USA|||  ||DENISE BUCHANAN|919-870-6822|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|07/11/2003|0|0|0|0|0|0
Atlanta Regional Office| 126317|801-63117|VINING FINANCIAL|VINING FINANCIAL SERVICES, INC.|4994 LOWER ROSWELL ROAD|SUITE 4|MARIETTA GA 30068|USA|||  ||KAREN C. VINING|770-971-9141|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|04/29/2004|0|0|0|0|0|0
Atlanta Regional Office| 126393|801-67290|PENSION PLANNING SOLUTIONS, INC.|PENSION PLANNING SOLUTIONS, INC.|301 SOUTH ELM STREET|SUITE 608|GREENSBORO NC 27401|USA|||  ||MICHAEL QUINLIVAN|336-389-9922|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|11/22/2006|0|0|0|0|0|0
Atlanta Regional Office| 126400|801-65530|COMPASS ADVISORS LLC|COMPASS ADVISORS LLC|2265 WEST YUNSOO PLACE||BIG CANOE GA 30143|USA|11584 BIG CANOE||BIG CANOE GA 30143-5115|USA|ROBERT MOODY|706-579-1235|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/01/2006|0|0|0|0|0|0
Atlanta Regional Office| 126453|801-64447|PROFESSIONAL ADVISORY GROUP, INC.|PROFESSIONAL ADVISORY GROUP, INC.|500 COLONIAL CENTER PARKWAY,|SUITE 600|ROSWELL GA 30076|USA|||  ||RANDY L. BERRY|(770)998-8721|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/28/2005|0|0|0|0|0|0
Atlanta Regional Office| 126456|801-61987|FAMILY WMS, LLC|FAMILY WMS, LLC|3155 ROSWELL ROAD|SUITE 320|ATLANTA GA 30305|USA|||  ||LESLIE W. ALLEN|404-961-1051|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Other|APPROVED|04/18/2003|0|0|0|0|0|0
Atlanta Regional Office| 126471|801-62413|PROFESSIONAL PLANNING ADVISORS,LLC|PROFESSIONAL PLANNING ADVISORS, LLC|500 COLONIAL CENTER PARKWAY|SUITE 600|ROSWELL GA 30076|USA|||  ||KARI HESS|770-998-8721|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|10/09/2003|0|0|0|0|0|0
Atlanta Regional Office| 126514|801-62226|THE STRATEGIC FINANCIAL ALLIANCE|THE STRATEGIC FINANCIAL ALLIANCE, INC.|2200 CENTURY PARKWAY|SUITE 500|ATLANTA GA 30345|USA|||  ||CLIVE SLOVIN|678 954 4002|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Market timing services|APPROVED|07/18/2003|0|2|0|0|0|0
Atlanta Regional Office| 126624|801-66963|ESTATE MANAGEMENT COUNSELORS,LLC|ESTATE MANAGEMENT COUNSELORS,LLC|5064 ROSWELL ROAD C-300||ATLANTA GA 30342|USA|||  ||SEAN G. TODD|404-250-9798|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Market timing services, Other|APPROVED|07/12/2006|0|0|0|0|0|0
Atlanta Regional Office| 126679|801-62098|GRANVILLE CAPITAL, INC.|GRANVILLE CAPITAL, INC.|300 NORTH GREENE STREET|SUITE 1750|GREENSBORO NC 27401|USA|||  ||ROBERT L. BEAN|336-273-8544|Corporation|Selection of other advisers, Other|APPROVED|05/30/2003|0|0|0|0|0|0
Atlanta Regional Office| 126844|801-63230|VANTAGE ADVISORS, LLC|VANTAGE ADVISORS, LLC|150 FAYETTEVILLE STREET|SUITE 1130|RALEIGH NC 27601|USA|||  ||THOMAS ASHTON|919-585-4850|Limited Liability Company|Other|APPROVED|06/17/2004|0|1|0|0|0|0
Atlanta Regional Office| 126942|801-62047|ABLES, IANNONE, MOORE & ASSOCIATES, INC.|ABLES, IANNONE, MOORE & ASSOCIATES, INC.|10 PLANTATION PARK DR.|SUITE 200|BLUFFTON SC 29910|USA|PO BOX 870||BLUFFTON SC 29910|UNITED STATES|JEFFREY A. IANNNONE|(843) 815-6004|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/09/2003|0|0|0|0|0|0
Atlanta Regional Office| 126989|801-63522|BARBER LACKEY FINANCIAL GROUP LLC|BARBER LACKEY FINANCIAL GROUP LLC|750 HAMMOND DRIVE|SUITE 1-100|ATLANTA GA 30328-5501|USA|||  ||JENNIFER D LACKEY|404-250-0293|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|09/20/2004|0|0|0|0|0|0
Atlanta Regional Office| 127096|801-68307|DEANE RETIREMENT STRATEGIES, INC.|DEANE RETIREMENT STRATEGIES, INC.|2065 ENERGY CENTRE,|1100 POYDRAS STREET|NEW ORLEANS LA 70163|USA|||  ||LINDA L. DEANE|504-582-2345|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|09/13/2007|0|0|0|0|0|0
Atlanta Regional Office| 127173|801-64515|NIAGARA FINANCIAL ADVISORS, LLC|NIAGARA FINANCIAL ADVISORS, LLC|4555 MANSELL ROAD SUITE 210||ALPHARETTA GA 30022|USA|||  ||SHAWN M. MEADE|678-527-2800|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/15/2005|0|0|0|0|0|0
Atlanta Regional Office| 127188|801-68070|(DBA) MCMANUS & SINCLAIR WEALTH MANAGEMENT, LLC|MCMANUS WEALTH MANAGEMENT, LLC|1100 FRAZIER DRIVE||AUGUSTA GA 30909-1702|USA|||  ||EUGENE F MCMANUS|706-228-4081|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/21/2007|0|0|0|0|0|0
Atlanta Regional Office| 127263|801-63180|MINERVA PLANNING GROUP|MINERVA PLANNING GROUP, INC.|1101 JUNIPER ST. NE|UNIT 327|ATLANTA GA 30309|USA|PO BOX 77705||ATLANTA GA 30357|USA|MICAH PORTER|912.634.5583|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/27/2004|0|0|0|0|0|0
Atlanta Regional Office| 127333|801-63326|HA&W WEALTH MANAGEMENT, LLC|HA&W WEALTH MANAGEMENT, LLC|5565 GLENRIDGE CONNECTOR|GLENRIDGE HIGHLANDS TWO, SUITE 200|ATLANTA GA 30342-4782|USA|||  ||DAVID SCHULTZ|404-898-8215|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|07/09/2004|0|0|0|0|0|0
Atlanta Regional Office| 127398|801-62121|CHICKASAW CAPITAL MANAGEMENT, LLC|CHICKASAW CAPITAL MANAGEMENT, LLC|6075 POPLAR AVENUE SUITE 402||MEMPHIS TN 38119|USA|||  ||DEBRA MCADOO|901-537-1866|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/12/2003|0|0|0|0|0|0
Atlanta Regional Office| 127410|801-62366|N D BITTNER & CO. INC.|N D BITTNER & CO. INC.|729 ISLAND CIRCLE EAST||ST HELENA ISLAND SC 29920|USA|||  ||LINDA MACBETH|908-879-2989|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|09/26/2003|0|0|0|0|0|0
Atlanta Regional Office| 127411|801-64641|SAILER FINANCIAL, INC.|SAILER FINANCIAL, INC.|320 SEVEN SPRINGS WAY|SUITE 130|BRENTWOOD TN 37027-4536|USA|||  ||AMY SAILER|615-370-1253|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|09/02/2005|0|0|0|0|0|0
Atlanta Regional Office| 127490|801-62172|NEW RIVER ADVISERS LLC|NEW RIVER ADVISERS LLC|6000 POPLAR AVENUE|SUITE 220|MEMPHIS TN 38119|USA|||  ||WILLIAM P. HALLIDAY III|901-333-6980|Limited Liability Company|Portfolio management for investment companies|APPROVED|08/13/2003|0|2|0|0|0|0
Atlanta Regional Office| 127773|801-62259|IRON CAPITAL ADVISORS INC.|IRON CAPITAL ADVISORS INC.|3355 LENOX RD|SUITE 925|ATLANTA GA 30326|USA|||  ||CHARLES OSBORNE|678 805 0518|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|08/25/2003|0|0|0|0|0|0
Atlanta Regional Office| 127896|801-62283|GOEPPER/BURKHARDT, LLC|GOEPPER/BURKHARDT, LLC|531 SOUTH MAIN STREET|SUITE 303|GREENVILLE SC 29601|USA|||  ||BLAND BURKHARDT|864-370-3244|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/13/2003|0|0|0|0|0|0
Atlanta Regional Office| 127902|801-62249|BLUE CREEK INVESTMENT PARTNERS, LLC|BLUE CREEK INVESTMENT PARTNERS, LLC|100 CHURCH STREET|SUITE 500|HUNTSVILLE AL 35801|USA|||  ||ROBERT MAYES|256-704-0505|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|08/01/2003|0|0|0|0|0|0
Atlanta Regional Office| 128358|801-63134|DANZELL INVESTMENT MANAGEMENT, LTD.|DANZELL INVESTMENT MANAGEMENT, LTD.|TWO CORPUS CHRISTI, SUITE 300|THE PROFESSIONAL BUILDING|HILTON HEAD ISLAND SC 29928|USA|POST OFFICE BOX 7169||HILTON HEAD SC 29938|USA|JANICE L. NUSSBAUM|843-785-2929|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/28/2004|0|0|0|0|0|0
Atlanta Regional Office| 128362|801-67730|EXECUTIVE MONEY MANAGERS, INC.|EXECUTIVE MONEY MANAGERS, INC.|4330 BLACKLAND WAY||MARIETTA GA 30067-4006|USA|||  ||JOEL HUBBARD|770-953-1135|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/02/2007|0|0|0|0|0|0
Atlanta Regional Office| 128373|801-67485|MAINSAIL ASSET MANAGEMENT, LLC|MAINSAIL ASSET MANAGEMENT, LLC|304 SOUTH MARKET STREET|SUITE 230|SCOTTSBORO AL 35768|USA|||  ||WILLIAM HARVEY PARSONS JR.|256-575-0110|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|01/12/2007|0|0|0|0|0|0
Atlanta Regional Office| 128390|801-62357|GREYBULL PARTNERS LLC|GREYBULL PARTNERS LLC|1180 PEACHTREE STREET, NE|SUITE 2350|ATLANTA GA 30309|USA|||  ||JAMES M. WILSON|404-815-8772|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/17/2003|0|0|0|0|0|0
Atlanta Regional Office| 128441|801-67615|BOLEN DODSON & ASSOCIATES|BOLEN ASSET MANAGEMENT, INC.|7003 CHADWICK DR|SUITE 350|BRENTWOOD TN 37027|USA|||  ||ROBERT V. BOLEN|615-242-3808|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|03/08/2007|0|0|0|0|0|0
Atlanta Regional Office| 128583|801-62409|LIFECOURSE CAPITAL, INC.|LIFECOURSE CAPITAL, INC.|2227 DRAKE AVENUE, SUITE 9||HUNTSVILLE AL 35805|USA|||  ||STEPHEN J. WILLIAMS|256-489-4400|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/02/2004|0|1|0|0|0|0
Atlanta Regional Office| 128703|801-62608|HATTERAS INVESTMENT PARTNERS LLC|HATTERAS INVESTMENT PARTNERS LLC|8540 COLONNADE CENTER DRIVE, SUITE 401||RALEIGH NC 27615|USA|||  ||ANDREW P. CHICA|(919) 846-2324|Limited Liability Company|Portfolio management for investment companies, Other|APPROVED|12/17/2003|0|0|0|0|0|0
Atlanta Regional Office| 129301|801-67987|KEYSTONE FINANCIAL GROUP, INC.|KEYSTONE FINANCIAL GROUP, INC.|6849 PEACHTREE DUNWOODY ROAD|BUILDING B-2|ATLANTA GA 30328|USA|||  ||GARY FORTIER|770-698-9816|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/31/2007|0|0|0|0|0|0
Atlanta Regional Office| 129402|801-62681|AURA ASSET MANAGEMENT, INC.|AURA ASSET MANAGEMENT, INC.|600 BEACON PARKWAY WEST|SUITE 950|BIRMINGHAM AL 35209|USA|||  ||KURT WESELIUS|205-795-2555|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|01/29/2004|0|1|0|0|0|0
Atlanta Regional Office| 129403|801-63917|THE MOORINGS GROUP, LLC|THE MOORINGS GROUP, LLC|TWO CONCOURSE PARKWAY|SUITE 570|ATLANTA GA 30328-6111|USA|||  ||CONNIE MORRIS|770-395-3362|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/03/2005|0|0|0|0|0|0
Atlanta Regional Office| 129422|801-67734|NORRIS FINANCIAL GROUP, LLC|NORRIS FINANCIAL GROUP, LLC|800 EAST WASHINGTON STREET|SUITE F|GREENVILLE SC 29601|USA|P.O. BOX 16089||GREENVILLE SC 29606|USA|TERRY L. NORRIS|864-235-6408|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/20/2007|0|0|0|0|0|0
Atlanta Regional Office| 129475|801-63273|JP WEALTH MANAGEMENT, INC.|JP WEALTH MANAGEMENT, INC.|3401 SALTERBECK COURT|SUITE 202|MT. PLEASANT SC 29466-7117|USA|||  ||JOHN FRANCIS CAREY|866-562-6969|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|06/24/2004|0|0|0|0|0|0
Atlanta Regional Office| 129602|801-62810|SUGARLOAF WEALTH MANAGEMENT, LLC|SUGARLOAF WEALTH MANAGEMENT, LLC|2736 MEADOW CHURCH RD.|SUITE 200|DULUTH GA 30097|USA|||  ||JASON T. CONNOLLY|770.985.5473|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/13/2004|0|0|0|0|0|0
Atlanta Regional Office| 129613|801-63624|WILLINGDON WEALTH MANAGEMENT INC.|WILLINGDON WEALTH MANAGEMENT INC.|403 GILEAD ROAD|SUITE J-200|HUNTERSVILLE NC 28078|USA|403 GILEAD ROAD|SUITE J-200|HUNTERSVILLE NC 28078|USA|TOM SEARSON|704-766-0591|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/28/2004|0|0|0|0|0|0
Atlanta Regional Office| 129614|801-62538|SMITH, SALLEY & ASSOCIATES, LLC|SMITH, SALLEY & ASSOCIATES, LLC|300 EAST WENDOVER AVENUE|SUITE 301|GREENSBORO NC 27401|USA|||  ||G. GREGORY SMITH, JR.|336-379-7556|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/18/2003|0|0|0|0|0|0
Atlanta Regional Office| 129663|801-62821|TIMBERLAND INVESTMENT RESOURCES, LLC|TIMBERLAND INVESTMENT RESOURCES, LLC|3379 PEACHTREE ROAD, NE|SUITE 420|ATLANTA GA 30326|USA|||  ||KEVIN L. COLIN|404 848-2000|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/19/2004|0|0|0|0|0|0
Atlanta Regional Office| 129734|801-62654|NCM CAPITAL ADVISERS, INC.|NCM CAPITAL ADVISERS, INC.|2634 DURHAM-CHAPEL HILL BOULEVARD|SUITE 206|DURHAM NC 27707-2875|USA|||  ||VICTORIA TREADWELL|919-688-0620|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/14/2004|0|0|0|0|0|0
Atlanta Regional Office| 129738|801-67967|FAMILY ASSET MANAGEMENT, LLC|FAMILY ASSET MANAGEMENT, LLC|293 EAST BAY STREET||CHARLESTON SC 29401|USA|||  ||DANIEL T. RUSSLER, JR.|843-723-2994|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|06/12/2007|0|0|0|0|0|0
Atlanta Regional Office| 129807|801-67582|TEAM WEALTH PLANNING AND MANAGEMENT, INC.|TEAM WEALTH PLANNING AND MANAGEMENT, INC.|104 BRANNON COURT||CHAPEL HILL NC 27516|USA|27 KESTREL LANE||AMHERST MA 01002|USA|AMY CARLSON|413-256-8326|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/23/2007|0|0|0|0|0|0
Atlanta Regional Office| 129839|801-62594|AMERICAN PENSIONS, INC.|AMERICAN PENSIONS, INC.|735 JOHNNIE DODDS BLVD.|SUITE 200|MOUNT PLEASANT SC 29464|USA|PO BOX 98||MOUNT PLEASANT SC 29465-0098|USA|MARK OWENS|843-884-3912|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|01/02/2004|0|0|0|0|0|0
Atlanta Regional Office| 129944|801-69243|TRUE NORTH INVESTMENT MANAGEMENT, L.L.C.|TRUE NORTH INVESTMENT MANAGEMENT, L.L.C.|7886 STRATFORD LANE||ATLANTA GA 30350|USA|||  ||ASHLEY TITTLE GOLDSTEIN|770-352-0629|Limited Liability Company|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|06/06/2008|0|0|0|0|0|0
Atlanta Regional Office| 129973|801-62643|DIVIDEND GROWTH ADVISORS|DIVIDEND GROWTH ADVISORS, LLC|58 RIVERWALK BLVD.|BUILDING 2, SUITE A|RIDGELAND SC 29936|USA|||  ||TROY SHAVER|843.645.9700|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/02/2004|0|0|0|0|0|0
Atlanta Regional Office| 130171|801-60221|FINANCIAL DESIGN CAPITAL MANAGEMENT, INC.|FINANCIAL DESIGN CAPITAL MANAGEMENT, INC.|8048 ONE CALAIS AVE. SUITE B||BATON ROUGE LA 70809|USA|||  ||CARY PREJEAN|225-766-1935|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Market timing services|APPROVED|05/23/2001|0|0|0|0|0|0
Atlanta Regional Office| 130180|801-68173|ASHDON INVESTMENT MANAGEMENT, LLC|ASHDON INVESTMENT MANAGEMENT, LLC|214 E. GRUNDY STREET||TULLAHOMA TN 37388|USA|||  ||DAVID PRUITT|931-461-5733|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|07/23/2007|0|0|0|0|0|0
Atlanta Regional Office| 130324|801-62869|MCGREGOR FINANCIAL ADVISORS, LLC|MCGREGOR FINANCIAL ADVISORS, LLC|3830 FOREST DR||COLUMBIA SC 29204|USA|||  ||BARRY T KIGHT|803-787-0003|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|03/04/2004|0|0|0|0|0|0
Atlanta Regional Office| 130335|801-63016|IRONSTONE SECURITIES, INC.|IRONSTONE SECURITIES, INC.|4300 SIX FORKS ROAD||RALEIGH NC 27609|USA|||  ||LAWRENCE LOWMAN|919-716-2492|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/28/2004|0|0|0|0|0|0
Atlanta Regional Office| 130417|801-62799|PROVIDENT WEALTH MANAGEMENT, LLC|PROVIDENT WEALTH MANAGEMENT, LLC|105 WESTWOOD PLACE, SUITE 220||BRENTWOOD TN 37027|USA|||  ||KEITH E. MCKISSOCK|615-656-4050|Limited Liability Company|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|02/12/2004|0|1|0|0|0|0
Atlanta Regional Office| 130449|801-63190|COURAGE CAPITAL MANAGEMENT, LLC|COURAGE CAPITAL MANAGEMENT, LLC|4400 HARDING ROAD, SUITE 503||NASHVILLE TN 37205|USA|||  ||MIKE SKARDA|615-369-0105|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|05/21/2004|0|0|0|0|0|0
Atlanta Regional Office| 130567|801-62928|SWEENEY ASSET MANAGEMENT LLC|SWEENEY ASSET MANAGEMENT LLC|911 STUART LANE||BRENTWOOD TN 37027|USA|||  ||J. ROBERT SWEENEY|615-714-7264|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters, Market timing services|APPROVED|03/26/2004|0|0|0|0|0|0
Atlanta Regional Office| 130644|801-66704|CHESNEY & COMPANY|CHESNEY & COMPANY, INC.|56 GUN CLUB DRIVE||SHELDON SC 29941|USA|P.O. BOX 1287||BEAUFORT SC 29901|USA|SHEILA M. CHESNEY|888-426-2193|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Other|APPROVED|05/09/2006|0|0|0|0|0|0
Atlanta Regional Office| 130791|801-62919|RESOURCE MANAGEMENT SERVICE, LLC|RESOURCE MANAGEMENT SERVICE, LLC|31 INVERNESS CENTER PARKWAY|SUITE 360|BIRMINGHAM AL 35242|USA|||  ||LISA C. CROSS|205-980-7320|Limited Liability Company|Other|APPROVED|02/20/2004|0|0|0|0|0|0
Atlanta Regional Office| 130888|801-63297|STERNE AGEE INVESTMENT ADVISORS, INC.|STERNE AGEE INVESTMENT ADVISORS, INC.|800 SHADES CREEK PARKWAY|SUITE 125|BIRMINGHAM AL 35209|USA|||  ||JOHN H. POOLE, JR.|205-414-3339|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/09/2004|0|0|0|0|0|0
Atlanta Regional Office| 131103|801-63062|POINTER CAPITAL, LLC|POINTER CAPITAL, LLC|3050 PEACHTREE ROAD, NW|SUITE 200|ATLANTA GA 30305|USA|||  ||MALON COURTS|404-614-6183|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/20/2004|0|0|0|0|0|0
Atlanta Regional Office| 131111|801-63006|VEF ADVISORS, LLC|VEF ADVISORS, LLC|TOWER PLACE 100 SUITE 1660|3340 PEACHTREE ROAD N.E.|ATLANTA GA 30326|USA|||  ||HOWARD HUANG|678-538-1919|Limited Liability Company|Other|APPROVED|04/09/2004|0|0|0|0|0|0
Atlanta Regional Office| 131191|801-68398|CATALYST|CATALYST INC.|7 MARSHBRIDGE LANE||SAVANNAH GA 31411|USA|||  ||ELLIOTT BERV|912-713-4567|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|09/28/2007|0|0|0|0|0|0
Atlanta Regional Office| 131393|801-63091|CAROLINA WEALTH MANAGEMENT, INC.|CAROLINA WEALTH MANAGEMENT, INC.|1706-A E ARLINGTON BLVD||GREENVILLE NC 27858|USA|||  ||DEREK PSZENNY|252-439-1344|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Publication of periodicals or newsletters|APPROVED|05/07/2004|0|0|0|0|0|0
Atlanta Regional Office| 131478|801-67724|PRESTON & CLEVELAND WEALTH MANAGEMENT, LLC|PRESTON & CLEVELAND WEALTH MANAGEMENT, LLC|1611 SOUTH ZACK HINTON PKWY.||MCDONOUGH GA 30253|USA|||  ||J. BRIAN PRESTON|770-898-4235|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Other|APPROVED|04/02/2007|0|0|0|0|0|0
Atlanta Regional Office| 131539|801-63263|STRUCTURED ASSET INVESTORS, LLC|STRUCTURED ASSET INVESTORS, LLC|ONE WACHOVIA CENTER|301 S COLLEGE STREET NC0602|CHARLOTTE NC 28288|USA|||  ||SCOTT TAYLOR|(704) 374-3390|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/06/2004|0|0|0|0|0|0
Atlanta Regional Office| 131564|801-63223|MOTZ INVESTOR SERVICES, INC.|MOTZ INVESTOR SERVICES, INC.|1212 BIG BEAR PEN ROAD||HIGHLANDS NC 28741|USA|||  ||FREDERIC C. MOTZ|828-787-2228|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/18/2004|0|0|0|0|0|0
Atlanta Regional Office| 131569|801-65067|HMS FINANCIAL SERVICES, LLC|HMS FINANCIAL SERVICES, LLC|4 MONCKTON BLVD.||COLUMBIA SC 29206|USA|POST OFFICE BOX 6965||COLUMBIA SC 29260-6965|USA|SCOT J. BYTNAR|803-790-6113|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/23/2006|0|0|0|0|0|0
Atlanta Regional Office| 131631|801-63969|MCMAHAN & ASSOCIATES|IPS FINANCIAL SERVICES CORP.|1209 EAST GARRISON BLVD.||GASTONIA NC 28054|USA|||  ||DAVID W. MCMAHAN|704-865-2900|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|04/11/2006|0|0|0|0|0|0
Atlanta Regional Office| 131801|801-64872|OASIS CAPITAL MANAGEMENT LLC|OASIS CAPITAL MANAGEMENT LLC|4 LARKSPUR LANE||SAVANNAH GA 31411-2832|USA|||  ||THOMAS C. STEPHENS|912-598-4108|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|12/05/2005|0|0|0|0|0|0
Atlanta Regional Office| 131821|801-63235|PEACHTREE WEALTH MANAGEMENT, LLC|PEACHTREE WEALTH MANAGEMENT, LLC|3715 NORTHSIDE PARKWAY|NORTHCREEK 200, SUITE 600|ATLANTA GA 30327|USA|||  ||DAVID B. PLYLER|678-904-0594|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|07/09/2004|0|0|0|0|0|0
Atlanta Regional Office| 131828|801-63366|LAKESHORE CAPITAL, LLC|LAKESHORE CAPITAL, LLC|3755 CORPORATE WOODS DRIVE|SUITE 200|BIRMINGHAM AL 35242|USA|||  ||JOEL F. CONN|205-313-9000|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/30/2004|0|0|0|0|0|0
Atlanta Regional Office| 131869|801-67211|NAVIGATOR ASSET MANAGEMENT, LLC|NAVIGATOR ASSET MANAGEMENT, LLC|2037 WRIGHTS MILL ROAD||AUBURN AL 36830-6919|USA|P.O. BOX 589||AUBURN AL 36831-0589|USA|ANDREW DENSON LIPSCOMB|334-826-1335|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/04/2006|0|0|0|0|0|0
Atlanta Regional Office| 132022|801-64349|INVESTORS RESEARCH CORPORATION|INVESTORS RESEARCH CORPORATION|115 PERIMETER CENTER PLACE|SUITE 425|ATLANTA GA 30346|USA|||  ||DAVID RAGLAND|404-456-5924|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/23/2006|0|0|0|0|0|0
Atlanta Regional Office| 132230|801-64634|YIELDQUEST ADVISORS, LLC|YIELDQUEST ADVISORS, LLC|3280 PEACHTREE ROAD|SUITE 2600|ATLANTA GA 30305|USA|||  ||GARY SCHWARTZ|404-446-2270|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/26/2005|0|0|0|0|0|0
Atlanta Regional Office| 132252|801-63379|JACKSON FINANCIAL SERVICES, LLC|JACKSON FINANCIAL SERVICES, LLC|940 JOHNNIE DODDS BLVD.,||MT. PLEASANT SC 29464|USA|P. O. BOX 1028||MT. PLEASANT SC 29465|USA|R. MASON MOISE|843-881-3434|Limited Liability Company|Pension consulting services, Selection of other advisers, Other|APPROVED|07/30/2004|0|0|0|0|0|0
Atlanta Regional Office| 132413|801-63405|STRATFORD ADVISORS, INC.|STRATFORD ADVISORS, INC.|3831 COUNTRY CLUB ROAD||WINSTON SALEM NC 27104-2921|USA|||  ||ROBERT E. PIKE|336-777-3670|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|07/30/2004|0|0|0|0|0|0
Atlanta Regional Office| 132422|801-63421|MAGELLAN WEALTH MANAGEMENT, LLC|MAGELLAN WEALTH MANAGEMENT, LLC|4170 ASHFORD DUNWOODY RD|SUITE 480|ATLANTA GA 30319|USA|||  ||KEVIN MEADERS|404-257-8811|Limited Liability Company|Publication of periodicals or newsletters, Other|APPROVED|08/18/2004|0|0|0|0|0|0
Atlanta Regional Office| 132517|801-63509|CAPSOUTH PARTNERS, INC.|CAPSOUTH PARTNERS, INC.|2216 W. MAIN STREET||DOTHAN AL 36301|USA|||  ||SONYA D. BALDWIN|334.673.8600|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|09/10/2004|0|0|0|0|0|0
Atlanta Regional Office| 132559|801-65585|CENTENNIAL PARTNERS, LLC|CENTENNIAL PARTNERS, LLC|6410 POPLAR AVENUE, SUITE 650||MEMPHIS TN 38119|USA|||  ||TIFFANY FLOCK|(901) 213-1530|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/27/2006|0|0|0|0|0|0
Atlanta Regional Office| 132634|801-67352|PINNACLE ADVISORY SERVICES|PINNACLE ADVISORY SERVICES, INC|211 COMMERCE ST|STE 300|NASHVILLE TN 37201|USA|||  ||HUGH M JOHNSTON|615-744-3715|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|12/11/2006|0|0|0|0|0|0
Atlanta Regional Office| 132720|801-66671|THE MUTUAL FUND STORE|TMFS - NEW ORLEANS, LLC|3900 N. CAUSEWAY BOULEVARD SUITE 100||METAIRIE LA 70002|USA|||  ||SCOTT CAPACE|504-830-7676|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|05/23/2006|0|0|0|0|0|0
Atlanta Regional Office| 132844|801-63560|NFC INVESTMENTS, LLC|NFC INVESTMENTS, LLC|700 COLONIAL RD.|SUITE 110|MEMPHIS TN 38117|USA|||  ||CHARLES K. SLATERY|(901) 767-5576|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/07/2004|0|0|0|0|0|0
Atlanta Regional Office| 132924|801-68900|AGILE INVESTMENTS|STEINHILBER ENTERPRISES, INC.|2707 WESTWOOD AVE.||NASHVILLE TN 37212|USA|||  ||J.D. STEINHILBER|615-385-4909|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|03/07/2008|0|0|0|0|0|0
Atlanta Regional Office| 132949|801-63784|HARMONY INVESTMENT MANAGEMENT, INC.|HARMONY INVESTMENT MANAGEMENT, INC.|103 CONTINENTAL PLACE|SUITE 100|BRENTWOOD TN 37027-1042|USA|||  ||DOUGLAS S. TURNER|615-577-1031|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/03/2005|0|0|0|0|0|0
Atlanta Regional Office| 132974|801-63849|JETSTREAM CAPITAL LLC|JETSTREAM CAPITAL LLC|400 MAIN STREET|SUITE 200|FRANKLIN TN 37064|USA|||  ||BETH PETERS|615-425-3409|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/19/2005|0|0|0|0|0|0
Atlanta Regional Office| 133025|801-65182|KALOS MANAGEMENT|KALOS MANAGEMENT, INC.|3780 MANSELL ROAD|SUITE 150|ALPHARETTA GA 30022|USA|||  ||CAROL WILDERMUTH|678-356-1100|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/10/2006|0|0|0|0|0|0
Atlanta Regional Office| 133038|801-64431|ALLEN WEALTH MANAGEMENT, LLC|ALLEN WEALTH MANAGEMENT, LLC|980 HIGHWAY 105||BOONE NC 28607|USA|PO BOX 1508||BOONE NC 28607||JONATHAN C. ALLEN|828-268-9693|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/20/2005|0|0|0|0|0|0
Atlanta Regional Office| 133174|801-63594|SILVERLEAFE CAPITAL PARTNERS, LLC|SILVERLEAFE CAPITAL PARTNERS, LLC|6410 POPLAR AVENUE, SUITE 355||MEMPHIS TN 38119|USA|||  ||WILLIAM D PATTERSON|901-259-3345|Limited Liability Company|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|10/20/2004|0|0|0|0|0|0
Atlanta Regional Office| 133204|801-64191|WACHOVIA ALTERNATIVE STRATEGIES, INC.|WACHOVIA ALTERNATIVE STRATEGIES, INC.|401 SOUTH TRYON STREET||CHARLOTTE NC 28202|USA|||  ||SHEELPA PATEL|704-383-0171|Corporation|Selection of other advisers, Other|APPROVED|05/13/2005|0|0|1|0|0|0
Atlanta Regional Office| 133247|801-63713|RETIREMENT PLANNING SERVICES, LLC|RETIREMENT PLANNING SERVICES, LLC|1062 OAK RIDGE TURNPIKE|SUITE 200|OAK RIDGE TN 37830-6479|USA|||  ||BETH BLAIR|865/220-9311|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|12/14/2004|0|0|0|0|0|0
Atlanta Regional Office| 133279|801-63626|WESTEND ADVISORS, LLC|WESTEND ADVISORS, LLC|4064 COLONY ROAD|SUITE 130|CHARLOTTE NC 28211|USA|||  ||JOHN D. BLACK|(704) 556-9300|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|03/18/2005|0|0|0|0|0|0
Atlanta Regional Office| 133293|801-63783|COULTER & JUSTUS FINANCIAL SERVICES, LLC|COULTER & JUSTUS FINANCIAL SERVICES, LLC|687 EMORY VALLEY ROAD|SUITE A|OAK RIDGE TN 37830|USA|||  ||JENNY HUSKEY|865-481-0385|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|01/03/2005|0|0|0|0|0|0
Atlanta Regional Office| 133372|801-63672|SIMPLIFI|SIMPLIFI, LLC|6201 TOWNCENTER DRIVE|SUITE 120|ADVANCE NC 27012|USA|||  ||CHARLES BRYAN LINK|336-766-0821|Limited Liability Company|Financial planning services|APPROVED|01/03/2005|0|0|0|0|0|0
Atlanta Regional Office| 133503|801-66877|THE MUTUAL FUND STORE - CHARLOTTE|TMFS-CHARLOTTE, LLC|4724 SHARON RD, SUITE 2J||CHARLOTTE NC 28210|USA|||  ||DUNCAN DICKINSON|704-553-9553|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/27/2006|0|0|0|0|0|0
Atlanta Regional Office| 133557|801-66551|FLEMING WEALTH MANAGEMENT, LLC|FLEMING WEALTH MANAGEMENT, LLC|1200 ABERNATHY ROAD|SUITE 1700|ATLANTA GA 30325|USA|||  ||EDWARD PHILLIP FLEMING|770-350-2607|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/04/2006|0|0|0|0|0|0
Atlanta Regional Office| 133587|801-63763|MEDLEY & BROWN|MEDLEY & BROWN,LLC|795 WOODLANDS PARKWAY SUITE 104||RIDGELAND MS 39157|USA|P. O. BOX 16725||JACKSON MS 39236-6725|USA|SANDI COMMANDER|601-982-4123|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/03/2005|0|0|0|0|0|0
Atlanta Regional Office| 133623|801-69181|BROGAN FINANCIAL, INC.|BROGAN FINANCIAL, INC.|8351 E WALKER SPRINGS LANE|SUITE 101|KNOXVILLE TN 37923|USA|||  ||JAMES BROGAN|865-862-6800|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters, Other|APPROVED|05/13/2008|0|0|0|0|0|0
Atlanta Regional Office| 133673|801-63967|GALLERIA FINANCIAL ADVISORS, LLC|GALLERIA FINANCIAL ADVISORS, LLC|3625 CUMBERLAND BOULEVARD|SUITE 1000|ATLANTA GA 30339|USA|351 PINE VALLEY RD.||MARIETTA GA 30067|USA|GARY E. WELD|678-302-1482|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/23/2005|0|0|0|0|0|0
Atlanta Regional Office| 133682|801-66709|THE MUTUAL FUND STORE|TMFS-NASHVILLE, LLC|9040 CAROTHERS PARKWAY|SUITE A207|FRANKLIN TN 37067|USA|||  ||SCOTT BUELL|615-778-3232|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|06/30/2006|0|1|1|0|0|0
Atlanta Regional Office| 133824|801-67524|SG FINANCIAL ADVISORS, LLC|SG FINANCIAL ADVISORS, LLC|333 SANDY SPRINGS CIRCLE, N.E.|SUITE 121|ATLANTA GA 30328|USA|||  ||RUSSELL E. WOOD|404-459-0027|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/09/2007|0|0|0|0|0|0
Atlanta Regional Office| 133826|801-63822|LEPHEW FINANCIAL SERVICES, INC.|LEPHEW FINANCIAL SERVICES, INC.|452 LAKESHORE PARKWAY|SUITE 115|ROCK HILL SC 29730|USA|||  ||CAROL GOODWIN|803-329-5125|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|01/12/2005|0|0|0|0|0|0
Atlanta Regional Office| 133941|801-63881|SHAH CAPITAL MANAGEMENT|SHAH CAPITAL MANAGEMENT, INC|8601 SIX FORKS ROAD|SUITE 630|RALEIGH NC 27615|USA|||  ||HIMANSHU H. SHAH|919-719-6360|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/04/2005|0|0|0|0|0|0
Atlanta Regional Office| 134111|801-65392|MCCONNELL ASSET MANAGEMENT LLC|MCCONNELL ASSET MANAGEMENT LLC|6075 ROSWELL ROAD|SUITE 450|ATLANTA GA 30328||PO BOX 468507||ATLANTA GA 31146|USA|JAMES LLEWELLYN|404-437-7420|Limited Liability Company|Portfolio management for investment companies|APPROVED|01/26/2006|0|0|0|0|0|0
Atlanta Regional Office| 134137|801-68556|ROBBINS CAPITAL MANAGEMENT INC.|ROBBINS CAPITAL MANAGEMENT INC.|2922 MABRY LANE||ATLANTA GA 30319-2604|USA|||  ||ROBERT S. ROBBINS|404 995-8558|Corporation|Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|01/02/2008|0|0|0|0|0|0
Atlanta Regional Office| 134200|801-63981|ARMOR INVESTMENT ADVISORS, LLC|ARMOR INVESTMENT ADVISORS, LLC|3909 SUNSET RIDGE ROAD|SUITE 102|RALEIGH NC 27607|USA|||  ||WALTER L. SHEFFIELD III|919-571-4382|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|02/23/2005|0|0|0|0|0|0
Atlanta Regional Office| 134217|801-66354|R.P. BOGGS & CO.|R.P. BOGGS & CO.|1414 VILLAGE HARBOR DR||LAKE WYLIE SC 29710|USA|PO BOX 5057||LAKE WYLIE SC 29710|USA|DEBRA DAGILUS|803-831-0911|Corporation|Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|03/09/2006|0|0|0|0|0|0
Atlanta Regional Office| 134250|801-63920|ESTEP CAPITAL MANAGEMENT|ESTEP CAPITAL MANAGEMENT|4949 ANTIOCH CHURCH RD.||MATTHEWS NC 28104|USA|||  ||ANDREW ESTEP|(704) 995-2935|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/09/2005|0|0|0|0|0|0
Atlanta Regional Office| 134351|801-63958|FIDUCIARYVEST, LLC|FIDUCIARYVEST, LLC|211 PERIMETER CENTER PARKWAY|SUITE 1010|ATLANTA GA 30346-1236|USA|||  ||J. GREGG BUCKALEW|404-446-1274|Limited Liability Company|Financial planning services, Pension consulting services, Selection of other advisers, Other|APPROVED|02/17/2005|0|0|0|0|0|0
Atlanta Regional Office| 134522|801-67102|BANES CAPITAL MANAGEMENT, LLC|BANES CAPITAL MANAGEMENT, LLC|6410 POPLAR AVENUE|SUITE 320|MEMPHIS TN 38119-4836|USA|||  ||SHARON DUNN|901-261-5902|Limited Liability Company|Other|APPROVED|08/25/2006|0|0|0|0|0|0
Atlanta Regional Office| 134639|801-68851|MARCA, INC.|MARCA, INC.|4320 EAGLE POINT PARKWAY||BIRMINGHAM AL 35242|USA|||  ||ELLEN NEWPORT|205-408-3000|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|02/15/2008|0|0|0|0|0|0
Atlanta Regional Office| 134673|801-66854|ABERNATHY INVESTMENT MANAGEMENT, LLC|ABERNATHY INVESTMENT MANAGEMENT, LLC|1803 HARPETH RIVER DRIVE||BRENTWOOD TN 37027|USA|P.O. BOX 2528||BRENTWOOD TN 37024-2528|USA|JOHN M. ABERNATHY III|615 376 8244|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/09/2006|0|0|0|0|0|0
Atlanta Regional Office| 134703|801-66933|BECKWITH FINANCIAL ADVISORS, INC.|BECKWITH FINANCIAL ADVISORS, INC.|115 EAST CAMPERDOWN WAY||GREENVILLE SC 29601|USA|||  ||S. CARY BECKWITH III|864-233-7770|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/23/2006|0|0|0|0|0|0
Atlanta Regional Office| 134801|801-68477|VERMILION ASSET MANAGEMENT, LLC|VERMILION ASSET MANAGEMENT, LLC|345 DOUCET ROAD|SUITE 200A|LAFAYETTE LA 70503|USA|P.O. BOX 52302||LAFAYETTE LA 70505-2302|USA|BRENT ABSHIRE|(337)654-4878|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/13/2007|0|0|0|0|0|0
Atlanta Regional Office| 134810|801-68736|ROCKBRIDGE ASSET MANAGEMENT, LLC|ROCKBRIDGE ASSET MANAGEMENT, LLC|9812 MILLWOOD CIRCLE||DAPHNE AL 36527|USA|||  ||MARK L. BAGGERLY|251-990-3456|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/23/2008|0|0|0|0|0|0
Atlanta Regional Office| 134834|801-64350|INVESTLINC WEALTH SERVICES|INVESTLINC WEALTH MANAGEMENT GROUP, LLC|2200  CENTURY PARKWAY|SUITE 750|ATLANTA GA 30345|USA|||  ||JOHN DAVID GLOVER|(404) 634-1998|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/20/2005|0|1|0|0|0|0
Atlanta Regional Office| 134838|801-64127|SKYHAWK CAPITAL MANAGEMENT, LLC|SKYHAWK CAPITAL MANAGEMENT, LLC|6305 HUMPHREYS BLVD|SUITE 104|MEMPHIS TN 38120|USA|||  ||MATTHEW KINNEAR|901-202-5030|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/19/2005|0|0|0|0|0|0
Atlanta Regional Office| 135037|801-64137|WEAVER CAPITAL MANAGEMENT, LLC|WEAVER CAPITAL MANAGEMENT, LLC|5400 LAUREL SPRINGS PKWY|SUITE 303|SUWANEE GA 30024|USA|||  ||DEWITT WEAVER III|678-341-1333|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|03/31/2005|0|0|0|0|0|0
Atlanta Regional Office| 135247|801-64205|EQUITAS PARTNERS, LLC|EQUITAS PARTNERS, LLC|909 POYDRAS STREET|SUITE 1850|NEW ORLEANS LA 70112|USA|||  ||S. DERBY GISCLAIR|504-569-9604|Limited Liability Company|Selection of other advisers|APPROVED|03/23/2006|0|0|0|0|0|0
Atlanta Regional Office| 135287|801-64581|ASPEN PARTNERS, LTD.|ASPEN PARTNERS, LTD.|1230 PEACHTREE STREET NE|SUITE 1750|ATLANTA GA 30309|USA|||  ||ADAM LANGLEY|404-879-5130|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/18/2005|0|1|0|0|0|0
Atlanta Regional Office| 135296|801-64338|ANCHOR INVESTMENT MANAGEMENT|ANCHOR INVESTMENT MANAGEMENT, LLC|6 CALENDAR COURT|SUITE 4|COLUMBIA SC 29206|USA|||  ||MARGARET ELLEN PENDER|803-790-6654|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|05/23/2005|0|0|0|0|0|0
Atlanta Regional Office| 135391|801-64284|FSG INVESTMENT MANAGEMENT, LLC|FSG INVESTMENT MANAGEMENT, LLC|700 COLONIAL RD, SUITE 120||MEMPHIS TN 38117-5191|USA|||  ||J. CLIFTON PAESSLER|901-531-7243|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/18/2005|0|0|0|0|0|0
Atlanta Regional Office| 135405|801-64257|STERLING CAPITAL MANAGEMENT|STERLING CAPITAL MANAGEMENT LLC|TWO MORROCROFT CENTRE|4064 COLONY RD. SUITE 300|CHARLOTTE NC 28211|USA|||  ||KENNETH R. COTNER|(704) 372-8670|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|06/02/2005|0|0|0|0|0|0
Atlanta Regional Office| 135432|801-69134|HORIZONS FINANCIAL GROUP, INC.|HORIZONS FINANCIAL GROUP, INC.|3500 BLUE LAKE DRIVE|SUITE 198|BIRMINGHAM AL 35243|USA|||  ||MARY O. WIER|205-871-7743|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|05/05/2008|0|0|0|0|0|0
Atlanta Regional Office| 135533|801-66593|WILLIAM B. WALKUP & ASSOCIATES, INC.|WILLIAM B. WALKUP & ASSOCIATES, INC.|142 ATRIUM WAY||COLUMBIA SC 29223-6301|USA|||  ||WILLIAM B. WALKUP|(803) 462-9395|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/15/2006|0|0|0|0|0|0
Atlanta Regional Office| 135579|801-67728|CFS WEALTH MANAGEMENT, LLC|CFS WEALTH MANAGEMENT, LLC|3727 VINEVILLE AVENUE||MACON GA 31204|USA|||  ||WADE CHAPMAN|478 471-1875|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|05/09/2007|0|0|0|0|0|0
Atlanta Regional Office| 135759|801-66161|MAGNOLIA FINANCIAL PLANNING SERVICES, INC.|MAGNOLIA FINANCIAL PLANNING SERVICES, INC.|1215 CANE CREEK DRIVE||SENECA SC 29672|USA|||  ||ROBBY T. BRYANT|864-886-9766|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/26/2006|0|0|0|0|0|0
Atlanta Regional Office| 135846|801-64430|BEERS FINANCIAL LLC|BEERS FINANCIAL LLC|609 SIMS AVENUE|SUITE 203|COLUMBIA SC 29205|USA|||  ||VAL H. BEERS|803-748-9550|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/21/2005|0|0|0|0|0|0
Atlanta Regional Office| 135958|801-66563|NARWHAL CAPITAL MANAGEMENT|NARWHAL CAPITAL MANAGMENT, LLC|531 ROSELANE STREET|SUITE 420|MARIETTA GA 30060|USA|||  ||MATTHEW D. BURTON|770-792-6465|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/02/2006|0|0|0|0|0|0
Atlanta Regional Office| 136015|801-66654|MAXIMUM 401K.COM|MAXIMUM 401K.COM|10707 TAVERNAY PKWY||CHARLOTTE NC 28262|USA|||  ||JAMES MCCRAVY|704.650.3179|Corporation|Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|04/28/2006|0|0|0|0|0|0
Atlanta Regional Office| 136214|801-64708|LONGVIEW WEALTH MANAGEMENT|LONGVIEW WEALTH MANAGEMENT, INC.|1100 JOHNSON FERRY RD NE|STE 320|ATLANTA GA 30342|USA|||  ||CATHERINE S. BOLTON|404-843-3100|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|09/19/2005|0|0|0|0|0|0
Atlanta Regional Office| 136342|801-64569|BAUGH & ASSOCIATES, LLC|BAUGH & ASSOCIATES, LLC|257 MT VERNON HWY, NE||ATLANTA GA 30328|USA|||  ||BAUGH, LARRY J|404-256-0268|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/05/2005|0|0|0|0|0|0
Atlanta Regional Office| 136380|801-68661|GRIFFITH & WERNER, INC.|GRIFFITH & WERNER, INC.|107 MOUNTAIN BROOK DRIVE|SUITE 108|CANTON GA 30115|USA|||  ||GREGORY S. PHELPS|678-901-4167|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|01/15/2008|0|0|0|0|0|0
Atlanta Regional Office| 136462|801-64559|AON RETIREMENT PLAN ADVISORS, LLC|AON RETIREMENT PLAN ADVISORS, LLC|3565 PIEDMONT ROAD NE|1 PIEDMONT CENTER, SUITE 600|ATLANTA GA 30305|USA|||  ||LESLIE UDDIN|404.240.6111|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|08/10/2005|0|1|3|0|0|0
Atlanta Regional Office| 136509|801-68878|SHELL CAPITAL MANAGEMENT, LLC|SHELL CAPITAL MANAGEMENT, LLC|500 EBENEZER ROAD||KNOXVILLE TN 37923|USA|||  ||MICHAEL W. SHELL|865-539-9070|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|02/28/2008|0|0|0|0|0|0
Atlanta Regional Office| 136621|801-64680|INTEGER WEALTH ADVISORS GROUP, LLC|INTEGER WEALTH ADVISORS GROUP, LLC|3440 BLUE SPRINGS ROAD|SUITE 403|KENNESAW GA 30144|USA|2090 BAKER ROAD|SUITE 304-194|KENNESAW GA 30144|USA|SAVERIO N. PAGLIONI|770-420-6363|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|09/02/2005|0|0|0|0|0|0
Atlanta Regional Office| 136659|801-64704|CARDINAL WEALTH ADVISORY, LLC|CARDINAL WEALTH ADVISORY, LLC|5100 POPLAR AVENUE, SUITE 814||MEMPHIS TN 38137|USA|||  ||SARA D. WELLFORD|901-767-4401|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|09/16/2005|0|0|0|0|0|0
Atlanta Regional Office| 136857|801-64665|MCCORMACK FINANCIAL PLANNING INC.|MCCORMACK FINANCIAL PLANNING INC.|2002 SUMMIT BLDV.|SUITE 1275|ATLANTA GA 30319|USA|||  ||SANDRA BOSHEARS TAWSE|404-236-7316|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers, Other|APPROVED|08/31/2005|0|0|0|0|0|0
Atlanta Regional Office| 136870|801-66342|SEAMOUNT INVESTMENTS LLC|SEAMOUNT INVESTMENTS LLC|1525 EAST FRANKLIN STREET|SUITE 5B|CHAPEL HILL NC 27514|USA|||  ||MICHAEL MCCLENDON|2143423322|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|07/26/2006|0|0|0|0|0|0
Atlanta Regional Office| 137192|801-64842|OAK ADVISORS, LLC|OAK ADVISORS, LLC|9 OAK FOREST ROAD|SUITE 200|BLUFFTON SC 29910|USA|P.O. BOX 7318||HILTON HEAD SC 29938|USA|MICHELLE MYHRE|843-757-9339|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|10/25/2005|0|0|0|0|0|0
Atlanta Regional Office| 137283|801-64909|PYA WALTMAN CAPITAL, LLC|PYA WALTMAN CAPITAL, LLC|2076 LAKESIDE CENTRE WAY||KNOXVILLE TN 37922|USA|||  ||J. WILLIAM WALTMAN JR.|865.693.6301|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|12/09/2005|0|0|0|0|0|0
Atlanta Regional Office| 137536|801-65932|CHARLESTON FINANCIAL ADVISORS, LLC|CHARLESTON FINANCIAL ADVISORS, LLC|15 BROAD STREET||CHARLESTON SC 29401-3030|USA|||  ||WILLIAM C. PREWITT|843-722-3331|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|07/13/2006|0|0|0|0|0|0
Atlanta Regional Office| 137684|801-64985|FRAZIER CAPITAL MANAGEMENT LLC|FRAZIER CAPITAL MANAGEMENT LLC|4400 SILAS CREEK PKWY.|STE. 200|WINSTON SALEM NC 27104|USA|||  ||MARK L. FRAZIER|336-760-9344|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/19/2006|0|0|0|0|0|0
Atlanta Regional Office| 137761|801-68329|J.C. REED ADVISORY GROUP, LLC|J.C. REED ADVISORY GROUP, LLC|2555 MERIDIAN BLVD|SUITE 140|FRANKLIN TN 37067|USA|||  ||BARRON MATHIS|615-771-7988|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/21/2007|0|1|0|0|0|0
Atlanta Regional Office| 137944|801-68595|THE MUTUAL FUND STORE|TMFS-BIRMINGHAM, LLC|TWO CHASE CORPORATE DRIVE|SUITE 55|HOOVER AL 35244|USA|||  ||DALE JAY HANSEN|205-995-6626|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|12/04/2007|0|0|0|0|0|0
Atlanta Regional Office| 138008|801-68437|TURNING POINT FINANCIAL|TURNING POINT FINANCIAL, INC.|8200 AVANTI DR.||WAXHAW NC 28173|USA|||  ||MARK KENISON|704-887-4984|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/19/2007|0|0|0|0|0|0
Atlanta Regional Office| 138077|801-64925|QUADRANT REAL ESTATE ADVISORS LLC|QUADRANT REAL ESTATE ADVISORS LLC|12735 MORRIS ROAD; SUITE 100||ALPHARETTA GA 30004|USA|||  ||LINDA HOARD|770 752 6721|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|11/25/2005|0|0|0|0|0|0
Atlanta Regional Office| 138132|801-65318|PRESIDIUM|PRESIDIUM RETIREMENT ADVISERS, INC.|5250 77 CENTER DRIVE|SUITE 450|CHARLOTTE NC 28217|USA|||  ||RICK G. CANIPE|866-401-5360|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|01/18/2006|0|0|0|0|0|0
Atlanta Regional Office| 138151|801-65765|GRATUS CAPITAL MANAGEMENT, LLC|GRATUS CAPITAL MANAGEMENT, LLC|2002 SUMMIT BOULEVARD|SUITE 825|ATLANTA GA 30319|USA|||  ||AMY TIERNEY|404-961-6000|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/26/2006|0|0|0|0|0|0
Atlanta Regional Office| 138210|801-64994|ATLANTES FINANCIAL ADVISORS|ATLANTES FINANCIAL ADVISORS CORP|365 GRAND AVENUE, SUITE  "A"||FAIRHOPE AL 36532|USA|||  ||JOHN P. BRANDON|251-928-1616|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|01/04/2006|0|0|0|0|0|0
Atlanta Regional Office| 138227|801-65406|THE WAVE MANAGEMENT COMPANY, LLC|THE WAVE MANAGEMENT COMPANY, LLC|4 QUEEN STREET||CHARLESTON SC 29401|USA|||  ||KELLY DOUGHERTY|843-377-2702|Limited Liability Company|Other|APPROVED|02/15/2006|0|0|0|0|0|0
Atlanta Regional Office| 138240|801-65005|MITCHELL, MCLEOD, PUGH & WILLIAMS, INC.|MITCHELL,  MCLEOD,  PUGH & WILLIAMS,  INC.|2610 DAUPHIN STREET||MOBILE AL 36606|USA|P. O. BOX 7338||MOBILE AL 36670-0038|USA|DOUGLAS R. MCLEOD|251-423-5457|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Publication of periodicals or newsletters|APPROVED|01/13/2006|0|0|0|0|0|0
Atlanta Regional Office| 138401|801-65690|MORGAN CREEK CAPITAL MANAGEMENT, LLC|MORGAN CREEK CAPITAL MANAGEMENT, LLC|1414 RALEIGH ROAD|SUITE 445|CHAPEL HILL NC 27517|USA|||  ||BILL WATTS|919-933-4004|Limited Liability Company|Selection of other advisers, Other|APPROVED|01/26/2006|0|0|0|0|0|0
Atlanta Regional Office| 138600|801-65663|ANDERSON GROWTH PARTNERS, LLC|ANDERSON GROWTH PARTNERS, LLC|201 SOUTH COURT STREET|SUITE 610|FLORENCE AL 35630|USA|||  ||RICK WALLINGTON|205-943-0527|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/27/2006|0|0|0|0|0|0
Atlanta Regional Office| 138655|801-66801|MCCARTER INVESTMENTS, LLC|MCCARTER INVESTMENTS, LLC|2028 RIVERGATE DRIVE||KNOXVILLE TN 37920|USA|||  ||BARRY MCCARTER|865-579-5868|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|05/23/2006|0|0|0|0|0|0
Atlanta Regional Office| 138732|801-65851|NOONDAY ASSET MANAGEMENT, L.P.|NOONDAY ASSET MANAGEMENT, L.P.|227 WEST TRADE STREET|SUITE 2140|CHARLOTTE NC 28202|USA|||  ||DAVID I. COHEN|704-333-9192|Partnership|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/31/2006|0|0|0|0|0|0
Atlanta Regional Office| 138823|801-65217|HIGHLAND GOOD STEWARD MANAGEMENT, LLC|HIGHLAND GOOD STEWARD MANAGEMENT, LLC|2545 HIGHLAND AVENUE|SUITE 200|BIRMINGHAM AL 35205|USA|||  ||WULF, D. JAY|205-939-8318|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/18/2006|0|0|0|0|0|0
Atlanta Regional Office| 138858|801-65727|EAGLE FINANCIAL MANAGEMENT SERVICES, LLC|EAGLE FINANCIAL MANAGEMENT SERVICES, LLC|400 TRAVIS ST.|SUITE 518|SHREVEPORT LA 71101|USA|||  ||JACK DITT|318.675.0826|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|01/27/2006|0|0|0|0|0|0
Atlanta Regional Office| 139198|801-66649|FORESIGHT WEALTH MANAGEMENT|FORESIGHT ASSET MANAGEMENT, LLC|1208 LENORE LANE||MARYVILLE TN 37804|USA|||  ||TERRY BUCHANAN|865-679-6177|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|05/26/2006|0|0|0|0|0|0
Atlanta Regional Office| 139220|801-66338|WORTHSCAPE, LLC|WORTHSCAPE, LLC|3300 CUMBERLAND BLVD|SUITE 300|ATLANTA GA 30339|USA|||  ||ROBERT JETMUNDSEN|404-419-7111|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|03/14/2006|0|0|0|0|0|0
Atlanta Regional Office| 139233|801-66681|INVESTMENT ADVISORS INTERNATIONAL, INC.|INVESTMENT ADVISORS INTERNATIONAL, INC.|11315 JOHNS CREEK PARKWAY||DULUTH GA 30097-1517|USA|||  ||STEVEN WILCOX|(770) 248-3649|Corporation|Selection of other advisers|APPROVED|05/17/2006|0|0|0|0|0|0
Atlanta Regional Office| 139352|801-66491|PACELINE CAPITAL ADVISORS LLC|PACELINE CAPITAL ADVISORS LLC|516 TENNESSEE STREET|SUITE 230|MEMPHIS TN 38103|USA|||  ||JARRET KINDER|901-405-1468|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/28/2006|0|0|0|0|0|0
Atlanta Regional Office| 139528|801-66210|TRENDZ ADVISORS|TRENDZ ADVISORS, INC.|6223 HIGHLAND PLACE WAY||KNOXVILLE TN 37919|USA|||  ||DON TAYLOR|865-583-7390|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|02/01/2006|0|0|0|0|0|0
Atlanta Regional Office| 139592|801-66254|CAROLOPOLIS FIDUCIARY COUNSEL, INC.|CAROLOPOLIS FAMILY WEALTH MANAGEMENT, INC.|49 ARCHDALE STREET, SUITE 2G||CHARLESTON SC 29401|USA|||  ||BRENT E. BENTRIM|843-278-0061|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|02/24/2006|0|0|0|0|0|0
Atlanta Regional Office| 139665|801-67198|BHK SECURITIES, LLC|BHK SECURITIES, LLC|2200 LAKESHORE DRIVE|SUITE 250|BIRMINGHAM AL 35209-8803|USA|||  ||MEREDYTH ROBERTS HAZZARD|205-874-1002|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|09/21/2006|0|0|0|0|0|0
Atlanta Regional Office| 139673|801-66269|WARD FINANCIAL ADVISORS, LTD.|WARD FINANCIAL ADVISORS, LTD.|1925 GADSDEN STREET||COLUMBIA SC 29201-2346|USA|||  ||WADE F. WARD, JR. (GERRY)|803-929-0720|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|03/06/2006|0|0|0|0|0|0
Atlanta Regional Office| 139746|801-66343|APOGEE WEALTH MANAGEMENT, LLC|APOGEE WEALTH MANAGEMENT, LLC|3300 CUMBERLAND BOULEVARD, SUITE 300||ATLANTA GA 30339|USA|||  ||R. JEFFERSON DAVIS, JR.|404-419-7110|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|03/15/2006|0|0|0|0|0|0
Atlanta Regional Office| 139871|801-66370|GLOBAL INDEX ADVISORS, INC.|GLOBAL INDEX ADVISORS, INC.|29 NORTH PARK SQUARE|SUITE 201|MARIETTA GA 30060|USA|||  ||GEORGE V. DANIELS, JR.|770-874-7042|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|03/21/2006|0|0|0|0|0|0
Atlanta Regional Office| 139887|801-66407|HAMILTON JOSEPH ADVISORS, LLC|HAMILTON JOSEPH ADVISORS, LLC|125 THE PARKWAY|SUITE 201|GREENVILLE SC 29615|USA|||  ||DAVID DAMERON|864-288-2849|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|03/31/2006|0|0|0|0|0|0
Atlanta Regional Office| 139942|801-66552|FRENCH WOLF & FARR, INC.|FRENCH WOLF & FARR, INC.|3445 PEACHTREE ROAD, NE|SUITE 575|ATLANTA GA 30326|USA|||  ||MICHAEL E. WOLF|404-604-3403|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/26/2006|0|0|0|0|0|0
Atlanta Regional Office| 140037|801-66475|FISHERMAN CAPITAL MANAGEMENT, LLC|FISHERMAN CAPITAL MANAGEMENT, LLC|5400 LAUREL SPRINGS PARKWAY|SUITE 303|SUWANEE GA 30024|USA|||  ||CAROL OLIVER|678-341-1322|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/12/2006|0|0|0|0|0|0
Atlanta Regional Office| 140068|801-66487|CH ADVISORS|GREGORY A. FIORE|267 WEST WIEUCA ROAD|SUITE 203|ATLANTA GA 30342|USA|||  ||GREGORY FIORE|404.781.1700|Sole Proprietorship|Pension consulting services|APPROVED|05/22/2006|0|0|0|0|0|0
Atlanta Regional Office| 140168|801-67535|BURKETT FINANCIAL SERVICES, LLC|BURKETT FINANCIAL SERVICES, LLC|128 EAST MAIN STREET|SUITE 201|ROCK HILL SC 29730|USA|||  ||PHILLIP KEVIN SMILEY|803-980-3232|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|01/29/2007|0|0|0|0|0|0
Atlanta Regional Office| 140249|801-66568|HILTON HEAD FINANCIAL ADVISORS, INC.|HILTON HEAD FINANCIAL ADVISORS, INC.|3600 MAIN STREET|SUITE 200|HILTON HEAD SC 29926|USA|P.O. BOX 21489||HILTON HEAD SC 29925|USA|NATHANIEL B.P. JONES|843-681-8300|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/30/2006|0|0|0|0|0|0
Atlanta Regional Office| 140515|801-66669|BHK INVESTMENT ADVISORS|BHK INVESTMENT ADVISORS, LLC|2200 LAKESHORE DRIVE|SUITE 250|BIRMINGHAM AL 35209-8803|USA|||  ||MEREDYTH ROBERTS HAZZARD|205-322-2025|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|05/17/2006|0|0|0|0|0|0
Atlanta Regional Office| 140605|801-66943|CENTURION ADVISORY GROUP, INC|CENTURION ADVISORY GROUP, INC|6340 SUGARLOAF PARKWAY|SUITE 200|DULUTH GA 30097|USA|||  ||RANDY BRUNSON|770-817-0525|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|07/05/2006|0|1|2|0|0|0
Atlanta Regional Office| 140649|801-66782|PERIMETER CAPITAL MANAGEMENT|PERIMETER CAPITAL PARTNERS LLC|FIVE CONCOURSE PARKWAY|SUITE 2725|ATLANTA GA 30328|USA|||  ||ADAM C. STEWART|770 350 8716|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/08/2006|0|0|0|0|0|0
Atlanta Regional Office| 140743|801-67329|CENTURION INVESTMENT PARTNERS, LLC|CENTURION INVESTMENT PARTNERS, LLC|5860 RIDGEWAY CENTER PARKWAY|SUITE 330|MEMPHIS TN 38120|USA|||  ||RONALD W. HODGES|901.766.9393|Limited Liability Company|Portfolio management for investment companies|APPROVED|11/20/2006|0|0|0|0|0|0
Atlanta Regional Office| 140786|801-66831|COMPERIO RETIREMENT CONSULTING, INC.|COMPERIO RETIREMENT CONSULTING, INC.|6320 QUADRANGLE DRIVE|SUITE 310|CHAPEL HILL NC 27517|USA|||  ||JAMES R. SOTELL|919-401-3500|Corporation|Financial planning services, Pension consulting services, Selection of other advisers|APPROVED|05/30/2006|0|0|0|0|0|0
Atlanta Regional Office| 140921|801-67086|ROLLOVERSYSTEMS|ROLLOVERSYSTEMS, INC|4135 SOUTH STREAM BOULEVARD|SUITE 500|CHARLOTTE NC 28217|USA|||  ||MILDRED FORBES BEAL|704-248-5841|Corporation|Other|APPROVED|08/11/2006|0|0|0|0|0|0
Atlanta Regional Office| 140944|801-66908|INTERSERV, LLC|INTERSERV, LLC|3101 INTERNATIONAL DRIVE|BLDG 6|MOBILE AL 36606|USA|P. O. BOX 16166||MOBILE AL 36616-0166|USA|HENRY SCHWARZBERG|251-662-2510|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|06/20/2006|0|0|0|0|0|0
Atlanta Regional Office| 141024|801-66976|HARDY REED FRUGE CAPITAL ADVISORS, LLC|HARDY REED FRUGE CAPITAL ADVISORS, LLC|101 S. FRONT STREET||TUPELO MS 38804|USA|P.O. BOX 437||TUPELO MS 38802-0437|USA|ANITA M. GIGLIO|662-823-4722|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/05/2006|0|0|0|0|0|0
Atlanta Regional Office| 141284|801-67035|ALPHA CAPITAL MANAGEMENT, LLC|ALPHA CAPITAL MANAGEMENT, LLC|1355 PEACHTREE STREET|SUITE 750|ATLANTA GA 30309|USA|||  ||BRADLEY ALFORD|404-604-2290|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|07/21/2006|0|0|0|0|0|0
Atlanta Regional Office| 141341|801-67192|FIDELIS CAPITAL, LLC|FIDELIS CAPITAL, LLC|3104 BLUE LAKE DR.|STE. 120|BIRMINGHAM AL 35243|USA|||  ||JOHN STANLEY STEIN III|205.588.6025|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|10/06/2006|0|0|0|0|0|0
Atlanta Regional Office| 141407|801-67159|SILVERBACK ASSET MANAGEMENT, LLC|SILVERBACK ASSET MANAGEMENT, LLC|1414 RALEIGH ROAD|SUITE 250|CHAPEL HILL NC 27517|USA|||  ||KEVIN KOHLES|919-969-4315|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/02/2006|0|0|0|0|0|0
Atlanta Regional Office| 141479|801-68461|ALAN MARC FEIGENBAUM, CFP|FEIGENBAUM, ALAN MARC|104 NORTH CRABTREE KNOLL||CHAPEL HILL NC 27514|USA|||  ||ALAN MARC FEIGENBAUM|9194080789|Sole Proprietorship|Financial planning services, Other|APPROVED|11/19/2007|0|0|0|0|0|0
Atlanta Regional Office| 141546|801-67099|DOUCET ASSET MANAGEMENT, LLC|DOUCET ASSET MANAGEMENT, LLC|2204 LAKESHORE DRIVE, SUITE 218||BIRMINGHAM AL 35209|USA|||  ||CHRISTOPHER L. DOUCET|205-414-9788|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/16/2006|0|0|0|0|0|0
Atlanta Regional Office| 141625|801-68762|PRIMETRUST ADVISORS LLC|PRIMETRUST ADVISORS LLC|517 HUNTINGTON ROAD||GREENVILLE SC 29615|USA|1140 WOODRUFF RD.|SUITE 106-120|GREENVILLE SC 29607|USA|JULIAN HUNT JR.|864-627-4015|Limited Liability Company|Pension consulting services|APPROVED|02/12/2008|0|0|0|0|0|0
Atlanta Regional Office| 141818|801-67245|SGM FINANCIAL|SCOTT MURPHY FINANCIAL SERVICES INC.|7701 WHITTLE ROAD||MACON GA 31220|USA|P.O. BOX 27266||MACON GA 31221|USA|SCOTT MURPHY|478-994-5301|Corporation|Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|11/02/2006|0|0|0|0|0|0
Atlanta Regional Office| 141871|801-67300|BMF INVESTMENTS, INC.|BMF INVESTMENTS, INC.|125 FLOYD SMITH DRIVE|SUITE 240|CHARLOTTE NC 28262|USA|||  ||BARRY FERGUSON|704-563-2960|Corporation|Portfolio management for individuals and/or small businesses, Pension consulting services, Publication of periodicals or newsletters, Security ratings or pricing services|APPROVED|11/16/2006|0|0|0|0|0|0
Atlanta Regional Office| 141893|801-68802|BYRON FINANCIAL, LLC|BYRON FINANCIAL, LLC|6100 FAIRVIEW ROAD|SUITE 1215|CHARLOTTE NC 28210|USA|||  ||WILLIAM M. BYRON|704-442-4402|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|01/28/2008|0|0|0|0|0|0
Atlanta Regional Office| 141925|801-67205|WEALTHTRUST ADVISORS|WEALTHTRUST ADVISORS LLC|102 WOODMONT BLVD|SUITE 600|NASHVILLE TN 37205|USA|||  ||MICHAEL K. HENRY|615-297-6884|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|10/06/2006|0|0|0|0|0|0
Atlanta Regional Office| 141943|801-67467|ADVOCACY WEALTH MANAGEMENT SERVICES, LLC|ADVOCACY WEALTH MANAGEMENT SERVICES, LLC|3155 ROSWELL ROAD|SUITE 320|ATLANTA GA 30305|USA|||  ||LESLIE W. ALLEN|404-961-1051|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|01/17/2007|0|0|0|0|0|0
Atlanta Regional Office| 142063|801-68612|GARLAND MERZ CONSULTING LLC|GARLAND MERZ CONSULTING LLC|3990 VERMONT ROAD||ATLANTA GA 30319|USA|||  ||STEPHEN P. MERZ|404-423-5755|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/04/2008|0|0|0|0|0|0
Atlanta Regional Office| 142093|801-68336|FLOYD CAPITAL MANAGEMENT, LLC|FLOYD CAPITAL MANAGEMENT, LLC|4536 RICHMOND HILL DRIVE||MURRELLS INLET SC 29576|USA|||  ||JOHN C. FLOYD, JR.|843-357-3700|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|10/03/2007|0|0|0|0|0|0
Atlanta Regional Office| 142202|801-67260|DIVERSIFIED INVESTMENT STRATEGIES, LLC|DIVERSIFIED INVESTMENT STRATEGIES, LLC|11939 BRICKSOME AVE||BATON ROUGE LA 70816|USA|||  ||JAMES POPE|225-292-0687|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/13/2006|0|1|0|0|0|0
Atlanta Regional Office| 142218|801-67437|HARRISON FINANCIAL|HARRISON, WILLIAM BENJAMIN|750 EXECUTIVE CENTER DRIVE|SUITE 102|GREENVILLE SC 29615|USA|P. O. BOX 25998||GREENVILLE SC 29616|USA|WILLIAM B. HARRISON|864-284-6511|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Other|APPROVED|01/18/2007|0|0|0|0|0|0
Atlanta Regional Office| 142238|801-67308|HOLCOMBE FINANCIAL INC.|HOLCOMBE FINANCIAL INC.|6065 ROSWELL ROAD|SUITE 250|SANDY SPRINGS GA 30328|USA|||  ||RUSSELL E. HOLCOMBE|404-257-3317|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/30/2006|0|1|0|0|0|0
Atlanta Regional Office| 142261|801-67338|EDGE ADVISORS, LLC|EDGE ADVISORS, LLC|1380 WEST PACES FERRY RD.|SUITE 1000|ATLANTA GA 30327|USA|||  ||RICHARD FLORESS|404-890-7703|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|12/14/2006|0|0|0|0|0|0
Atlanta Regional Office| 142457|801-67462|THE MERIT RETIREMENT ADVANTAGE|MERIT FINANCIAL INC|2400 LAKEVIEW PARKWAY|SUITE 650|ALPHARETTA GA 30004|USA|||  ||RICK L. KENT|678-867-7050|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers, Other|APPROVED|01/31/2007|0|0|0|0|0|0
Atlanta Regional Office| 142477|801-67356|KOURY CAPITAL MANAGEMENT, LLC|KOURY CAPITAL MANAGEMENT, LLC|1406 WHITE CROSS ROAD||CHAPEL HILL NC 27516|USA|||  ||CHIP KOURY|919-942-6452|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/23/2007|0|0|0|0|0|0
Atlanta Regional Office| 142508|801-67392|LEGACY FINANCIAL SERVICES, LLC|LEGACY FINANCIAL SERVICES, LLC|1301 SHILOH ROAD NW, SUITE 330||KENNESAW GA 30144-7186|USA|||  ||CHRISTIN D. BLACKERBY|678-819-4862|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/08/2007|0|0|0|0|0|0
Atlanta Regional Office| 142543|801-67612|WILSON INVESTMENT MANAGEMENT, LLC|WILSON INVESTMENT MANAGEMENT, LLC|8700 TRAIL LAKE DRIVE WEST|SUITE 125|MEMPHIS TN 38125|USA|||  ||ANTHONY H. GRAVES|901-680-5325|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/13/2007|0|0|0|0|0|0
Atlanta Regional Office| 142599|801-67385|A-V CAPITAL MANAGEMENT, LLC|A-V CAPITAL MANAGEMENT, LLC|111 VETERANS BLVD.|SUITE 120|METAIRE LA 70005|USA|||  ||LISA V. AMANN|504-831-3537|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|01/03/2007|0|0|0|0|0|0
Atlanta Regional Office| 142615|801-68194|WHITE OAK FINANCIAL MANAGEMENT, INC|WHITE OAK FINANCIAL MANAGEMENT, INC|1270 HENDERSONVILLE ROAD|SUITE #4|ASHEVILLE NC 28803|USA|||  ||LAURA MCCUE|828-274-7844|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|08/08/2007|0|0|0|0|0|0
Atlanta Regional Office| 142644|801-67489|SOUTHERN FINANCIAL GROUP, LLC|SOUTHERN FINANCIAL GROUP, LLC|TWO PERIMETER PARK SOUTH|SUITE 250 EAST|BIRMINGHAM AL 35243|USA|||  ||DAVID FRANKLIN PAINTER|205.383.1415|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|02/09/2007|0|0|0|0|0|0
Atlanta Regional Office| 142664|801-67435|SEBCOR, INC.|SEBCOR, INC.|7023 MEADOWLARK DRIVE||BIRMINGHAM AL 35242-5341|USA|P.O. BOX 43605||BIRMINGHAM AL 35243-0605|USA|ANTHONY CLARK WILLOUGHBY|(205) 970-1111|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|01/08/2007|0|0|0|0|0|0
Atlanta Regional Office| 142769|801-67516|FINANCIAL INNOVATIONS, LLC|FINANCIAL INNOVATIONS, LLC|5555 GLENRIDGE CONNECTOR|SUITE 200|ATLANTA GA 30342|USA|||  ||LAURA K. SCHILLING|404-459-2828|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|01/26/2007|0|0|0|0|0|0
Atlanta Regional Office| 142793|801-67434|MOSAIC WEALTH MANAGEMENT, L.L.C.|MOSAIC WEALTH MANAGEMENT, L.L.C.|3575 PIEDMONT ROAD NE|15 PIEDMONT CENTER, SUITE 1070|ATLANTA GA 30305|USA|||  ||MATTHEW HUDGINS|404-405-8080|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|01/16/2007|0|0|0|0|0|0
Atlanta Regional Office| 142944|801-67555|BARNES PETTEY FINANCIAL ADVISORS, LLC|BARNES PETTEY FINANCIAL ADVISORS, LLC|252 SUNFLOWER AVENUE||CLARKSDALE MS 38614|USA|||  ||DUDLEY BARNES|662-627-2225|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|01/03/2007|0|0|0|0|0|0
Atlanta Regional Office| 142983|801-67651|SNOW CREEK WEALTH MANAGEMENT|SNOW CREEK WEALTH MANAGEMENT LLC|905 HARPETH VALLEY PLACE||NASHVILLE TN 37221|USA|||  ||DAVID GOLDBERG|615-673-7795|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers, Other|APPROVED|04/04/2007|0|0|0|0|0|0
Atlanta Regional Office| 143126|801-67554|PDR ADVISORS, LLC|PDR ADVISORS, LLC|2101 SARDIS ROAD NORTH|SUITE 115|CHARLOTTE NC 28227|USA|||  ||GARY JON AUSTIN|704 845 2303|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|02/20/2007|0|0|0|0|0|0
Atlanta Regional Office| 143208|801-68882|BUCKHEAD INVESTMENT PARTNERS, LLC|BUCKHEAD INVESTMENT PARTNERS, LLC|2300 LAKEVIEW PARKWAY|SUITE 700|ALPHARETTA GA 30004|USA|||  ||WILLIAM HARRIS|404-492-5598|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/20/2008|0|0|0|0|0|0
Atlanta Regional Office| 143342|801-68184|MIDSOUTH INVESTMENT MANAGEMENT LLC|MIDSOUTH INVESTMENT MANAGEMENT LLC|201 4TH AVE. NORTH, SUITE 1950||NASHVILLE TN 37219|USA|||  ||LYMAN HEIDTKE|615-254-0992|Limited Liability Company|Other|APPROVED|07/31/2007|0|0|0|0|0|0
Atlanta Regional Office| 143384|801-68068|RESOURCE HORIZONS INVESTMENT ADVISORY, INC.|RESOURCE HORIZONS INVESTMENT ADVISORY, INC.|1350 CHURCH STREET, EXT., N.E.|3RD FLOOR|MARIETTA GA 30060|USA|||  ||LAURA TEDBALL|770-319-1970|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/21/2007|0|0|0|0|0|0
Atlanta Regional Office| 143560|801-67915|ROKA WEALTH STRATEGISTS|ROKA WEALTH STRATEGISTS, LLC|2303 MACY DRIVE||ROSWELL GA 30076|USA|||  ||KARI MARCH|770-817-0412|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|06/13/2007|0|0|0|0|0|0
Atlanta Regional Office| 143593|801-67829|ATRIA INVESTMENTS LLC|ATRIA INVESTMENTS LLC|5935 CARNEGIE BLVD|SUITE 301|CHARLOTTE NC 28209|USA|||  ||MICHAEL STIER|704-716-3725|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/24/2007|0|0|0|0|0|0
Atlanta Regional Office| 143805|801-68363|HATTERAS CAPITAL INVESTMENT MANAGEMENT, LLC|HATTERAS CAPITAL INVESTMENT MANAGEMENT, LLC|8540 COLONNADE CENTER DRIVE, SUITE 401||RALEIGH NC 27615|USA|||  ||ANDREW P. CHICA|(919) 846-2324|Limited Liability Company|Other|APPROVED|10/17/2007|0|0|0|0|0|0
Atlanta Regional Office| 143830|801-68049|FIRST TENNESSEE ADVISORY SERVICES, INC.|FIRST TENNESSEE ADVISORY SERVICES, INC.|530 OAK COURT DRIVE|SUITE 200|MEMPHIS TN 38117|USA|||  ||WARD K. MCBEE|901-818-6072|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|06/29/2007|0|0|0|0|0|0
Atlanta Regional Office| 143884|801-67865|REGISTER & AKERS ADVISORY SERVICES, LLC.|REGISTER & AKERS ADVISORY SERVICES, LLC.|3500 LENOX ROAD|SUITE 1700|ATLANTA GA 30326|USA|||  ||SCOTT AKERS|404-364-2129|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|05/07/2007|0|0|0|0|0|0
Atlanta Regional Office| 144014|801-68380|TERMINUS ASSET MANAGEMENT COMPANY, LLC|TERMINUS ASSET MANAGEMENT COMPANY, LLC|9000 CENTRAL PARK WEST|SUITE 150|ATLANTA GA 30328|USA|||  ||LANCE D. FOLES|678-672-1235|Limited Liability Company|Other|APPROVED|09/27/2007|0|0|0|0|0|0
Atlanta Regional Office| 144042|801-67976|GRIGGS CAPITAL MANAGEMENT, LLC|GRIGGS CAPITAL MANAGEMENT, LLC|7229 ALBEMARLE ROAD|SUITE C|CHARLOTTE NC 28227-8130|USA|||  ||RANDALL CLIFTON GRIGGS|704-568-9967|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|06/22/2007|0|0|0|0|0|0
Atlanta Regional Office| 144230|801-68349|POWELL FINANCIAL, INC.|POWELL FINANCIAL, INC.|7930 WEST KENTON CIRCLE|SUITE 230|HUNTERSVILLE NC 28078|USA|||  ||DAVID L. POWELL|(704) 439-0027|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|09/19/2007|0|0|0|0|0|0
Atlanta Regional Office| 144300|801-68356|SPRING CREEK INVESTMENTS|SPRING CREEK INVESTMENTS, LLC|2148 SPRING CREEK RD.||MONTEVALLO AL 35115|USA|P.O. BOX 149||MONTEVALLO AL 35115||DENISE A. WOODHAM|205-835-0949|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|09/17/2007|0|0|0|0|0|0
Atlanta Regional Office| 144408|801-68359|CALDWELL ADVISORS, LLC|CALDWELL ADVISORS, LLC|5214 MARYLAND WAY|STE 309|BRENTWOOD TN 37027|USA|||  ||BILLY RAY CALDWELL, JR.|615-577-0938|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|09/24/2007|0|0|0|0|0|0
Atlanta Regional Office| 144430|801-68094|FAMILY OFFICE OF THE SOUTH, INC.|FAMILY OFFICE OF THE SOUTH, INC.|4640 S. CARROLLTON AVE.|SUITE 220|NEW ORLEANS LA 70119|USA|PO BOX 13096||NEW ORLEANS LA 70185|USA|LUIS ZERVIGON|504-304-3686|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|07/11/2007|0|0|0|0|0|0
Atlanta Regional Office| 144516|801-68306|NICHOLAS HOFFMAN & COMPANY, LLC|NICHOLAS HOFFMAN & COMPANY, LLC|1355 PEACHTREE ST.,STE 1450||ATLANTA GA 30309|USA|||  ||NICHOLAS J. HOFFMAN|404-815-5050|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|09/14/2007|0|0|0|0|0|0
Atlanta Regional Office| 144534|801-68186|HAMILTON POINT INVESTMENT ADVISORS, LLC|HAMILTON POINT INVESTMENT ADVISORS, LLC|120 TIMBERHILL PLACE||CHAPEL HILL NC 27514|USA|||  ||ANDREW C. BURNS|(919) 636-3765|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/20/2007|0|0|0|0|0|0
Atlanta Regional Office| 144543|801-68149|MILLER PORTFOLIO ADVISORS, LLC|MILLER PORTFOLIO ADVISORS, LLC|3909 SUNSET RIDGE RD|SUITE 102|RALEIGH NC 27607|USA|||  ||JEFFREY MILLER|919-571-1820|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/11/2007|0|0|0|0|0|0
Atlanta Regional Office| 144549|801-68158|PARR FINANCIAL GROUP, LLC|PARR FINANCIAL GROUP, LLC|5100 POPLAR AVENUE, SUITE 3117||MEMPHIS TN 38137|USA|||  ||KIM WILLIAMS|901-680-5266|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/11/2007|0|0|0|0|0|0
Atlanta Regional Office| 144574|801-69017|ALLIANCE CONSULTING|ALLIANCE CONSULTING, LLC|750 WOODLANDS PARKWAY|SUITE 209|RIDGELAND MS 39157|USA|PO BOX 3340||RIDGELAND MS 39158-3340|USA|RANDY MOWDY|601-957-9557|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Other|APPROVED|05/20/2008|0|2|0|0|0|0
Atlanta Regional Office| 144650|801-68188|INSTITUTIONAL SERVICES GROUP, LLC|INSTITUTIONAL SERVICES GROUP, LLC|SUITE 534, 248 EAST CAPITOL ST.||JACKSON MS 39201|USA|P.O. BOX 4654||JACKSON MS 39296-4654|USA|HUGH L. DAVIS, III|601-750-3170|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|07/30/2007|0|0|0|0|0|0
Atlanta Regional Office| 144681|801-68198|PARKWAY WEALTH MANAGEMENT, LLC|PARKWAY WEALTH MANAGEMENT, LLC|240 SOUTH HANSELL STREET||THOMASVILLE GA 31792-5617|USA|P.O. BOX 2686||THOMASVILLE GA 31799-2686|USA|JOHN MARK PARKER|229-226-2983|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/09/2007|0|0|0|0|0|0
Atlanta Regional Office| 144695|801-68185|AURORA ASSET MANAGEMENT, L.L.C.|AURORA ASSET MANAGEMENT, L.L.C.|1576 APPLINGWOOD COVE NORTH||CORDOVA TN 38016|USA|||  ||JEANNE YBOS|901-758-1590|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/26/2007|0|0|0|0|0|0
Atlanta Regional Office| 144851|801-68281|ELAN WEALTH MANAGEMENT, LLC|ELAN WEALTH MANAGEMENT, LLC|4417 N. CROATAN HWY|SUITE #200|KITTY HAWK NC 27949|USA|5561 N. CROATAN HWY #3||KITTY HAWK NC 27949|USA|SHARON ELLIOTT|252-255-1700|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/29/2007|0|0|0|0|0|0
Atlanta Regional Office| 144873|801-68300|CENTERRIGGER, LLC|CENTERRIGGER, LLC|3575 HIGHWAY 17 BUSINESS||MURRELLS INLET SC 29576|USA|||  ||CHRIS MORRIS|843-314-4190|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|09/06/2007|0|0|0|0|0|0
Atlanta Regional Office| 144885|801-69090|WHM CAPITAL ADVISORS, LLC|WHM CAPITAL ADVISORS, LLC|1310 LADY STREET, SUITE 800||COLUMBIA SC 29201|USA|P.O. BOX 7426||COLUMBIA SC 29202||WILLIAM H. MCAFEE, JR.|803-799-1301|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/09/2008|0|0|0|0|0|0
Atlanta Regional Office| 144959|801-68562|AFFINITY CAPITAL PARTNERS, LLC|AFFINITY CAPITAL PARTNERS, LLC|2015 BOUNDARY STREET|SUITE 315|BEAUFORT SC 29902|USA|P.O. BOX 1086||BEAUFORT SC 29901|USA|PAULA M. VERITY|843-379-6661|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|11/14/2007|0|0|0|0|0|0
Atlanta Regional Office| 145050|801-68335|TANGLEWOOD ASSET MANAGEMENT|NOVANT ASSET MANAGEMENT, LLC|110 OAKWOOD DRIVE|SUITE 210|WINSTON-SALEM NC 27103|USA|||  ||WAYNE FORREST MORGAN|336-725-0900|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|10/15/2007|0|0|0|0|0|0
Atlanta Regional Office| 145238|801-68430|MINIS & CO., INC.|SAVANNAH ADVISORS, INC.|115 EAST BAY STREET||SAVANNAH GA 31401|USA|||  ||MARK I ALLEN|912-233-4715|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/09/2007|0|0|0|0|0|0
Atlanta Regional Office| 145264|801-68801|RAYBURN WEST FINANCIAL SERVICES|RAYBURN WEST FINANCIAL SERVICES LLC|4117 HILLSBORO PIKE|SUITE 208|NASHVILLE TN 37215|USA|||  ||CHARLES R. WEST JR.|615-386-6932|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/07/2008|0|0|0|0|0|0
Atlanta Regional Office| 145340|801-69336|POTERACK CAPITAL ADVISORY, INC.|POTERACK CAPITAL ADVISORY, INC.|2115 REXFORD ROAD|SUITE 215|CHARLOTTE NC 28211|USA|||  ||RYAN POTERACK|704-366-5776|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/01/2008|0|0|0|0|0|0
Atlanta Regional Office| 145460|801-68568|BROAD STREET CAPITAL PARTNERS, LLC|BROAD STREET CAPITAL PARTNERS, LLC|1550 TIMOTHY ROAD|SUITE 102|ATHENS GA 30606|USA|||  ||RICHARD PATRICK SHERIDAN|706-208-1166|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|11/15/2007|0|0|0|0|0|0
Atlanta Regional Office| 145499|801-68500|GLOBAL VIEW INVESTMENT ADVISORS, LLC|GLOBAL VIEW INVESTMENT ADVISORS, LLC|308 WEST STONE AVENUE||GREENVILLE SC 29609|USA|||  ||KEN MOORE|864-335-9211|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|11/21/2007|0|0|0|0|0|0
Atlanta Regional Office| 145506|801-68970|ABELE FINANCIAL GROUP LLC|ABELE FINANCIAL GROUP LLC|2100 SOUTHBRIDGE PARKWAY|SUITE 650|BIRMINGHAM AL 35209|USA|||  ||PAUL W. ABELE|205-871-1692|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|03/17/2008|0|0|0|0|0|0
Atlanta Regional Office| 145536|801-68624|TBH GLOBAL ASSET MANAGEMENT, LLC|TBH GLOBAL ASSET MANAGEMENT, LLC|4007 HILLSBORO RD.||NASHVILLE TN 37215|USA|||  ||DAVID MERRELL|615-298-8019|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|01/02/2008|0|0|0|0|0|0
Atlanta Regional Office| 145599|801-68597|ABRIDGE PARTNERS, LLC|ABRIDGE PARTNERS, LLC|124 ONE MADISON PLAZA|SUITE 1200|MADISON MS 39110|USA|||  ||GENE A. YATES, JR.|601-718-0000|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|12/05/2007|0|0|0|0|0|0
Atlanta Regional Office| 145611|801-68557|PROCHE CAPITAL MANAGEMENT|PROCHE CAPITAL MANAGEMENT, INC.|4912 NOTTINGHAM LANE||BIRMINGHAM AL 35223|USA|||  ||MARK PEARSON|205-969-7969|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|11/23/2007|0|0|0|0|0|0
Atlanta Regional Office| 145932|801-68794|CAPITAL CHOICE INVESTMENT ADVISERS, INC.|CAPITAL CHOICE INVESTMENT ADVISERS, INC.|320 NORTH BROAD STREET||THOMASVILLE GA 31792|USA|P.O. BOX 1699||THOMASVILLE GA 31792|USA|CHARLES MOBERLY|229-228-1802|Corporation|Selection of other advisers|APPROVED|02/14/2008|0|0|0|0|0|0
Atlanta Regional Office| 146025|801-68741|SILVANT CAPITAL MANAGEMENT LLC|SILVANT CAPITAL MANAGEMENT LLC|50 HURT PLAZA|SUITE 1400|ATLANTA GA 30303|USA|||  ||JOSIE C ROSSON|804-782-5414|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/25/2008|0|0|0|0|0|0
Atlanta Regional Office| 146028|801-68742|CERTIUM ASSET MANAGEMENT LLC|CERTIUM ASSET MANAGEMENT LLC|50 HURT PLAZA, SUITE 1400||ATLANTA GA 30303|USA|||  ||JOSIE C ROSSON|804-782-5414|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/15/2008|0|0|0|0|0|0
Atlanta Regional Office| 146030|801-68744|STABLERIVER CAPITAL MANAGEMENT LLC|STABLERIVER CAPITAL MANAGEMENT LLC|50 HURT PLAZA|SUITE 1400|ATLANTA GA 30303|USA|||  ||JOSIE C ROSSON|804-782-5414|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/25/2008|0|0|0|0|0|0
Atlanta Regional Office| 146571|801-69065|PCA ADVISORS, LLLP|PCA ADVISORS, LLLP|5915 FARRINGTON ROAD|SUITE 202|CHAPEL HILL NC 27517|USA|||  ||BONNIE MCCULLOUGH|919-401-4949|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|05/14/2008|0|0|0|0|0|0
Atlanta Regional Office| 146646|801-68912|LONGVIEW FINANCIAL ADVISORS, LLC|LONGVIEW FINANCIAL ADVISORS, LLC|110 BAY STREET||GADSDEN AL 35901|USA|||  ||JEFFREY ROLAND CEDARHOLM|256-613-9423|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|03/04/2008|0|0|0|0|0|0
Atlanta Regional Office| 146655|801-68950|LONGLEAF FINANCIAL ADVISORS, LLC|LONGLEAF FINANCIAL ADVISORS, LLC|208 NORTH WESTOVER BLVD. SUITE 201||ALBANY GA 31707|USA|PO BOX 70998||ALBANY GA 31708|USA|REBECCA ANDERSON|229-439-2348|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED-120|03/12/2008|0|0|0|0|0|0
Atlanta Regional Office| 146937|801-69042|CHATHAM ADVISORS|CHATHAM ADVISORS, LLC|6320 QUADRANGLE DRIVE|SUITE 310|CHAPEL HILL NC 27517|USA|||  ||MALCOLM TREVILLIAN|919-401-3500|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|04/10/2008|0|0|0|0|0|0
Atlanta Regional Office| 147000|801-69405|EVANS INVESTMENT ADVISORS, L.L.C.|EVANS INVESTMENT ADVISORS, L.L.C.|6713 PERKINS ROAD||BATON ROUGE LA 70808|USA|||  ||FOX FORD|225-761-7870|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED-120|07/31/2008|0|0|0|0|0|0
Atlanta Regional Office| 147147|801-69137|HONORVISE INVESTMENTS, LLC|HONORVISE INVESTMENTS, LLC|2300 LAKEVIEW PARKWAY|SUITE 700|ALPHARETTA GA 30004|USA|||  ||WILLIAM J HARRIS|404-492-5598|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/05/2008|0|0|0|0|0|0
Atlanta Regional Office| 147249|801-69200|WEALTHTRUST CONSULTING SERVICES, LLC|WEALTHTRUST CONSULTING SERVICES, LLC|102 WOODMONT BLVD|SUITE 600|NASHVILLE TN 37205|USA|||  ||MICHAEL K. HENRY|615-297-6884|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED-120|05/21/2008|0|0|0|0|0|0
Atlanta Regional Office| 147294|801-69231|PIEDMONT ASSET MANAGEMENT, LLC|PIEDMONT ASSET MANAGEMENT, LLC|5060 HAMPTON FARMS DRIVE||MARIETTA GA 30068|USA|4880 LOWER ROSWELL ROAD, SUITE 165|#415|MARIETTA GA 30068-4385|USA|MARK STANCIL|770-579-2560|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|05/28/2008|0|0|0|0|0|0
Atlanta Regional Office| 147346|801-69325|ARCUS CAPITAL MANAGEMENT, LLC|ARCUS CAPITAL MANAGEMENT, LLC|BUCKHEAD CENTRE, STE 510|2970 PEACHTREE RD, NW|ATLANTA GA 30305|USA|BUCKHEAD CENTRE, STE 510|2970 PEACHTREE RD, NW|ATLANTA GA 30305|USA|THOMAS B. REYNOLDS|404-961-0001|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|06/19/2008|0|0|0|0|0|0
Atlanta Regional Office| 147479|801-69392|TATA & GEORGE CONSULTING GROUP LLC.|TATA & GEORGE CONSULTING GROUP LLC.|4000 RUE RACHELE||METAIRIE LA 70002|USA|||  ||AWATIF  HANNA|504-889-2269|Limited Liability Company|Pension consulting services|APPROVED-120|07/11/2008|0|0|0|0|0|0
Atlanta Regional Office| 147652|801-69358|THE MUTUAL FUND STORE|TMFS-GREENSBORO, LLC|7990 ARCO CORPORATE DRIVE|SUITE 113|RALEIGH NC 27617|USA|||  ||JOSH HEDERICK|919-405-3800|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|07/08/2008|0|0|0|0|0|0
Atlanta Regional Office| 147729|801-69372|BT WEALTH MANAGEMENT, LLC|BT WEALTH MANAGEMENT, LLC|3625 CUMBERLAND BOULEVARD|SUITE 1075|ATLANTA GA 30339|USA|||  ||JEFF CALL|770-396-2200|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED-120|07/01/2008|0|0|0|0|0|0
Atlanta Regional Office| 147762|801-69434|YOURWEALTH ASSET MANAGEMENT, LLC|YOURWEALTH ASSET MANAGEMENT, LLC|200 SANDY SPRINGS PLACE|SUITE 300|ATLANTA GA 30328|USA|||  ||HOLLY EVANS|404-531-0018|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|07/21/2008|0|0|0|0|0|0
Boston Regional Office|    265|801-41722|ESI FINANCIAL ADVISORS|EQUITY SERVICES, INC.|ONE NATIONAL LIFE DRIVE||MONTPELIER VT 05604|USA|||  ||GREGORY D. TEESE|802-229-7437|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|07/09/1992|3|19|0|0|0|0
Boston Regional Office|    468|801-56298|SIGNATOR INVESTORS, INC.|SIGNATOR INVESTORS, INC.|197 CLARENDON STREET|C-8|BOSTON MA 02116|USA|197 CLARENDON STREET|C-8-11|BOSTON MA 02116|USA|CHRISTOPHER MARYANOPOLIS|617-572-1292|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|03/15/1999|0|37|0|0|0|0
Boston Regional Office|    594|801-48726|MOORS & CABOT, INC|MOORS & CABOT, INC.|111 DEVONSHIRE ST.||BOSTON MA 02109|USA|||  ||MICHAEL C HILDRETH|617.314.0226|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Market timing services|APPROVED|03/30/1995|0|21|0|0|0|0
Boston Regional Office|    647|801-8156|THE PAUL REVERE VARIABLE ANNUITY INSURANCE COMPANY|THE PAUL REVERE VARIABLE ANNUITY INSURANCE COMPANY|18 CHESTNUT STREET||WORCESTER MA 01608|USA|||  ||JANNA T. MULLIN|423-294-4350|Corporation|Portfolio management for investment companies|APPROVED|11/14/1971|0|0|0|0|0|0
Boston Regional Office|   1794|801-66121|DETWILER FENTON & CO.|DETWILER FENTON & CO.|150 FEDERAL STREET|STE 2800|BOSTON MA 02110|USA|||  ||ROBERT JEFFORDS|617-747-0115|Corporation|Selection of other advisers, Portfolio management for individuals and/or small businesses|APPROVED|02/17/2006|0|5|0|0|0|1
Boston Regional Office|   2107|801-64330|BENEFIT INVESTMENT ADVISORS, INC.|BENEFIT INVESTMENT ADVISORS, INC.|140 KENNEDY DRIVE||SOUTH BURLINGTON VT 05403|USA|P O BOX 2127||SOUTH BURLINGTON VT 05407-2127|USA|JOSEPH A. GAIDA|802-658-1660|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|05/24/2005|0|0|0|0|0|0
Boston Regional Office|   2682|801-8059|MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY|MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY|1295 STATE STREET|LAW DIVISION B407|SPRINGFIELD MA 01111-0001|USA|||  ||DEITELBAUM, JOHN E.|413-744-8632|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|12/04/1971|0|64|2|0|0|0
Boston Regional Office|   2993|801-3901|H.M. PAYSON & CO.|H. M. PAYSON & CO.|ONE PORTLAND SQUARE||PORTLAND ME 04101|USA|PO BOX 31||PORTLAND ME 04112|USA|JOHN C DOWNING|207 772-3761|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|01/15/1966|0|0|0|0|0|0
Boston Regional Office|   3255|801-12471|ST GERMAIN INVESTMENT MANAGEMENT|D.J. ST. GERMAIN CO., INC.|1500 MAIN ST||SPRINGFIELD MA 01115|USA|||  ||MICHAEL MATTY|(800) 443-7624|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/30/1976|0|4|0|0|0|0
Boston Regional Office|   3394|801-66673|CARL P. SHERR & CO., LLC|CARL P. SHERR & CO., LLC|446 MAIN STREET|SUITE 2100|WORCESTER MA 01608|USA|||  ||EDWARD SHERR|508-791-7126|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|05/10/2006|0|0|0|0|0|0
Boston Regional Office|   3870|801-23151|LINCOLN FINANCIAL SECURITIES CORPORATION|LINCOLN FINANCIAL SECURITIES CORPORATION|ONE GRANITE PL||CONCORD NH 03301|USA|||  ||LORI WESTON|603-226-5371|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|02/07/1985|0|15|2|0|0|0
Boston Regional Office|   6080|801-14979|AMERICAN RESEARCH & MANAGEMENT CO|AMERICAN RESEARCH & MANAGEMENT COMPANY|145 FRONT STREET||MARION MA 02738|USA|P.O. BOX 576||MARION MA 02738|USA|ANDREW F. MCINTIRE|508-748-1665|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|12/28/1979|0|2|0|0|0|0
Boston Regional Office|   6413|801-10970|LPL FINANCIAL CORPORATION|LPL FINANCIAL CORPORATION|ONE BEACON STREET|22ND FLOOR|BOSTON MA 02108-3106|USA|P.O. BOX 509029||SAN DIEGO CA 92150-9029|USA|NAUSS, DONNA|858-450-9606,EXT. 6246|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/25/1975|20|60|2|0|0|0
Boston Regional Office|   7071|801-11370|GARRETT NAGLE & CO., INC.|GARRETT NAGLE & CO., INC.|2 INTERNATIONAL PLACE|19TH FLOOR|BOSTON MA 02110|USA|||  ||GARRETT T.  NAGLE|617-737-9090|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/25/1976|0|3|0|0|0|0
Boston Regional Office|   7165|801-67120|CORBY ASSET MANAGEMENT LLC|CORBY ASSET MANAGEMENT LLC|10 HIGH ST.||BOSTON MA 02110|USA|||  ||DAVID PENDERGAST|617-482-8780|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|09/15/2006|0|2|0|0|0|0
Boston Regional Office|   7654|801-67178|UBS SECURITIES LLC|UBS SECURITIES LLC|677 WASHINGTON BOULEVARD||STAMFORD CT 06901-3793|USA|201 TRESSER BLVD|ONE STAMFORD FORUM-2ND FLOOR|STAMFORD CT 06901|USA|JODY NEJAIME|203-719-3998|Limited Liability Company|Other|APPROVED|12/07/2006|2|159|3|0|0|0
Boston Regional Office|   8032|801-41541|COMMONWEALTH FINANCIAL NETWORK|COMMONWEALTH EQUITY SERVICES, LLP|29 SAWYER ROAD||WALTHAM MA 02453-3483|USA|||  ||LISA ROTH|619-471-9747|Limited Liability Partnership|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|06/11/1992|4|27|2|0|0|0
Boston Regional Office|  10409|801-44264|MML INVESTORS SERVICES, INC.|MML INVESTORS SERVICES, INC.|1295 STATE STREET||SPRINGFIELD MA 01111-0001|USA|||  ||ROBERT S. ROSENTHAL|413-737-8400|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|07/13/1993|6|71|1|0|0|0
Boston Regional Office|  11723|801-4380|FOSTER DYKEMA CABOT & CO INC|FOSTER DYKEMA CABOT & CO., INCORPORATED|101 ARCH STREET - 18TH FLOOR||BOSTON MA 02110-1130|USA|||  ||ANDREW R. KNOWLAND, JR.|617-423-3900|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/05/1967|0|0|0|0|0|0
Boston Regional Office|  13035|801-68574|SEARLE & CO.|SEARLE & CO.|333 GREENWICH AVENUE||GREENWICH CT 06830|USA|||  ||ROBERT SEARLE|203-869-4800|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/30/2007|0|0|0|0|0|0
Boston Regional Office|  13041|801-50706|NATIONAL FINANCIAL SERVICES, LLC|NATIONAL FINANCIAL SERVICES, LLC|200 SEAPORT BOULEVARD|MAIL ZONE Z2M|BOSTON MA 02110|USA|200 LIBERTY STREET|MAIL ZONE NY5K|NEW YORK NY 10281|USA|RICHARD O'BRIEN|617-563-6986|Limited Liability Company|Other|APPROVED|12/07/1995|0|20|0|0|0|0
Boston Regional Office|  13256|801-12643|ING LIFE INSURANCE AND ANNUITY COMPANY|ING LIFE INSURANCE AND ANNUITY COMPANY|ONE ORANGE WAY, C1S||WINDSOR CT 06095|USA|||  ||MICHAEL PISE|860-580-2832|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/06/1977|0|34|5|0|0|0
Boston Regional Office|  13348|801-67354|CURBSTONE FINANCIAL MANAGEMENT CORP.|CURBSTONE FINANCIAL MANAGEMENT CORPORATION|741 CHESTNUT STREET||MANCHESTER NH 03104|USA|||  ||LORI ANN FOURNIER|603-624-8462|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|12/04/2006|0|1|0|0|0|0
Boston Regional Office|  13704|801-63122|PEOPLE'S SECURITIES, INC.|PEOPLE'S SECURITIES, INC.|1000 LAFAYETTE BLVD 9TH FLOOR||BRIDGEPORT CT 06601|USA|1000 LAFAYETTE BLVD 9TH FLOOR||BRIDGEPORT CT 06604||DENNIS BEIRNE|203-338-2794|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/14/2004|0|1|0|0|0|0
Boston Regional Office|  13905|801-60841|CANTELLA & CO., INC.|CANTELLA & CO., INC.|2 OLIVER STREET||BOSTON MA 02109|USA|||  ||PHILIP C. MCMORROW|617-521-8630|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|03/28/2002|0|19|3|0|0|1
Boston Regional Office|  16009|801-28947|JOHN HANCOCK INVESTMENT MANAGEMENT SERVICES, LLC|JOHN HANCOCK INVESTMENT MANAGEMENT SERVICES, LLC|601 CONGRESS STREET, 11TH FL||BOSTON MA 02210-2805|USA|||  ||FRANK KNOX|617-663-2166|Limited Liability Company|Portfolio management for investment companies, Selection of other advisers|APPROVED|03/13/1987|0|3|1|0|0|0
Boston Regional Office|  16361|801-53144|BANC OF AMERICA INVESTMENT SERVICES, INC.|BANC OF AMERICA INVESTMENT SERVICES, INC.|100 FEDERAL ST||BOSTON MA 02110|USA|100 FEDERAL STREET|MA5-100-16-03|BOSTON MA 02110|USA|PATRICIA A. JAGIELSKI|617-434-7204|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|11/15/1996|90|85|4|0|0|0
Boston Regional Office|  17507|801-32117|FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC.|FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC.|82 DEVONSHIRE STREET, MM3I||BOSTON MA 02109|USA|200 LIBERTY STREET|MAIL ZONE NY4A|NEW YORK NY 10281|USA|JOHN CORCORAN|617-563-1039|Corporation|Publication of periodicals or newsletters, Other|APPROVED|05/20/1988|0|8|0|0|0|0
Boston Regional Office|  18217|801-30405|SPECTRUM ASSET MANAGEMENT, INC.|SPECTRUM ASSET MANAGEMENT, INC.|2 HIGH RIDGE PARK|2ND FLOOR|STAMFORD CT 06905|USA|||  ||DRAY, NANCY K.|(203)322-0189|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/28/1987|0|33|0|0|0|0
Boston Regional Office|  23757|801-57016|BANNON OHANESIAN & LECOURS, INC.|BANNON OHANESIAN & LECOURS, INC.|433 SOUTH MAIN STREET|SUITE 104|WEST HARTFORD CT 06110-9944|USA|||  ||WILLIAM J. NICHOLSON|860-521-4751|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|11/22/1999|0|0|0|0|0|0
Boston Regional Office|  27823|801-29853|CHARTER OAK ASSET MANAGEMENT, INC.|CHARTER OAK ASSET MANAGEMENT, INC.|1520 HIGHLAND AVE||CHESHIRE CT 06410-1276|USA|||  ||MALIK, ROBERT STEPHEN|(203)272-3597 X1|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|06/25/1987|0|0|0|0|0|0
Boston Regional Office|  29686|801-63905|WINSLOW, EVANS & CROCKER, INC.|WINSLOW, EVANS & CROCKER, INC.|175 FEDERAL STREET|6TH FLOOR|BOSTON MA 02110|USA|||  ||LEONID BERLINE|617-896-3548|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/17/2005|0|5|0|0|0|0
Boston Regional Office|  30339|801-39767|BHIRUD ASSOCIATES INC|BHIRUD ASSOCIATES, INC.|6  THORNDAL CIRCLE|SUITE 205|DARIEN CT 06820|USA|||  ||BHIRUD,SURESH L|2036626659|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies|APPROVED|09/03/1991|0|0|0|0|0|0
Boston Regional Office|  30613|801-62341|INVESTORS CAPITAL ADVISORY|INVESTORS CAPITAL CORP.|230 BROADWAY||LYNNFIELD MA 01940|USA|||  ||JAMES M. NESTOR|800-949-1422|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Market timing services|APPROVED|10/14/2003|0|8|0|0|0|0
Boston Regional Office|  31338|801-19308|ST ONGE PAUL P CO|ST. ONGE, PAUL, PHILIP|5586 POST RD||EAST GREENWICH RI 02818|USA|||  ||ST ONGE, PAUL PHILIP|401-884-9080|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|07/21/1983|0|1|0|0|0|0
Boston Regional Office|  34815|801-57637|ING FINANCIAL ADVISERS, LLC|ING FINANCIAL ADVISERS, LLC|ONE ORANGE WAY|C1S|WINDSOR CT 06095|USA|||  ||MICHELLE ROSENBERG|860-580-2819|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|05/30/2000|0|8|0|0|0|0
Boston Regional Office|  35371|801-67242|INFINEX INVESTMENTS, INC.|INFINEX INVESTMENTS, INC.|538 PRESTON AVENUE||MERIDEN CT 06450-4858|USA|||  ||JOHN F. MARTIN, JR.|(203) 599-6024|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|11/02/2006|0|3|0|0|0|0
Boston Regional Office|  39011|801-68264|LEERINK SWANN LLC|LEERINK SWANN LLC|ONE FEDERAL ST.|37TH FL|BOSTON MA 02110|USA|||  ||KEVIN DEVEREAUX|617-918-4597|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|08/29/2007|0|4|0|0|0|0
Boston Regional Office|  39550|801-61902|CCO INVESTMENT SERVICES CORP.|CCO INVESTMENT SERVICES CORP.|53 STATE STREET|MAIL STOP MBS770|BOSTON MA 02109|USA|||  ||KEVIN L. FEIN|617-994-7550|Corporation|Selection of other advisers, Other|APPROVED|03/27/2003|0|6|0|0|0|0
Boston Regional Office|  41562|801-53842|WESTPORT CAPITAL MARKETS, LLC|WESTPORT CAPITAL MARKETS, LLC|257 RIVERSIDE AVENUE||WESTPORT CT 06880|USA|||  ||MARISA MAHER|203-222-8933|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/26/1997|0|0|0|0|0|0
Boston Regional Office|  42043|801-64933|RIOUX & COMPANY, LLC|RIOUX & COMPANY, LLC|192 MAIN STREET, SUITE 10||BRISTOL CT 06010|USA|P.O. BOX 958||BRISTOL CT 06011-0958|USA|DAVID A RIOUX|(860) 589-8754|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|12/08/2005|0|0|0|0|0|0
Boston Regional Office|  42179|801-55630|SECURE PLANNING, INC.|SECURE PLANNING INC|42 MIDDLE ST||PORTSMOUTH NH 03801|USA|||  ||JULIANNE MARY SMITH|(603)433-5515|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|06/19/1998|0|1|0|0|0|0
Boston Regional Office|  43793|801-56578|USI SECURITIES, INC.|USI SECURITIES, INC.|95 GLASTONBURY BLVD.||GLASTONBURY CT 06033|USA|||  ||JOSEPH GRITZER|860-368-2913|Corporation|Financial planning services, Selection of other advisers, Other|APPROVED|06/04/1999|0|1|1|0|0|0
Boston Regional Office|  45452|801-57281|WEALTH MANAGEMENT RESOURCES, INC.|WEALTH MANAGEMENT RESOURCES, INC.|501 GREAT ROAD|SUITE 201|N. SMITHFIELD RI 02896|USA|||  ||ARTHUR C. EVERLY|401-356-1400|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/18/2000|0|2|0|0|0|0
Boston Regional Office|  45995|801-53584|HARTFORD INVESTMENT FINANCIAL SERVICES, LLC|HARTFORD INVESTMENT FINANCIAL SERVICES, LLC|200 HOPMEADOW STREET||SIMSBURY CT 06089|USA|||  ||WATKINS, JR., WALTER E.|860-843-4632|Limited Liability Company|Portfolio management for investment companies|APPROVED|01/02/1997|0|4|29|0|0|0
Boston Regional Office|  46679|801-68012|TRUE NORTH FINANCIAL SERVICES, INC.|TRUE NORTH FINANCIAL SERVICES, INC.|85 MAIN STREET|SUITE 110|NORTH ADAMS MA 01247|USA|||  ||STEPHANIE SCOTT|413.664.4025|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|06/15/2007|0|0|0|0|0|0
Boston Regional Office|  46897|801-56514|DAVINCI CAPITAL MANAGEMENT INC.|DAVINCI CAPITAL MANAGEMENT INC.|801 CAMBRIDGE ST.||CAMBRIDGE MA 02141|USA|||  ||JAMES MCSWEENEY|617-354-3222|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|05/28/1999|0|0|0|0|0|0
Boston Regional Office|  47723|801-64658|RETIREMENT RESOURCES INVESTMENT CORPORATION|RETIREMENT RESOURCES INVESTMENT CORPORATION|100 CORPORATE PLACE||PEABODY MA 01960|USA|||  ||JIM PHILLIPS|978-536-9000|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|09/02/2005|0|0|0|0|0|0
Boston Regional Office| 104549|801-21247|MIDDLETON & COMPANY INC.|MIDDLETON & COMPANY INC.|600 ATLANTIC AVENUE; 18TH FLOOR||BOSTON MA 02210-2211|USA|||  ||MCCORMACK, MARIA|617 357-5101 X 123|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/04/1984|0|0|0|0|0|0
Boston Regional Office| 104550|801-50661|IRIDIAN ASSET MANAGEMENT LLC|IRIDIAN ASSET MANAGEMENT LLC|276 POST RD WEST||WESTPORT CT 06880-4704|USA|||  ||ELLIOTT, JEFFREY M|203-341-9009|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/05/1995|0|1|0|0|0|0
Boston Regional Office| 104552|801-18538|STATE STREET RESEARCH & MANAGEMENT COMPANY|STATE STREET RESEARCH & MANAGEMENT COMPANY|ONE FINANCIAL CENTER||BOSTON MA 02111|USA|||  ||BARTHOLOMEW A. BATTISTA|212-810-3423|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|03/21/1983|0|8|2|0|0|0
Boston Regional Office| 104555|801-13243|STRATEGIC ADVISERS, INC.|STRATEGIC ADVISERS, INC.|82 DEVONSHIRE STREET, V10G||BOSTON MA 02109|USA|82 DEVONSHIRE STREET, V10G||BOSTON MA 02109|USA|CYNTHIA NG|617-563-7345|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|08/11/1977|4|14|0|0|0|0
Boston Regional Office| 104576|801-19222|QUANTITATIVE ADVISORS|QUANTITATIVE INVESTMENT ADVISORS, INC.|55 OLD BEDFORD ROAD||LINCOLN MA 01773|USA|||  ||DEBORAH A KESSINGER|781-259-1144|Corporation|Portfolio management for investment companies, Selection of other advisers|APPROVED|06/13/1983|0|1|2|0|0|0
Boston Regional Office| 104594|801-8327|EVERGREEN INVESTMENT MANAGEMENT CO|EVERGREEN INVESTMENT MANAGEMENT COMPANY, LLC|200 BERKELEY STREET||BOSTON MA 02116|USA|||  ||BARBARA A. LAPPLE|704-383-6419|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/15/1972|0|3|2|0|0|0
Boston Regional Office| 104623|801-6449|GILLESPIE ROBINSON & GRIMM INC|GILLESPIE ROBINSON & GRIMM INC|80 FIELD POINT RD.||GREENWICH CT 06830|USA|P.O. BOX 2220||GREENWICH CT 06836-2220|U.S.A.|STEPHEN K. GRIMM|203-629-2800|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/26/1970|0|0|0|0|0|0
Boston Regional Office| 104639|801-10918|TARGET INVESTMENT ADVISORY SERVICE|YOUNGS JOHN RICHARD|236 PURITAN ROAD||FAIRFIELD CT 06824|USA|P.O.BOX 549||SOUTHPORT CT 06890|USA|YOUNGS DEE ABBOTT|203-259-1268|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|09/11/1975|0|0|0|0|0|0
Boston Regional Office| 104641|801-12196|T.H.FITZGERALD & CO., L.L.C.|T.H. FITZGERALD & CO. L.L.C.|180 CHURCH STREET||NAUGATUCK CT 06770|USA|||  ||DOBACK, KATHLEEN S|203-729-1200|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/08/1977|0|0|0|0|0|0
Boston Regional Office| 104642|801-26618|CLARKE ARTHUR D & CO|ARTHUR D. CLARKE & CO.|388 BEACON STREET||BOSTON MA 02116|UNITED STATES|388 BEACON STREET||BOSTON MA 02116|UNITED STATES|ARTHUR CLARKE|617-424-6926|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|03/28/1986|0|0|0|0|0|0
Boston Regional Office| 104659|801-24250|EMERSON INVESTMENT MANAGEMENT INC|EMERSON INVESTMENT MANAGEMENT INC|30 FEDERAL STREET|5TH FLOOR|BOSTON MA 02110|USA|||  ||KRISTIN VESPUCCI-CASE|(617)956-9707|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/06/1985|0|1|0|0|0|0
Boston Regional Office| 104669|801-11802|J. L. KAPLAN ASSOCIATES, LLC|J. L. KAPLAN ASSOCIATES, LLC|200 BERKELEY STREET||BOSTON MA 02116|USA|||  ||BARBARA LAPPLE|704-383-6419|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/21/1976|0|1|2|0|0|0
Boston Regional Office| 104671|801-24288|COOPER FINANCIAL SERVICES, INC.|COOPER FINANCIAL SERVICES, INC.|3190 WHITNEY AVE BLDG 6||HAMDEN CT 06518|USA|||  ||COOPER, LAWRENCE SCOTT|203-248-1972|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|05/15/1985|0|0|0|0|0|0
Boston Regional Office| 104674|801-21902|RESOURCES MANAGEMENT CORP|RESOURCES MANAGEMENT CORP|2 BATTERSON PK RD||FARMINGTON CT 06032|USA|||  ||LOEHMANN, FRANK MAXMILLIAN|860-677-4574|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/24/1984|0|0|0|0|0|0
Boston Regional Office| 104706|801-35870|NULAND & ARSHAD INC|NULAND & ARSHAD INC|176 FEDERAL ST||BOSTON MA 02110-2209|USA|||  ||NULAND,JR. JAMES G.|617-261-7687|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|02/12/1990|0|0|0|0|0|0
Boston Regional Office| 104713|801-26296|BANC OF AMERICA INVESTMENT ADVISORS, INC.|BANC OF AMERICA INVESTMENT ADVISORS, INC.|100 FEDERAL STREET||BOSTON MA 02110|USA|||  ||ALPESH RATHOD|646-313-8680|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Selection of other advisers, Other|APPROVED|01/16/1986|0|13|2|0|0|0
Boston Regional Office| 104726|801-8390|HOWLAND CAPITAL MANAGEMENT, INC.|HOWLAND CAPITAL MANAGEMENT INC|75 FEDERAL ST, STE 1100||BOSTON MA 02110-1911|USA|||  ||HORWATH, PAMELA|617-357-9110|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|02/09/1972|0|0|0|0|0|0
Boston Regional Office| 104728|801-22549|BEATON MANAGEMENT CO INC|BEATON MANAGEMENT CO INC|180 WATER STREET||HAVERHILL MA 01830|USA|||  ||BEATON, TERRENCE ARTHUR|978-372-3008|Corporation|Portfolio management for individuals and/or small businesses, Other|APPROVED|10/15/1984|0|0|0|0|0|0
Boston Regional Office| 104740|801-19482|SAFFORD NICHOLAS H & CO INC|SAFFORD NICHOLAS H & CO INC|9 CLEAVES STREET||ROCKPORT MA 01966-1520|USA|||  ||MALCOLMSON, ELIZABETH A|978-546-2462|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|08/02/1983|0|0|0|0|0|0
Boston Regional Office| 104747|801-26501|BRAVER WEALTH MANGEMENT, LLC|BRAVER WEALTH MANGEMENT, LLC|25 CHRISTINA STREET||NEWTON MA 02461|USA|||  ||PHILBIN, JAMES M.|617-969-0223|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|03/10/1986|0|0|2|0|0|0
Boston Regional Office| 104769|801-28129|HYNES HIMMELREICH GLENNON & COMPANY, LLC|HYNES HIMMELREICH GLENNON & COMPANY, LLC|30 OLD KINGS HWY S||DARIEN CT 06820-4519|USA|30 OLD KINGS HWY S|P.O. BOX 4004|DARIEN CT 06820-4004|USA|GLENNON, PHILIP N|203-656-5500|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|10/09/1986|0|1|0|0|0|0
Boston Regional Office| 104811|801-26679|ADVISORS CAPITAL INVESTMENTS INC|ADVISORS CAPITAL INVESTMENTS INC|17 TRIPP ROAD||WOODSTOCK CT 06281-3514|USA|||  ||MANN, ROBERT K.|(860) 963-0722|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Market timing services|APPROVED|03/28/1986|0|0|0|0|0|0
Boston Regional Office| 104825|801-5346|NORTH AMERICAN MANAGEMENT CORP|NORTH AMERICAN MANAGEMENT CORP|TEN POST OFFICE SQ STE 1200||BOSTON MA 02109-4621|USA|||  ||ROY TREIBLE|617-695-2100|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/08/1969|0|1|0|0|0|0
Boston Regional Office| 104826|801-28225|CLEAN YIELD ASSET MANAGEMENT|CLEAN YIELD GROUP INC|GARVIN HILL RD/CEMETERY RIDGE||GREENSBORO VT 05841|USA|BOX 117||GREENSBORO VT 05841|USA|FRIED, RIAN  FABIAN|802-533-7178|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/13/1986|0|0|0|0|0|0
Boston Regional Office| 104829|801-28944|ARDSLEY PARTNERS|ARDSLEY ADVISORY PARTNERS|262 HARBOR DRIVE 4TH FLOOR||STAMFORD CT 06902|USA|||  ||NAPOLI, STEVEN NICHOLAS|203 564-4230|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/13/1987|0|0|0|0|0|0
Boston Regional Office| 104853|801-43127|BOSTON MANAGEMENT AND RESEARCH|BOSTON MANAGEMENT AND RESEARCH|255 STATE ST||BOSTON MA 02109|USA|||  ||A. JOHN MURPHY|617-482-8260|Other (specify)|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/21/1993|0|0|0|0|0|0
Boston Regional Office| 104859|801-15930|EATON VANCE MANAGEMENT|EATON VANCE MANAGEMENT|255 STATE ST||BOSTON MA 02109|USA|||  ||A. JOHN MURPHY|617-482-8260|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/20/1981|0|0|0|0|0|0
Boston Regional Office| 104863|801-29482|INCOME RESEARCH & MANAGEMENT|INCOME RESEARCH & MANAGEMENT|100 FEDERAL STREET|31ST FLOOR|BOSTON MA 02110-1835|USA|||  ||KIZIK, RICHARD|617-330-9333|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/01/1987|0|0|0|0|0|0
Boston Regional Office| 104877|801-19835|MICHAEL J. CREW, INVESTMENT ADVISOR|CREW MICHAEL JOHN|205 WORCESTER COURT|UNIT C-3|FALMOUTH MA 02540|USA|||  ||CREW,MICHAEL JOHN|508-548-2218|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|09/28/1983|0|0|0|0|0|0
Boston Regional Office| 104891|801-8315|WHITE MOUNTAINS ADVISORS LLC|WHITE MOUNTAINS ADVISORS LLC|2614 BOSTON POST ROAD|SUITE 34A|GUILFORD CT 06437|USA|||  ||MARK J. PLOURDE|203-458-5805|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/14/1972|0|0|0|0|0|0
Boston Regional Office| 104913|801-35172|WILKINS INVESTMENT COUNSEL, INC|WILKINS INVESTMENT COUNSEL INC|160 FEDERAL ST., 17TH FLR||BOSTON MA 02110|USA|||  ||MICHAEL F CHARLAND|617-951-9969|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/14/1989|0|0|0|0|0|0
Boston Regional Office| 104921|801-66465|THE LEONARD MANAGEMENT GROUP|THE LEONARD MANAGEMENT GROUP INC|395 W AVON RD||AVON CT 06001|USA|||  ||LEONARD, JAMES P|860-673-3237|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/16/2006|0|0|0|0|0|0
Boston Regional Office| 104929|801-14301|SLOCUM, GORDON & CO. LLP|SLOCUM GORDON & CO LLP|39 MILL STREET||NEWPORT RI 02840|USA|P.O. BOX 669||NEWPORT RI 02840|USA|LINDH, KENNETH|401-849-4900|Limited Liability Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/11/1979|0|0|1|0|0|0
Boston Regional Office| 104940|801-22796|JOHNSTON REID & MITCHELL INC|JOHNSTON REID & MITCHELL INC|81 WASHINGTON ST|PO BOX 6549|PORTSMOUTH NH 03802|USA|P O BOX 6549||PORTSMOUTH NH 03802-6549|USA|REID, WILLIAM SEABURY|603-433-3003|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/16/1984|0|0|0|0|0|0
Boston Regional Office| 104942|801-14255|CAMBRIDGE ASSOCIATES, LLC|CAMBRIDGE ASSOCIATES, LLC|100 SUMMER STREET||BOSTON MA 02110-2112|USA|||  ||GLASER, J. LINDA|(617) 457-7136|Limited Liability Company|Financial planning services, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters, Other|APPROVED|12/14/1978|0|1|0|0|0|0
Boston Regional Office| 104945|801-27485|LONGFELLOW INVESTMENT MANAGEMENT CO. LLC|LONGFELLOW INVESTMENT MANAGEMENT CO. LLC|295 DEVONSHIRE ST||BOSTON MA 02110|USA|||  ||SEELEY, DAVID W|617-695-3504|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/21/1986|0|0|0|0|0|0
Boston Regional Office| 104966|801-22189|THOMASPARTNERS, INC.|THOMASPARTNERS, INC.|75 CENTRAL STREET||WELLESLEY MA 02482|USA|||  ||MUELLER, GERALD R|781.431.1430|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/31/1984|0|0|0|0|0|0
Boston Regional Office| 105003|801-34803|FIERSTON FINANCIAL GROUP INC|FIERSTON FINANCIAL GROUP INC|29 SOUTH MAIN ST|SUITE 302|WEST HARTFORD CT 06107|USA|||  ||FIERSTON, SETH B|860-521-2100|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/14/1989|0|0|0|0|0|0
Boston Regional Office| 105004|801-35156|SCHWERIN BOYLE CAPITAL MANAGEMENT, INC|SCHWERIN BOYLE CAPITAL MANAGEMENT INC|ONE MONARCH PLACE, SUITE 700|1414 MAIN STREET|SPRINGFIELD MA 01144-0700|USA|||  ||MICHAEL J. MCGRATH|413-784-0990|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/08/1989|0|2|0|0|0|0
Boston Regional Office| 105012|801-28664|WINGATE FINANCIAL CORP|WINGATE FINANCIAL CORP|450 BEDFORD ST.||LEXINGTON MA 02420-1547|USA|||  ||ANITA O'BRIEN|781-862-7100|Corporation|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|01/07/1987|0|0|0|0|0|0
Boston Regional Office| 105025|801-50599|TOFIAS FINANCIAL ADVISORS LP|TOFIAS FINANCIAL ADVISORS LP|350 MASSACHUSETTS AVENUE||CAMBRIDGE MA 02139|USA|||  ||BARBARA C. ATTARDO|617 761 0600|Limited Liability Partnership|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|11/28/1995|0|0|0|0|0|0
Boston Regional Office| 105031|801-20623|FIRST FINANCIAL ADVISORY SERVICES INC|FIRST FINANCIAL ADVISORY SERVICES INC|85 BEACH STREET|BUILDING C|WESTERLY RI 02891|USA|||  ||MASON, WILLIAM B|401-596-0193|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|01/24/1984|0|0|0|0|0|0
Boston Regional Office| 105039|801-33701|HFM WEALTH MANAGEMENT|HARTFORD FINANCIAL MANAGEMENT INC|40 PRATT ST||HARTFORD CT 06103-1601|USA|||  ||COHEN, ANN E.|860-241-0028|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|02/06/1989|0|0|0|0|0|0
Boston Regional Office| 105051|801-22437|NORTHEAST INVESTMENT MANAGEMENT INC|NORTHEAST INVESTMENT MANAGEMENT INC|150 FEDERAL STREET|SUITE 1000|BOSTON MA 02110-1745|USA|||  ||MANOOGIAN, RICHARD G.|888-404-1557|Corporation|Portfolio management for individuals and/or small businesses, Other|APPROVED|10/02/1984|0|0|0|0|0|0
Boston Regional Office| 105057|801-34761|ELEY FINANCIAL MANAGEMENT, INC.|ELEY FINANCIAL MANAGEMENT, INC.|99 SWIFT STREET|SUITE 305|SOUTH BURLINGTON VT 05403-7360|USA|||  ||SARAH KB HIMES|802-863-4463|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|07/06/1989|0|3|0|0|0|0
Boston Regional Office| 105058|801-31805|SEAWARD MANAGEMENT|SEAWARD MANAGEMENT LIMITED PARTNERSHIP|265 FRANKLIN ST|20TH FLOOR|BOSTON MA 02110-3199|USA|||  ||MELNICK, PATRICIA A.|617-224-1922|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/18/1988|0|0|0|0|0|0
Boston Regional Office| 105060|801-31820|PENOBSCOT INVESTMENT MANAGEMENT CO INC|PENOBSCOT INVESTMENT MANAGEMENT CO INC|50 CONGRESS ST., STE 410||BOSTON MA 02109|USA|||  ||MARY-ANN CALCAGNO|617-227-3111|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/02/1988|0|0|0|0|0|0
Boston Regional Office| 105062|801-17784|TFC FINANCIAL MANAGEMENT INC|TFC FINANCIAL MANAGEMENT INC|30 FEDERAL STREET||BOSTON MA 02110|USA|||  ||JAMES JOSLIN|617-210-6700|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|10/12/1982|0|0|0|0|0|0
Boston Regional Office| 105085|801-14882|FORTIS INVESTMENTS|FORTIS INVESTMENT MANAGEMENT USA, INC.|75 STATE STREET, 27TH FLOOR||BOSTON MA 02109|USA|||  ||BRIAN HOEFT LORD|312-884-2342|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|10/26/1979|0|0|0|0|0|0
Boston Regional Office| 105100|801-25958|SASCO CAPITAL INC|SASCO CAPITAL INC|10 SASCO HILL ROAD||FAIRFIELD CT 06824|USA|||  ||BIBI, HODA|203-254-6800|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/13/1985|0|0|0|0|0|0
Boston Regional Office| 105127|801-9892|LOWELL BLAKE & ASSOCIATES INC.|LOWELL BLAKE & ASSOCIATES INC.|141 TREMONT STREET, STE 200||BOSTON MA 02111-1209|USA|||  ||SUSAN W. LOWELL|617-422-0064|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|04/10/1974|0|0|0|0|0|0
Boston Regional Office| 105129|801-35875|BRIDGEWATER ASSOCIATES INC|BRIDGEWATER ASSOCIATES INC|ONE GLENDINNING PLACE||WESTPORT CT 06880|USA|||  ||GLOTZER, HELENE|203-226-3030|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/12/1990|0|0|0|0|0|0
Boston Regional Office| 105135|801-15852|DAWSON-HERMAN CAPITAL MANAGEMENT, INC.|DAWSON-HERMAN CAPITAL MANAGEMENT, INC.|354 PEQUOT AVENUE||SOUTHPORT CT 06890-1345|USA|||  ||JAMES M. THORBURN|203-254-0091|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|03/20/1981|0|1|0|0|0|0
Boston Regional Office| 105151|801-8915|HARBOR ADVISORY CORPORATION|HARBOR ADVISORY CORPORATION|500 MARKET ST., STE 11||PORTSMOUTH NH 03801|USA|PO BOX 4520||PORTSMOUTH NH 03802-4520|USA|GORDON, JOAN C.|603-431-5740|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|10/22/1972|0|1|0|0|0|0
Boston Regional Office| 105161|801-23386|CONGRESS ASSET MANAGEMENT CO|CONGRESS ASSET MANAGEMENT CO|2 SEAPORT LANE||BOSTON MA 02210-2001|USA|||  ||LAGAN, DANIEL|617-737-1566|Limited Liability Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/31/1985|0|0|0|0|0|0
Boston Regional Office| 105162|801-11098|LADD CAPITAL MANAGEMENT LLC|LADD CAPITAL MANAGEMENT LLC|110 WHITNEY AVE||NEW HAVEN CT 06510|USA|||  ||LADD, DAVID MICHAEL|203-562-6624|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|10/23/1975|0|0|0|0|0|0
Boston Regional Office| 105164|801-36582|DEIGHAN ASSOCIATES INC|DEIGHAN ASSOCIATES INC|455 HARLOW STREET||BANGOR ME 04401|USA|||  ||WILSON, JENIFER L.|207-990-1117|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|05/11/1990|0|0|0|0|0|0
Boston Regional Office| 105194|801-31346|HALE AND DORR WEALTH ADVISORS|HALE AND DORR CAPITAL MANAGEMENT LLC|60 STATE STREET||BOSTON MA 02109|USA|||  ||KRISTIN E. DIBARNABA|617-526-5804|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|02/19/1988|0|0|0|0|0|0
Boston Regional Office| 105201|801-35497|PANAGORA ASSET MANAGEMENT INC|PANAGORA ASSET MANAGEMENT INC|260 FRANKLIN STREET, 22ND FLOOR||BOSTON MA 02110|USA|||  ||SEAN G. COLLINS|617-439-6389|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|11/09/1989|0|3|3|0|0|0
Boston Regional Office| 105215|801-14895|BTS ASSET MANAGEMENT, INC.|BTS ASSET MANAGEMENT INC|420 BEDFORD STREET|SUITE 340|LEXINGTON MA 02420|USA|||  ||GARY A. SHILMAN|(800) 343-3040|Corporation|Portfolio management for individuals and/or small businesses, Market timing services, Other|APPROVED|10/25/1979|0|2|0|0|0|0
Boston Regional Office| 105254|801-17130|NEW ENGLAND FINANCIAL PLANNING GROUP|WOJCIK RICHARD J|69 WINN STREET||BURLINGTON MA 01803|USA|||  ||WOJCIK, RICHARD J|781-272-2200|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/17/1982|0|0|0|0|0|0
Boston Regional Office| 105256|801-10312|AMERICAN SHAREHOLDERS INVESTMENT CORP|AMERICAN SHAREHOLDERS INVESTMENT CORP|3 THURSTONS CT||NANTUCKET MA 02554-3656|USA|||  ||BURKE, PAULA M|1-888-228-2995|Corporation|Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|11/02/1974|0|0|0|0|0|0
Boston Regional Office| 105268|801-35935|CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP|CAPITAL GROWTH MANAGEMENT LTD PARTNERSHIP|ONE INTERNATIONAL PL 45TH FLOOR||BOSTON MA 02110-2602|USA|||  ||LAKE, LESLIE ANNE|617-737-3225|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/26/1990|0|4|0|0|0|0
Boston Regional Office| 105273|801-2501|THE WINTHROP CORPORATION|THE WINTHROP CORPORATION|440 WHEELERS FARMS RD||MILFORD CT 06461-1847|USA|||  ||GEORGE, HELEN W.|(203) 783-4353|Corporation|Publication of periodicals or newsletters, Other|APPROVED|02/24/1961|0|0|0|0|0|0
Boston Regional Office| 105291|801-18159|FINANCIAL RESOURCES MANAGEMENT CORP|FINANCIAL RESOURCES MANAGEMENT CORP|2 SHIP'S BELL ROAD||GLOUCESTER MA 01930|USA|||  ||FLESZAR, ROXANNE E|978-283-9939|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|01/06/1983|0|0|0|0|0|0
Boston Regional Office| 105297|801-31947|GE ASSET MANAGEMENT INCORPORATED|GE ASSET MANAGEMENT INCORPORATED|3001 SUMMER STREET||STAMFORD CT 06904-7900|USA|3001 SUMMER STREET|PO BOX 7900|STAMFORD CT 06904-7900|USA|MATTHEW JULIAN SIMPSON|203-708-3234|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|04/15/1988|1|1|0|0|0|0
Boston Regional Office| 105306|801-29733|WESTPORT RESOURCES MANAGEMENT INC|WESTPORT RESOURCES MANAGEMENT INC|315 POST ROAD WEST||WESTPORT CT 06880|USA|||  ||JOHN ADAMS VACCARO|203-226-0222|Limited Liability Partnership|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|06/26/1987|0|3|0|0|0|0
Boston Regional Office| 105314|801-30596|BARBENCO USA, INC.|BARBENCO USA, INC.|1150 SUMMER STREET||STAMFORD CT 06905-5530|USA|||  ||LAURA KIM DRYNAN|203-351-9847|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|09/30/1987|0|0|0|0|0|0
Boston Regional Office| 105331|801-34634|ANCHOR/RUSSELL CAPITAL ADVISORS LLC|ANCHOR/RUSSELL CAPITAL ADVISORS LLC|ONE POST OFFICE SQUARE||BOSTON MA 02109-2103|USA|||  ||SPINOSA ELAINE MARIE|617-338-2722|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/15/1989|0|0|0|0|0|0
Boston Regional Office| 105333|801-7681|FIRST LEXINGTON CAPITAL CORP|FIRST LEXINGTON CAPITAL CORP|76 BEDFORD ST|SUITE 34|LEXINGTON MA 02420-4641|USA|||  ||SULLIVAN, GAIL ANN|781-861-7595|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|08/14/1971|0|0|0|0|0|0
Boston Regional Office| 105336|801-31201|OBRIEN MANAGEMENT INC|OBRIEN MANAGEMENT INC|124 MOUNT AUBURN STREET STE 550N||CAMBRIDGE MA 02138|USA|||  ||MARTIN EDWARD LOUIS|617-547-6717|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/31/1987|0|0|0|0|0|0
Boston Regional Office| 105342|801-16724|HAMILTON ADVISORS INC|HAMILTON ADVISORS INC|373 STANWICH ROAD||GREENWICH CT 06830|USA|||  ||HAMILTON, DEBORAH JANE|203 629-1112|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|01/26/1982|0|1|0|0|0|0
Boston Regional Office| 105343|801-15418|BALDWIN BROTHERS INC|BALDWIN BROTHERS INC|3 BARNABAS ROAD||MARION MA 02738|USA|||  ||TAYLOR BALDWIN|508-748-0800|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|07/01/1980|0|0|0|0|0|0
Boston Regional Office| 105365|801-23657|PINNEY & SCOFIELD, INC.|PINNEY & SCOFIELD, INC.|22 HILLIARD STREET||CAMBRIDGE MA 02138-4922|USA|||  ||PINNEY, JAMES C.|617-492-6223|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|03/28/1985|0|0|0|0|0|0
Boston Regional Office| 105377|801-170|LOOMIS, SAYLES & COMPANY, L.P.|LOOMIS, SAYLES & COMPANY, L.P.|ONE FINANCIAL CENTER||BOSTON MA 02111-2621|USA|||  ||JEAN S. LOEWENBERG|617-346-9733|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|06/02/1977|0|5|2|0|0|0
Boston Regional Office| 105378|801-25842|NEEDHAM ADVISORY CORPORATION|NEEDHAM R B ADVISORY CORP|861 TURNPIKE STREET|UNIT 226|NORTH ANDOVER MA 01845|USA|P.O. BOX 398||ANDOVER MA 01810|USA|NEEDHAM, ROBERT B|(978) 681-8821|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|11/29/1985|0|0|0|0|0|0
Boston Regional Office| 105383|801-34934|CONSTITUTION RESEARCH & MANAGEMENT INC|CONSTITUTION RESEARCH & MANAGEMENT INC|175 FEDERAL STREET||BOSTON MA 02110|USA|||  ||CATHERINE P. MAGNUSON|(617)423-0245|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/04/1989|0|0|0|0|0|0
Boston Regional Office| 105394|801-27292|GW & WADE INC|GW & WADE, LLC|93 WORCESTER STREET||WELLESLEY MA 02481|USA|||  ||ROBERT LAVIGNE|(781) 239-1188|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|08/01/1986|0|2|0|0|0|0
Boston Regional Office| 105426|801-4611|BARING ASSET MANAGEMENT INC|BARING ASSET MANAGEMENT INC|INDEPENDENCE WHARF|470 ATLANTIC AVENUE|BOSTON MA 02210-2208|USA|||  ||TRACI A. THELEN|(617) 946-5311|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/03/1967|0|27|0|0|0|0
Boston Regional Office| 105434|801-35916|YHB INVESTMENT ADVISORS INC|YHB INVESTMENT ADVISORS INC|29 SOUTH MAIN STREET|SUITE 306|WEST HARTFORD CT 06107|USA|||  ||MARTEL, PAUL R.|860-561-7050|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|01/26/1990|0|0|0|0|0|0
Boston Regional Office| 105438|801-4249|SCHWARTZ & HOFFLICH LLP CPA|SCHWARTZ & HOFFLICH LLP CPA|37 NORTH AVE, STE. 3||NORWALK CT 06851-3827|USA|||  ||JEVNE, ANN D.|203-847-4068|Limited Liability Partnership|Financial planning services|APPROVED|03/18/1967|0|0|0|0|0|0
Boston Regional Office| 105448|801-13878|DAVIS R M INC|DAVIS R M INC|24 CITY CENTER||PORTLAND ME 04101-4069|USA|||  ||WENDY A. LAIDLAW|207-774-0022|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/30/1978|0|0|0|0|0|0
Boston Regional Office| 105461|801-33250|NUTTER INVESTMENT ADVISORS|NUTTER INVESTMENT ADVISORS LIMITED PARTNERSHIP|WORLD TRADE CENTER WEST, 155 SEAPORT BOULEVARD||BOSTON MA 02210-2604|USA|||  ||ABBOTT, EDWARD BARNES MAYNARD|617-439-2100|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/14/1988|0|0|0|0|0|0
Boston Regional Office| 105484|801-29581|FIDUCIARY CAPITAL MANAGEMENT, INC.|FIDUCIARY CAPITAL MANAGEMENT, INC.|1062 BARNES ROAD|SUITE 202|WALLINGFORD CT 06492-0080|U.S.A.|P.O. BOX 80||WALLINGFORD CT 06492-0080|U.S.A.|BOWLES, PETER ELIOT|203-269-0440|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Security ratings or pricing services, Other|APPROVED|05/14/1987|0|0|0|0|0|0
Boston Regional Office| 105502|801-21498|VAN LIEW CAPITAL INC|VAN LIEW CAPITAL INC|ONE REGENCY PLAZA STE ONE||PROVIDENCE RI 02903|USA|||  ||OATES, KEVIN MICHAEL|401-272-2510|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/14/1984|0|0|0|0|0|0
Boston Regional Office| 105509|801-26814|FINANCIAL PERSPECTIVES PLANNING SERVICES INC|FINANCIAL PERSPECTIVES PLANNING SERVICES INC|164 CANAL STREET|STE 400|BOSTON MA 02114-1809|USA|||  ||MCCARTY, JAMES X.|617-723-1400|Corporation|Financial planning services, Selection of other advisers, Publication of periodicals or newsletters, Other|APPROVED|04/28/1986|0|0|0|0|0|0
Boston Regional Office| 105522|801-28169|MCINTYRE, FREEDMAN & FLYNN INVESTMENT ADVISERS, INC.|MCINTYRE, FREEDMAN & FLYNN INVESTMENT ADVISERS, INC.|4 MAIN STREET||ORLEANS MA 02653|USA|P. O. BOX 1689||ORLEANS MA 02653|USA|REED, LINDA R.|508-255-1651|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/15/1986|0|0|0|0|0|0
Boston Regional Office| 105525|801-33349|HART REALTY ADVISERS, INC.|HART REALTY ADVISERS, INC.|ONE MILL POND LANE||SIMSBURY CT 06070-2486|USA|||  ||MACK, BETSY C.|860/651-4000|Corporation|Other|APPROVED|11/25/1988|0|0|0|0|0|0
Boston Regional Office| 105535|801-16104|PEG CAPITAL MANAGEMENT INC|PEG CAPITAL MANAGEMENT INC|96 SAWYER HILL ROAD||CANAAN NH 03741-7466|USA|P.O. BOX 428||CANAAN NH 03741-0428|USA|MCPHERSON, BRYAN|(603) 523-4303|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|05/26/1981|1|0|0|0|0|0
Boston Regional Office| 105540|801-18930|ANCHOR CAPITAL ADVISORS LLC|ANCHOR CAPITAL ADVISORS LLC|ONE POST OFFICE SQUARE||BOSTON MA 02109-2103|USA|||  ||SPINOSA, ELAINE MARIE|617-368-3805|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/12/1983|0|0|0|0|0|0
Boston Regional Office| 105553|801-34750|PETTEE INVESTORS INC|PETTEE INVESTORS INC|46 CLEARVIEW LANE||NEW CANAAN CT 06840|USA|P.O. BOX 1650||NEW CANAAN CT 06840|USA|PETTEE, SHEILA PECK|(203) 966-3199|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/06/1989|0|0|0|0|0|0
Boston Regional Office| 105616|801-6829|THE BOSTON COMPANY ASSET MANAGEMENT LLC|THE BOSTON COMPANY ASSET MANAGEMENT LLC|ONE BOSTON PLACE||BOSTON MA 02108|USA|||  ||CASSEDY, JENNIFER|617-722-3553|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/24/1970|0|1|1|0|0|0
Boston Regional Office| 105637|801-22924|THE HARBOR GROUP, INC.|THE HARBOR GROUP, INC.|402 RIVERWAY PL||BEDFORD NH 03110-6765|USA|||  ||MALONE, LINDA JEANNE|603-668-0634|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|12/14/1984|0|0|0|0|0|0
Boston Regional Office| 105640|801-22845|FINANCIAL DESIGN & MANAGEMENT INC|FINANCIAL DESIGN & MANAGEMENT INC|2425 POST ROAD|SUITE 101|SOUTHPORT CT 06890|USA|||  ||GOLDBECKER, ALAN P|203-255-3215|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|11/20/1984|0|0|0|0|0|0
Boston Regional Office| 105649|801-34485|RESTRUCTURING CAPITAL ASSOCIATES LP|RESTRUCTURING CAPITAL ASSOCIATES LP|2 STAMFORD PLZ, STE 1501|281 TRESSER BLVD|STAMFORD CT 06901|USA|||  ||MATT, DIANE L.|203-353-3101|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/22/1989|0|0|0|0|0|0
Boston Regional Office| 105666|801-25587|BALDWIN & CLARKE ADVISORY SERVICES, INC.|BALDWIN & CLARKE ADVISORY SERVICES, INC.|116B SOUTH RIVER ROAD||BEDFORD NH 03110|USA|||  ||BALDWIN, CHARLES|603-668-4353|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|10/25/1985|0|1|0|0|0|0
Boston Regional Office| 105673|801-29357|ADVENT INTERNATIONAL CORP|ADVENT INTERNATIONAL CORP|75 STATE ST|29TH FLOOR|BOSTON MA 02109|USA|||  ||GIBSON, JARLYTH HANCOCK|617-951-9493|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/28/1987|0|0|0|0|0|0
Boston Regional Office| 105679|801-34359|THE DARROW COMPANY, INC.|THE DARROW COMPANY, INC.|801 MAIN STREET||CONCORD MA 01742-3313|USA|||  ||THOMAS J. MCFARLAND|978-369-5144|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|07/06/1989|0|0|0|0|0|0
Boston Regional Office| 105711|801-13441|DANE FALB STONE & CO INC|DANE FALB STONE & CO INC|15 BROAD STREEET, STE 406||BOSTON MA 02109|USA|P.O BOX 9745||BOSTON MA 02114|USA|DANE, EDWARD N.|617-742-0666|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/31/1977|0|0|0|0|0|0
Boston Regional Office| 105712|801-29605|CAMBRIDGE FINANCIAL SERVICES INC|CAMBRIDGE FINANCIAL SERVICES INC|83 MASON ST||GREENWICH CT 06830-5502|USA|||  ||LIEBRE, ERNEST ALBERT|203-869-0033 X301|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|05/15/1987|0|0|1|0|0|0
Boston Regional Office| 105728|801-17465|NEWGATE CAPITAL MANAGEMENT LLC|NEWGATE CAPITAL MANAGEMENT LLC|ONE SOUND SHORE DRIVE||GREENWICH CT 06830-7251|USA|||  ||ROSENBAUM, SONIA|203-661-0700|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/09/1982|0|0|0|0|0|0
Boston Regional Office| 105729|801-34606|CARLSON D L INVESTMENT GROUP INC|CARLSON D L INVESTMENT GROUP INC|101 N. STATE STREET||CONCORD NH 03301|USA|||  ||JAMES MULLINS|603-224-5977|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/12/1989|0|0|0|0|0|0
Boston Regional Office| 105732|801-7288|BOUNTY MANAGEMENT CORP|BOUNTY MANAGEMENT CORP|BEDFORD BLDG|99 BEDFORD ST|BOSTON MA 02111|USA|||  ||VARRIALE,PAMELA AUSTIN|617-357-8285|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/18/1971|0|0|0|0|0|0
Boston Regional Office| 105740|801-35783|BOSTON CAPITAL ADVISORS INC|BOSTON CAPITAL ADVISORS INC|10 LIBERTY SQUARE||BOSTON MA 02109|USA|||  ||BALASCHAK, MARGUERITE R|617-426-4425|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|12/29/1989|0|0|0|0|0|0
Boston Regional Office| 105751|801-35862|HEAPHY TRUST GROUP|HEAPHY EDWARD THOMAS JR|32 HAMPDEN STREET||SPRINGFIELD MA 01103|USA|P. O. BOX 1529||SPRINGFIELD MA 01101-1529|USA|HEAPHY, LOIS B|413-736-8805|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|01/12/1990|0|0|0|0|0|0
Boston Regional Office| 105790|801-8124|JOHN HANCOCK ADVISERS, LLC|JOHN HANCOCK ADVISERS, LLC|601 CONGRESS STREET||BOSTON MA 02210-2805|USA|||  ||FRANCIS V. KNOX|617-663-2430|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|12/12/1971|0|30|2|0|0|0
Boston Regional Office| 105792|801-32143|WITTENBERG INVESTMENT MANAGEMENT INC|WITTENBERG INVESTMENT MANAGEMENT INC|31 NEW BRIDGE ROAD|SUITE 103|SUDBURY MA 01776|USA|||  ||WITTENBERG, JOEL B|978-440-7008|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/02/1988|0|0|0|0|0|0
Boston Regional Office| 105795|801-21845|WESTPORT ASSET MANAGEMENT INC|WESTPORT ASSET MANAGEMENT INC|253 RIVERSIDE AVENUE||WESTPORT CT 06880|USA|||  ||TERRY A. WETTERGREEN|203-227-3601|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/20/1984|0|0|0|0|0|0
Boston Regional Office| 105810|801-16139|PARKER CAPITAL MANAGEMENT INC|PARKER CAPITAL MANAGEMENT INC|100 CITY HALL PLAZA||BOSTON MA 02108|USA|||  ||LISS, ANNE M|617-227-1704|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|06/11/1981|0|0|0|0|0|0
Boston Regional Office| 105811|801-18094|CIGNA INVESTMENT ADVISORS, INC.|CIGNA INVESTMENT ADVISORS, INC.|900 COTTAGE GROVE ROAD|A5LGL|BLOOMFIELD CT 06002|USA|900 COTTAGE GROVE ROAD|A5LGL|HARTFORD CT 06152|USA|COOPER, SUSAN L.|860-226-8913|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/14/1982|0|0|0|0|0|0
Boston Regional Office| 105812|801-16664|GLOBAL PORTFOLIO STRATEGIES, INC.|GLOBAL PORTFOLIO STRATEGIES, INC.|280 TRUMBULL STREET||HARTFORD CT 06103|USA|C/O PRUDENTIAL FINANCIAL|280 TRUMBULL STREET, HO6-F|HARTFORD CT 06103||JOSEPH E. HESS|732-482-2116|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|12/22/1981|0|0|0|0|0|0
Boston Regional Office| 105816|801-35268|WILLIAM MANN COMPANY, INC.|WILLIAM MANN COMPANY, INC.|378 MAIN STREET||NASHUA NH 03060|USA|||  ||KING, KAREN P|603-881-5633|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|09/29/1989|1|0|0|0|0|0
Boston Regional Office| 105848|801-14875|HARDER MANAGEMENT COMPANY, INC.|HARDER MANAGEMENT COMPANY, INC.|76 BEDFORD STREET|SUITE #23|BEDFORD MA 02420|USA|P.O. BOX 639||BEDFORD MA 02420-0639|USA|HARDER, TORRENCE C|781-863-2300|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|10/19/1979|0|0|0|0|0|0
Boston Regional Office| 105866|801-35765|YOUNG RICHARD C & CO LTD|YOUNG RICHARD C & CO LTD|98 WILLIAM STREET||NEWPORT RI 02840|USA|||  ||STACK, CHRISTOPHER JOHN|(401) 849 - 2137|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|01/03/1990|0|0|0|0|0|0
Boston Regional Office| 105900|801-22445|GENERAL RE-NEW ENGLAND ASSET MANAGEMENT, INC.|GENERAL RE NEW ENGLAND ASSET MANAGEMENT INC|76 BATTERSON PARK RD.|POND VIEW CORPORATE CENTER|FARMINGTON CT 06032|USA|||  ||KAREN J. MORAIS|(860) 676-8722|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|10/24/1984|0|0|0|0|0|0
Boston Regional Office| 105917|801-29558|SMITH W B & CO INC|SMITH W B & CO INC|34 TALLY HO DRIVE||SO. HAMILTON MA 01982|USA|P.O. BOX 2399||SO. HAMILTON MA 01982|USA|SMITH III, WILLIAM B|978-468-2213|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/28/1987|0|0|0|0|0|0
Boston Regional Office| 105925|801-50288|NORTHSTAR CAPITAL INC|NORTHSTAR CAPITAL INC|84 STATE STREET||BOSTON MA 02109|USA|||  ||FULGINITI, MARILYN|617-723-3100|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|10/13/1995|0|0|0|0|0|0
Boston Regional Office| 105927|801-48564|RESNICK INVESTMENT ADVISORS, LLC|RESNICK INVESTMENT ADVISORS, LLC|518 RIVERSIDE AVE||WESTPORT CT 06880|USA|||  ||ERIC J. MOELLER|203-226-8262|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/17/1995|0|0|0|0|0|0
Boston Regional Office| 105938|801-38275|SIMMS CAPITAL MANAGEMENT INC|SIMMS CAPITAL MANAGEMENT INC|107 ELM STREET, SUITE 401||STAMFORD CT 06902|USA|||  ||POLTRACK, ARTHUR O|203-252-5765|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|02/15/1991|0|0|0|0|0|0
Boston Regional Office| 105945|801-49159|DEWITT CAPITAL MANAGEMENT LLC|DEWITT CAPITAL MANAGEMENT LLC|1853 POST ROAD EAST||WESTPORT CT 06880|USA|||  ||NICHOLS, RICHARD D|203-254-0559|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|05/09/1995|0|0|0|0|0|0
Boston Regional Office| 105970|801-9532|FAIRFIELD RESEARCH CORP|FAIRFIELD RESEARCH CORP|65 LOCUST AVE||NEW CANAAN CT 06840|USA|||  ||CHARLES A. KRAUSE|203-972-0404|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/24/1973|0|0|0|0|0|0
Boston Regional Office| 105981|801-46369|PORTFOLIO ADVISORS LLC|PORTFOLIO ADVISORS LLC|9 OLD KINGS HIGHWAY SOUTH||DARIEN CT 06820|USA|||  ||WEISBERG, NANCY C|203-662-3455|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/25/1994|0|1|0|0|0|0
Boston Regional Office| 105991|801-50672|M.A. WEATHERBIE & CO., INC.|M.A. WEATHERBIE & CO., INC.|265 FRANKLIN STREET|SUITE 1601|BOSTON MA 02110|USA|||  ||MALLEN, MILDRED M|617-951-2550|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|11/27/1995|0|0|0|0|0|0
Boston Regional Office| 105997|801-45304|DWIGHT ASSET MANAGEMENT COMPANY|DWIGHT ASSET MANAGEMENT COMPANY LLC|100 BANK STREET||BURLINGTON VT 05401|USA|P.O BOX 1590||BURLINGTON VT 05402|USA|BURNS, JAMES, JOSEPH|(802) 383-4000|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|12/02/1993|0|1|0|0|0|0
Boston Regional Office| 105999|801-43537|CHAPIN ASSET MANAGEMENT, INC.|CHAPIN ASSET MANAGEMENT, INC.|170 MIDDLEBROOK DRIVE||FAIRFIELD CT 06824|USA|2490 BLACK ROCK TURNPIKE|SUITE #405|FAIRFIELD CT 06825-2400|USA|SAGES, RONALD A|203-255-9993|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|03/19/1993|0|0|0|0|0|0
Boston Regional Office| 106000|801-32571|MOODY, LYNN & CO.|MOODY, LYNN & CO.|ONE BOSTON PLACE||BOSTON MA 02108|USA|||  ||BRIAN D. GOWELL|617-973-0590|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/01/1988|0|0|0|0|0|0
Boston Regional Office| 106003|801-45277|CAMBRIDGE ASSOCIATES LTD LLC|CAMBRIDGE ASSOCIATES LTD LLC|100 SUMMER STREET||BOSTON MA 02110-2112|USA|||  ||GLASER, LINDA J|617 457-7136|Limited Liability Company|Financial planning services, Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|01/21/1994|0|1|0|0|0|0
Boston Regional Office| 106005|801-46245|DELESSERT FINANCIAL SERVICES INC|DELESSERT FINANCIAL SERVICES INC|230 THIRD AVENUE|FIFTH FLOOR|WALTHAM MA 02451|USA|||  ||RICK SCHERMERHORN|781-547-5589|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|04/06/1994|0|0|0|0|0|0
Boston Regional Office| 106006|801-241|BABSON CAPITAL MANAGEMENT LLC|BABSON CAPITAL MANAGEMENT LLC|INDEPENDENCE WHARF|470 ATLANTIC AVENUE|BOSTON MA 02210|USA|||  ||RODNEY J. DILLMAN|(413)226-1000|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|11/01/1940|0|32|0|0|0|0
Boston Regional Office| 106020|801-37177|WOLVERINE INVESTMENTS|WHB WOLVERINE ASSET MANAGEMENT INC|200 PEQUOT AVENUE|2ND FLOOR|SOUTHPORT CT 06890|USA|||  ||BABYAK, JOHN M.|203-254-7260|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/20/1990|0|0|0|0|0|0
Boston Regional Office| 106023|801-37116|CAPITAL MANAGEMENT CORP OF THE NORTHEAST|CAPITAL MANAGEMENT CORP OF THE NORTHEAST|9 BRYAN PLAZA||WASHINGTON DEPOT CT 06794-0348|USA|P.O. BOX 348|9 BRYAN PLAZA|WASHINGTON DEPOT CT 06794||PETERSON, TIMOTHY G.|860-868-1830|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|06/29/1990|0|0|0|0|0|0
Boston Regional Office| 106030|801-45362|SOUTHFIELD INVESTMENT MANAGEMENT, LLC|SOUTHFIELD INVESTMENT MANAGEMENT, LLC|1010 WASHINGTON BLVD||STAMFORD CT 06901|USA|||  ||KIM, JOHN S.|203-978-0250|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/06/1993|0|0|0|0|0|0
Boston Regional Office| 106042|801-18367|DELPHI MANAGEMENT INC|DELPHI MANAGEMENT INC|50 ROWES WHARF STE 540||BOSTON MA 02110|USA|||  ||SCOTT M. BLACK|617-330-1025|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/31/1983|0|0|0|0|0|0
Boston Regional Office| 106053|801-29654|BAINCO INTERNATIONAL INVESTORS LLC|BAINCO INTERNATIONAL INVESTORS LLC|372 WASHINGTON STREET||WELLESLEY MA 02481|USA|||  ||ROBERT KATZ|781-997-5112|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|05/21/1987|0|0|0|0|0|0
Boston Regional Office| 106067|801-47206|RETIREMENT DESIGN & MANAGEMENT INC|RETIREMENT DESIGN & MANAGEMENT INC|1555 POST ROAD EAST||WESTPORT CT 06880|USA|||  ||JILL BODOSSIAN|203-255-0222|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|08/10/1994|0|0|0|0|0|0
Boston Regional Office| 106077|801-16814|H L INVESTMENT ADVISORS LLC|H L INVESTMENT ADVISORS LLC|200 HOPMEADOW STREET||SIMSBURY CT 06089|USA|||  ||WATKINS, JR., WALTER E.|860-843-4632|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/09/1982|0|4|29|0|0|0
Boston Regional Office| 106083|801-39777|TAYLOR INVESTMENT ASSOCIATES|TAYLOR INVESTMENT ASSOCIATES LTD|50 FEDERAL ST||BOSTON MA 02110-2509|USA|||  ||DEBORAH A STEWART|617-482-2222|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/06/1991|0|0|0|0|0|0
Boston Regional Office| 106099|801-14071|HELLMAN JORDAN MANAGEMENT CO INC|HELLMAN JORDAN MANAGEMENT CO INC|ATTN: SUE LYNCH|75 STATE STREET SUITE 2420|BOSTON MA 02109|USA|||  ||LYNCH, SUSAN G|(617) 261-9800|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/13/1978|0|0|0|0|0|0
Boston Regional Office| 106109|801-53321|CHOATE INVESTMENT ADVISORS|CHOATE INVESTMENT ADVISORS LLC|TWO INTERNATIONAL PLACE||BOSTON MA 02110|USA|||  ||FREDERICK P. CALLORI|617 248 5000|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters, Other|APPROVED|11/29/1996|0|0|0|0|0|0
Boston Regional Office| 106121|801-37476|HAMMER ASSET MANAGEMENT LLC|HAMMER ASSET MANAGEMENT LLC|36 COUNTRY CLUB RD, SUITE 812||GILFORD NH 03249|USA|||  ||HAMMER, DAVID ALLAN|603-527-0033|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|10/01/1990|0|0|0|0|0|0
Boston Regional Office| 106126|801-44524|DHK FINANCIAL ADVISORS INC|DHK FINANCIAL ADVISORS INC|3 GREENLEAF WOODS DRIVE|SUITE 202|PORTSMOUTH NH 03801|USA|P.O. BOX 4162||PORTSMOUTH NH 03802|USA|DUDDY, NINA-ROSA|603-436-5801|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|08/06/1993|0|0|0|0|0|0
Boston Regional Office| 106149|801-40583|CAMBRIDGE TRUSTEE ADVISORS INC|CAMBRIDGE TRUSTEE ADVISORS INC|31 WASHINGTON ST||WELLESLEY HILLS MA 02481|USA|||  ||KRAFT, DANIEL P|781-235-3999|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|01/17/1992|0|0|0|0|0|0
Boston Regional Office| 106159|801-47009|CONIFER INVESTMENTS LTD|CONIFER INVESTMENTS LTD|100 PEARL STREET||HARTFORD CT 06103|USA|||  ||PALDINO, CAROLYN A|860-761-1041|Corporation|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|07/21/1994|0|0|0|0|0|0
Boston Regional Office| 106166|801-46517|MOUNTAIN CAPITAL MANAGEMENT INC|MOUNTAIN CAPITAL MANAGEMENT INC|5 KONITTEKOCK ROAD||GREENWICH CT 06831|USA|||  ||ROBERT P. MOUNTAIN JR,|203-622-6766|Corporation|Portfolio management for individuals and/or small businesses, Other|APPROVED|05/31/1994|0|0|1|0|0|0
Boston Regional Office| 106220|801-15028|GRANTHAM MAYO VAN OTTERLOO & CO LLC|GRANTHAM MAYO VAN OTTERLOO & CO LLC|40 ROWES WHARF||BOSTON MA 02110-3327|USA|||  ||LYDEN, JUDITH|617-346-7528|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|12/31/1979|0|0|0|0|0|0
Boston Regional Office| 106222|801-40420|PINNACLE INVESTMENT MANAGEMENT INC|PINNACLE INVESTMENT MANAGEMENT INC|573 HOPMEADOW STREET|GREYSTONE COURT WEST|SIMSBURY CT 06070|USA|||  ||ECKEL, JOHN W|860 - 651 - 1716|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|12/19/1991|0|0|0|0|0|0
Boston Regional Office| 106223|801-21951|PUTNAM F L INVESTMENT MANAGEMENT CO|PUTNAM F L INVESTMENT MANAGEMENT CO|20 WILLIAM STREET, SUITE G40||WELLESLEY MA 02481|USA|||  ||ELLEN FLAHERTY|207-775-3197|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|07/30/1984|0|0|0|0|0|0
Boston Regional Office| 106241|801-49110|NEWPORT CAPITAL ADVISERS INC|NEWPORT CAPITAL ADVISERS INC|500 VICTORY RD|MARINA BAY|NORTH QUINCY MA 02171|USA|||  ||ANDREW DAVID PARRILLO|617-471-0282|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|05/15/1995|0|0|0|0|0|0
Boston Regional Office| 106254|801-39248|ANDOVER EQUITY ASSOCIATES|ANDOVER EQUITY ASSOCIATES CORP|38 ESSEX STREET||ANDOVER MA 01810|USA|||  ||HOWARD V. REDGATE|978-474-4747|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/05/1991|0|0|0|0|0|0
Boston Regional Office| 106274|801-15724|FRONTIER CAPITAL MANAGEMENT CO LLC|FRONTIER CAPITAL MANAGEMENT CO LLC|99 SUMMER STREET||BOSTON MA 02110|USA|||  ||WILLIAM J. BALLOU|(617) 261-0777|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/14/1981|0|1|0|0|0|0
Boston Regional Office| 106278|801-43216|POLARIS CAPITAL MANAGEMENT, LLC|POLARIS CAPITAL MANAGEMENT, LLC|125 SUMMER STREET|SUITE 1470|BOSTON MA 02110|USA|||  ||GOREHAM, LUCY C|617.951.1365|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/03/1993|0|0|0|0|0|0
Boston Regional Office| 106289|801-53805|COMPASS ASSET MANAGEMENT, LLC|MATTHES WILLIAM LEE|10 WATER STREET||GUILFORD CT 06437|USA|||  ||MATTHES, CAROLYN ANN|203-453-7000|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/14/1997|0|0|0|0|0|0
Boston Regional Office| 106290|801-41621|JOHNSON CUSTOM STRATEGIES INC|JOHNSON CUSTOM STRATEGIES INC|640 W PUTNAM AVENUE||GREENWICH CT 06830|USA|||  ||JOHNSON, MARY ANN|203-661-1310|Corporation|Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|06/03/1992|0|0|0|0|0|0
Boston Regional Office| 106293|801-40926|OAK FINANCIAL GROUP INC|OAK FINANCIAL GROUP INC|51 CYPRESS DRIVE||STAMFORD CT 06903|USA|1177 HIGH RIDGE ROAD||STAMFORD CT 06905|USA|PALMER, KORINNE A|203-329-9043|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/06/1992|0|0|0|0|0|0
Boston Regional Office| 106295|801-45209|PARSONS CAPITAL MANAGEMENT INC|PARSONS CAPITAL MANAGEMENT INC|10 WEYBOSSET STREET, STE 106||PROVIDENCE RI 02903|USA|||  ||PETER M. HUNT|401-521-2440|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/23/1993|0|0|0|0|0|0
Boston Regional Office| 106302|801-51257|WRIGHT INVESTORS SERVICE INC|WRIGHT INVESTORS SERVICE INC|440 WHEELERS FARMS RD||MILFORD CT 06461-1847|USA|||  ||HELEN W. GEORGE|203 - 783-4353|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|02/23/1996|0|0|0|0|0|0
Boston Regional Office| 106308|801-43424|BETTS BROOK ADVISORS INC|BETTS BROOK ADVISORS INC|37 NORTH AVE, STE 3||NORWALK CT 06851-3827|USA|||  ||FELDMAN, LAWRENCE|203-847-4068|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|03/09/1993|0|0|0|0|0|0
Boston Regional Office| 106380|801-42161|ELDRIDGE INVESTMENT ADVISORS INC|ELDRIDGE INVESTMENT ADVISORS INC|686 CHESTNUT ST||MANCHESTER NH 03104|USA|||  ||ELDRIDGE, SUSAN B|603-296-1320|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/19/1992|0|0|0|0|0|0
Boston Regional Office| 106387|801-39247|FEDERAL STREET ADVISORS INC|FEDERAL STREET ADVISORS INC|50 FEDERAL ST||BOSTON MA 02110|USA|||  ||MURTIE, JENNIFER|(617)350-8999|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|06/26/1991|0|0|0|0|0|0
Boston Regional Office| 106400|801-39648|THE NEW ENGLAND GUILD, INC.|THE NEW ENGLAND GUILD, INC.|120 OXFORD ST||HARTFORD CT 06105|USA|||  ||RIVES, HAROLD L.|860-236-3301|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/29/1991|0|0|0|0|0|0
Boston Regional Office| 106405|801-49599|LONGWOOD INVESTMENT ADVISORS, INC.|LONGWOOD INVESTMENT ADVISORS INC|ONE INTERNATIONAL PLACE|SUITE 2601|BOSTON MA 02110|USA|||  ||DAVIDSON, ROBERT A|617-570-2836|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/17/1995|0|0|0|0|0|0
Boston Regional Office| 106408|801-44279|FAIRFIELD FINANCIAL ADVISORS|FAIRFIELD FINANCIAL ADVISORS LTD|THE WELLESLEY OFFICE PARK|20 WILLIAM STREET, STE 260|WELLESLEY MA 02481|USA|||  ||KING, JANE V.|781-431-1119|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/26/1993|0|0|0|0|0|0
Boston Regional Office| 106419|801-49026|SPECTRUM FINANCIAL STRATEGIES INC|SPECTRUM FINANCIAL STRATEGIES INC|2525 WHITNEY AVENUE||HAMDEN CT 06518|USA|PO BOX 5397||HAMDEN CT 06518|USA|BOGEN, BRYAN PAUL|203-248-8587|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/19/1995|0|0|0|0|0|0
Boston Regional Office| 106435|801-42023|MFC GLOBAL INVESTMENT MANAGEMENT (U.S.), LLC|MFC GLOBAL INVESTMENT MANAGEMENT (U.S.), LLC|101 HUNTINGTON AVENUE||BOSTON MA 02199|USA|||  ||FRANCIS V. KNOX|617-663-2430|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/04/1992|0|29|1|0|0|0
Boston Regional Office| 106450|801-42494|SOPHER INVESTMENT MANAGEMENT INC|SOPHER INVESTMENT MANAGEMENT INC|1233 SHELBURNE ROAD|SUITE D-6B|SOUTH BURLINGTON VT 05403|USA|||  ||SOPHER, MYRON R|802-658-0625|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|10/08/1992|0|0|0|0|0|0
Boston Regional Office| 106452|801-37458|CHARTER RESEARCH & INVESTMENT GROUP INC|CHARTER RESEARCH & INVESTMENT GROUP INC|24 THORPE STREET||FAIRFIELD CT 06824|USA|||  ||LUCIANI, PAULA M|203-259-4004|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|09/28/1990|0|0|0|0|0|0
Boston Regional Office| 106455|801-37429|PRIME BUCHHOLZ & ASSOCIATES INC|PRIME BUCHHOLZ & ASSOCIATES INC|25 CHESTNUT STREET||PORTSMOUTH NH 03801|USA|||  ||AUGER, BECKY J|6034331143|Corporation|Pension consulting services, Selection of other advisers|APPROVED|09/28/1990|0|0|0|0|0|0
Boston Regional Office| 106468|801-51633|CORNERSTONE REAL ESTATE ADVISERS LLC|CORNERSTONE REAL ESTATE ADVISERS LLC|ONE FINANCIAL PLAZA,STE 1700||HARTFORD CT 06103-2604|USA|||  ||BARTOL, WILLIAM E.|860-509-2233|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|04/01/1996|0|47|2|0|0|0
Boston Regional Office| 106473|801-30125|KOBREN INSIGHT MANAGEMENT INC|KOBREN INSIGHT MANAGEMENT INC|20 WILLIAM STREET|SUITE 200|WELLESLEY HILLS MA 02481|USA|||  ||ROBIN KAMEDA|310-473-9100|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|07/31/1987|0|1|0|0|0|0
Boston Regional Office| 106503|801-48291|SCHWARTZ & HOFFLICH CAPITAL MANAGEMENT, L.P.|SCHWARTZ & HOFFLICH CAPITAL MANAGEMENT, L.P.|37 NORTH AVENUE, STE 3||NORWALK CT 06851-3827|USA|||  ||FELDMAN, LAWRENCE|203-847-4068|Partnership|Portfolio management for individuals and/or small businesses|APPROVED|01/24/1995|0|0|0|0|0|0
Boston Regional Office| 106518|801-45616|NEW ENGLAND CAPITAL|GAGE WILEY GROUP INC|30 PLEASANT ST||NORTHAMPTON MA 01060|USA|P. O. BOX 1028||NORTHAMPTON MA 01061||REYNOLDS, JUDITH ANN|(413) 584-9121|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/12/1994|0|0|0|0|0|0
Boston Regional Office| 106548|801-1939|BAXTER INVESTMENT MANAGEMENT|BAXTER BROTHERS INC.|1030 EAST PUTNAM AVENUE||RIVERSIDE CT 06878|USA|P.O. BOX 2200||GREENWICH CT 06836|USA|GREGG EVANGELIST|203-637-4559|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|05/01/1959|0|0|0|0|0|0
Boston Regional Office| 106561|801-48186|CADENCE CAPITAL MANAGEMENT LLC|CADENCE CAPITAL MANAGEMENT LLC|265 FRANKLIN STREET|11TH FLOOR|BOSTON MA 02110-3113|UNITED STATES|||  ||HEATHER MELLEM|(617) 624-3512|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/14/1994|0|0|1|0|0|0
Boston Regional Office| 106595|801-15908|WELLINGTON MANAGEMENT COMPANY, LLP|WELLINGTON MANAGEMENT COMPANY, LLP|75 STATE STREET||BOSTON MA 02109|USA|||  ||CYNTHIA M. CLARKE|617-790-7426|Limited Liability Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/30/1979|0|1|3|0|0|0
Boston Regional Office| 106605|801-42435|INTEGRATED FINANCIAL SERVICES INC|INTEGRATED FINANCIAL SERVICES INC|36 SEPTEMBER LANE||WESTON CT 06883|USA|||  ||SELLS, JEAN T.|203-226-3477|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|09/29/1992|0|0|0|0|0|0
Boston Regional Office| 106609|801-28078|ACADIAN ASSET MANAGEMENT|ACADIAN ASSET MANAGEMENT LLC|ONE POST OFFICE SQUARE||BOSTON MA 02109|USA|||  ||DIAS, SCOTT|617-850-3519|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|10/10/1986|0|0|0|0|0|0
Boston Regional Office| 106613|801-50107|HARVEST CAPITAL MANAGEMENT INC|HARVEST CAPITAL MANAGEMENT INC|114 N MAIN ST STE 301||CONCORD NH 03301|USA|||  ||DIANE CHADWICK|603-224-6994|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/15/1995|0|0|0|0|0|0
Boston Regional Office| 106625|801-26465|IPSWICH INVESTMENT MANAGEMENT COMPANY, INC|IPSWICH INVESTMENT MANAGEMENT COMPANY, INC.|53. S. MAIN STREET||IPSWICH MA 01938|USA|||  ||A. CUSHING TITCOMB|978 356-6333|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/21/1986|0|0|0|0|0|0
Boston Regional Office| 106626|801-42167|MIDDLEGREEN ASSOCIATES|FLATHER CHARLES|50 CONGRESS STREET STE 700||BOSTON MA 02109|USA|||  ||FLATHER,CHARLES|617-723-2055|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|08/26/1992|0|0|0|0|0|0
Boston Regional Office| 106629|801-7974|PUTNAM INVESTMENT MANAGEMENT, LLC|PUTNAM INVESTMENT MANAGEMENT, LLC|ONE POST OFFICE SQUARE||BOSTON MA 02109|USA|||  ||MARTHA A MCCOY|617-760-1673|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/19/1971|0|5|5|0|0|0
Boston Regional Office| 106631|801-5097|THE PUTNAM ADVISORY COMPANY, LLC|THE PUTNAM ADVISORY COMPANY, LLC|ONE POST OFFICE SQUARE||BOSTON MA 02109|USA|||  ||MARTHA A MCCOY|617-760-1673|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/07/1968|0|0|3|0|0|0
Boston Regional Office| 106651|801-51363|ESSENTIAL PLANNING, LLC|ESSENTIAL PLANNING, LLC|500 MARKET STREET, UNIT 1D||PORTSMOUTH NH 03801|USA|||  ||MURPHY, MARYANN|603-427-5164|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|03/15/1996|0|0|0|0|0|0
Boston Regional Office| 106653|801-47521|WORCESTER COUNTY FIDUCIARY ADVISORS INC|WORCESTER COUNTY FIDUCIARY ADVISORS INC|11 NORWICH STREET||WORCESTER MA 01608|USA|||  ||FRAZIER, DAVID MICHAEL|508 753 7300|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Other|APPROVED|10/11/1994|0|0|0|0|0|0
Boston Regional Office| 106664|801-47437|DAVID WENDELL ASSOCIATES, INC.|WENDELL DAVID ASSOCIATES INC|2ND FLOOR|325 CORPORATE DRIVE|PORTSMOUTH NH 03801|USA|P.O. BOX 1980||PORTSMOUTH NH 03802|USA|JANE K. BARR|603-427-0200|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/10/1994|0|1|0|0|0|0
Boston Regional Office| 106668|801-47168|ADVISER INVESTMENTS|ADVISER INVESTMENT MANAGEMENT INC|85 WELLS AVE SUITE 109||NEWTON MA 02459|USA|||  ||SILVER,DANIEL FITZSIMMONS|617-321-2200 X-348|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/04/1994|0|0|0|0|0|0
Boston Regional Office| 106684|801-50971|INDEPENDENT ADVISERS GROUP CORP|INDEPENDENT ADVISERS GROUP CORP|ONE BEACON STREET|22ND FLOOR|BOSTON MA 02108-3106|USA|P.O. BOX 509029||SAN DIEGO CA 92150-9029|USA|NAUSS, DONNA|858-450-9606, EXT. 6246|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/22/1996|0|0|0|0|0|0
Boston Regional Office| 106699|801-53542|HARTFORD INVESTMENT MANAGEMENT COMPANY|HARTFORD INVESTMENT MANAGEMENT COMPANY|55 FARMINGTON AVENUE||HARTFORD CT 06105|USA|||  ||KELLER, BARBARA A|860-297-6330|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/31/1996|0|2|24|0|0|0
Boston Regional Office| 106705|801-27959|W.E. DONOGHUE & CO., INC.|DONOGHUE W E & CO INC|629 WASHINGTON STREET||NORWOOD MA 02062|USA|||  ||DOWLER, WILLIAM B.|800-642-4276|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Market timing services|APPROVED|09/05/1986|0|10|0|0|0|0
Boston Regional Office| 106742|801-54078|LOCKE CAPITAL MANAGEMENT INC|LOCKE CAPITAL MANAGEMENT INC|25 WALNUT STREET||NEWPORT RI 02840|USA|||  ||JENKINS,LEILA C|401-849-8540|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/21/1997|0|0|0|0|0|0
Boston Regional Office| 106749|801-52060|M.KRAUS & COMPANY|M.KRAUS & COMPANY|4076 SHELBURNE ROAD|BUILDING A, SUITE 7-C|SHELBURNE VT 05482|USA|P.O. BOX 9||SHELBURNE VT 05482|USA|KRAUS, AILEEN J.|(802) 985-2620|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/29/1996|0|0|0|0|0|0
Boston Regional Office| 106781|801-45649|FAIRVIEW CAPITAL PARTNERS LP|FAIRVIEW CAPITAL PARTNERS LP|75 ISHAM ROAD|SUITE 200|WEST HARTFORD CT 06107|USA|||  ||CRYSTAL CASTLEBERRY-FLOYD|860-674-8066|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/31/1994|0|0|0|0|0|0
Boston Regional Office| 106800|801-48408|NATIXIS ASSET MANAGEMENT ADVISORS, L.P.|NATIXIS ASSET MANAGEMENT ADVISORS, L.P.|399 BOYLSTON STREET||BOSTON MA 02116|USA|||  ||ROSA ESMERALDA LICEA-MAILLOUX|617-449-2813|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/01/1995|0|15|1|0|0|0
Boston Regional Office| 106821|801-51518|EPG INCORPORATED|EPG INC|150 STATE ST||BOSTON MA 02109|USA|||  ||THOMAS, DAVID L.|617-367-9060|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|03/01/1996|0|0|0|0|0|0
Boston Regional Office| 106834|801-43386|RYAN FINANCIAL ADVISORS INC|RYAN FINANCIAL ADVISORS INC|89 MAIN STREET||ANDOVER MA 01810|USA|||  ||RYAN, WILLIAM THOMAS|(978) 475-1500|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|02/12/1993|0|0|0|0|0|0
Boston Regional Office| 106894|801-32954|SEIDMAN INVESTMENT PORTFOLIOS|SEIDMAN DANIEL JAY|23 MAYFLOWER LANE||VINEYARD HAVEN MA 02568|USA|||  ||SEIDMAN, DANIEL J|508 696-0330|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|09/29/1988|0|0|0|0|0|0
Boston Regional Office| 106910|801-43817|WS SECURITIES INC|WS SECURITIES INC|5 WALKER STREET||LENOX MA 01240|USA|||  ||BARRY M. WESSON|413-637-2900|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/29/1993|0|0|0|0|0|0
Boston Regional Office| 106911|801-53094|TRUST ADVISORS LLC|TRUST ADVISORS LLC|501 KINGS HWY EAST|STE 304|FAIRFIELD CT 06825|USA|||  ||MARK R. TONUCCI|203-382-0100|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|10/01/1996|0|0|0|0|0|0
Boston Regional Office| 106920|801-32888|MOODY ALDRICH PARTNERS, LLC|MOODY ALDRICH PARTNERS, LLC|18 SEWALL STREET||MARBLEHEAD MA 01945|USA|||  ||LEONARD, MARGARET L.|781-639-2750|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/16/1988|0|0|0|0|0|0
Boston Regional Office| 106924|801-30056|DERBY AND COMPANY INC|DERBY AND COMPANY INC|7 WELLS AVENUE||NEWTON MA 02459|USA|||  ||DERBY, JONATHAN J|617-527-0033|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/23/1987|0|0|0|0|0|0
Boston Regional Office| 106926|801-46919|TRUST ADVISORY GROUP LTD|TRUST ADVISORY GROUP LTD|161 ASH STREET||READING MA 01867|USA|||  ||LEMOINE, SUSAN MARIE|781-942-5070|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|07/25/1994|0|0|0|0|0|0
Boston Regional Office| 106928|801-46616|BRADLEY FOSTER & SARGENT INC|BRADLEY FOSTER & SARGENT INC|185 ASYLUM STREET|CITY PLACE II|HARTFORD CT 06103|USA|||  ||ROBERT H. BRADLEY|860-527-8050|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/31/1994|0|1|0|0|0|0
Boston Regional Office| 106979|801-17437|RINET COMPANY, LLC|RINET COMPANY, LLC|101 FEDERAL STREET||BOSTON MA 02110|USA|||  ||CORBALIS, LUKE|617 488 2736|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|07/21/1982|0|1|1|0|0|0
Boston Regional Office| 106981|801-2423|ARGUS INVESTORS' COUNSEL, INC.|ARGUS INVESTORS' COUNSEL, INC.|HOLLY POND PLAZA|1281 EAST MAIN STREET, FIRST FLOOR|STAMFORD CT 06902|USA|||  ||MATTHEW S. BURSTEIN|203-316-9000|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|12/16/1960|0|0|0|0|0|0
Boston Regional Office| 106982|801-5995|PHOENIX INVESTMENT COUNSEL, INC|PHOENIX INVESTMENT COUNSEL, INC|56 PROSPECT STREET||HARTFORD CT 06115-0480|USA|||  ||DOREEN BONNER|860-403-5456|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|09/17/1969|0|4|5|0|0|0
Boston Regional Office| 107002|801-38720|COMPTON CAPITAL MANAGEMENT INC|COMPTON CAPITAL MANAGEMENT INC|170 WESTMINSTER STREET|SUITE 1000|PROVIDENCE RI 02903|USA|||  ||SUSY CLEMENTE|401-453-4040|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|04/26/1991|0|2|0|0|0|0
Boston Regional Office| 107036|801-49692|LONG WHARF INVESTORS|LONG WHARF INVESTORS INC|12 POST OFFICE SQUARE||BOSTON MA 02109|USA|||  ||BUSH-BROWN, DAVID F|617-338-9393|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/01/1995|0|0|0|0|0|0
Boston Regional Office| 107047|801-32135|COSTA GREGORY MICHAEL|COSTA GREGORY MICHAEL|12 CRICKET CIRCLE||ANDOVER MA 01810|USA|||  ||COSTA, GREGORY MICHAEL|(978)475-0307|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|05/27/1988|0|0|0|0|0|0
Boston Regional Office| 107113|801-47618|NICHOLS & PRATT ADVISERS LLP|NICHOLS & PRATT ADVISERS LLP|50 CONGRESS STREET, SUITE 832||BOSTON MA 02109-4002|USA|||  ||KIMBERLY H. LATIFI|617-523-6800|Limited Liability Partnership|Portfolio management for individuals and/or small businesses, Other|APPROVED|10/11/1994|0|0|0|0|0|0
Boston Regional Office| 107138|801-37897|NORTHSTAR ASSET MANAGEMENT INC|NORTHSTAR ASSET MANAGEMENT INC|43 SAINT JOHN STREET|APT #2|BOSTON MA 02130|USA|PO BOX 301840||JAMAICA PLAIN MA 02130|USA|GOODRIDGE,JULIE N.W.|617-522-2635|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters, Other|APPROVED|12/07/1990|0|0|0|0|0|0
Boston Regional Office| 107141|801-52883|BOSTON FAMILY OFFICE LLC|BOSTON FAMILY OFFICE LLC|88 BROAD ST. (2ND FLOOR)||BOSTON MA 02110|USA|||  ||BEAL,GEORGE P|617-624-0800|Limited Liability Company|Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|09/17/1996|0|0|0|0|0|0
Boston Regional Office| 107143|801-43833|BRECKINRIDGE CAPITAL ADVISORS INC|BRECKINRIDGE CAPITAL ADVISORS INC|200 HIGH STREET||BOSTON MA 02110|USA|||  ||ANDREW L MEYERS|617-443-0779|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/29/1993|0|0|0|0|0|0
Boston Regional Office| 107144|801-46433|MFS INSTITUTIONAL ADVISORS INC.|MFS INSTITUTIONAL ADVISORS INC.|500 BOYLSTON ST||BOSTON MA 02116-3741|USA|||  ||ERICA BLAKE|617-954-6765|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/06/1994|0|14|1|0|0|0
Boston Regional Office| 107151|801-40535|RHUMBLINE ADVISERS|RHUMBLINE ADVISERS LTD PARTNERSHIP|30 ROWES WHARF SUITE 350||BOSTON MA 02110|USA|||  ||KIM R. MCCANT|617-345-0434|Limited Liability Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/15/1992|0|1|0|0|0|0
Boston Regional Office| 107153|801-46976|LORING, WOLCOTT & COOLIDGE FIDUCIARY ADVISORS, LLP|LORING, WOLCOTT & COOLIDGE FIDUCIARY ADVISORS, LLP|230 CONGRESS STREET||BOSTON MA 02110|USA|||  ||PERKINS, WILLIAM B.|617-523-6531|Limited Liability Partnership|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/01/1994|0|0|0|0|0|0
Boston Regional Office| 107169|801-37267|BIRINYI ASSOCIATES, INC.|BIRINYI ASSOCIATES, INC.|61 WILTON ROAD||WESTPORT CT 06880|USA|P.O. BOX 711||WESTPORT CT 06881|USA|RUBIN, JEFFREY Y|203-341-0833|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters, Other|APPROVED|08/30/1990|0|0|0|0|0|0
Boston Regional Office| 107186|801-46193|SHERLOCK INVESTMENT MANAGEMENT, INC.|SHERLOCK INVESTMENT MANAGEMENT, INC.|974 WESTERN AVENUE||BRATTLEBORO VT 05301|USA|P.O. BOX 2325||BRATTLEBORO VT 05303|USA|SHERLOCK, PETER A.|802-258-2370|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/29/1994|0|0|0|0|0|0
Boston Regional Office| 107191|801-27094|PILLAR FINANCIAL ADVISORS, INC.|PILLAR FINANCIAL ADVISORS INC|404 WYMAN STREET|SUITE 210|WALTHAM MA 02451|USA|||  ||FONTES, INEZ|781-290-4900|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|07/03/1986|0|0|0|0|0|0
Boston Regional Office| 107192|801-31004|THE DE BURLO GROUP,INC.|THE DE BURLO GROUP,INC.|50 FEDERAL STREET||BOSTON MA 02110-2509|USA|||  ||ROBIN W. DUSHMAN|617-482-0275|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/01/1987|0|0|0|0|0|0
Boston Regional Office| 107215|801-48864|DAVIS MICHAEL KIM|DAVIS MICHAEL KIM|4 COTTAGE STREET|PO BOX 249|MARION MA 02738|USA|PO BOX 249||MARION MA 02738|USA|DAVIS, MICHAEL KIM|508-748-0709|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/26/1995|0|0|0|0|0|0
Boston Regional Office| 107278|801-40257|LANDMARK ADVISERS INC|LANDMARK ADVISERS INC|ATTN: ANTOINETTE LAZARUS|10 MILL POND LANE|SIMSBURY CT 06070-2429|USA|||  ||ANTOINETTE LAZARUS|860-651-9760|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|11/25/1991|0|1|1|0|0|0
Boston Regional Office| 107300|801-47202|HENDERSON GLOBAL INVESTORS|HENDERSON GLOBAL INVESTORS (NORTH AMERICA) INC.|1 FINANCIAL PLAZA, 19TH FLOOR||HARTFORD CT 06103|USA|||  ||CHRISTOPHER K YARBROUGH|312-915-9144|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/12/1994|0|0|0|0|0|0
Boston Regional Office| 107304|801-53304|LANDMARK REALTY ADVISORS LLC|LANDMARK REALTY ADVISORS LLC|10 MILL POND LANE||SIMSBURY CT 06070-2429|USA|||  ||ANTOINETTE LAZARUS|860-651-9760|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|12/09/1996|0|1|1|0|0|0
Boston Regional Office| 107312|801-47459|METLIFE ADVISERS, LLC|METLIFE ADVISERS, LLC|501 BOYLSTON STREET||BOSTON MA 02116|USA|||  ||HARNEY, SCOTT|617-578-2410|Limited Liability Company|Portfolio management for investment companies, Selection of other advisers, Other|APPROVED|09/21/1994|0|2|1|0|0|0
Boston Regional Office| 107327|801-19708|CABOT MONEY MANAGEMENT INC|CABOT MONEY MANAGEMENT INC|216 ESSEX STREET||SALEM MA 01970|USA|||  ||MICHAEL C. KOZAK|978-745-9233|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|09/16/1983|0|2|0|0|0|0
Boston Regional Office| 107349|801-7872|PULSIFER & ASSOCIATES|PULSIFER NATHANIEL|29 N MAIN ST||IPSWICH MA 01938-0170|USA|P.O. BOX 170||IPSWICH MA 01938-0170|USA|NATHANIEL PULSIFER|978 356-3530|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|10/27/1971|0|0|0|0|0|0
Boston Regional Office| 107350|801-29487|ANGELBECK J M INC|ANGELBECK J M INC|48 FAWN RUN||GLASTONBURY CT 06033|USA|||  ||JEANNETTE MOSER ANGELBECK|860-633-3326|Corporation|Portfolio management for individuals and/or small businesses, Other|APPROVED|03/01/1987|0|0|0|0|0|0
Boston Regional Office| 107358|801-44739|ARGENT WEALTH MANAGEMENT, INC.|ARGENT WEALTH MANAGEMENT, INC.|13 RIVERSIDE ROAD||WESTON MA 02493|USA|||  ||DAVID M. DUCHESNEAU|781-894-1117|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|10/19/1993|0|0|0|0|0|0
Boston Regional Office| 107359|801-47370|WIESE CAPITAL MANAGEMENT INC|WIESE CAPITAL MANAGEMENT INC|200 PEQUOT AVENUE||SOUTHPORT CT 06890|USA|||  ||PETER C. WIESE|203-255-3331|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/07/1994|0|0|0|0|0|0
Boston Regional Office| 107393|801-44163|FLAVIN BLAKE & CO LP|FLAVIN BLAKE & CO LP|METRO CENTER, 1 STATION PL||STAMFORD CT 06902|USA|||  ||LESLIE DEMPSEY|203-355-0302|Partnership|Portfolio management for individuals and/or small businesses|APPROVED|06/17/1993|0|0|0|0|0|0
Boston Regional Office| 107412|801-11877|MASON CAPITAL PARTNERS|ALBERT D MASON INC|50 CONGRESS ST STE,843||BOSTON MA 02109|USA|||  ||CATHERINE FADDIS|617 228 5190|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/29/1976|0|0|0|0|0|0
Boston Regional Office| 107422|801-2252|J.M. FORBES & CO. LLP|J.M. FORBES & CO. LLP|3 POST OFFICE SQUARE|10TH FL|BOSTON MA 02109-3903|USA|||  ||DAVID C. WARNER|(617) 423-5705|Limited Liability Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|05/06/1960|0|0|0|0|0|0
Boston Regional Office| 107423|801-18641|CONNING ASSET MANAGEMENT CO|CONNING ASSET MANAGEMENT CO|ONE FINANCIAL PLAZA||HARTFORD CT 06103|USA|||  ||ROBERT PEARCE|860-299-2151|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|03/21/1983|0|14|2|0|0|0
Boston Regional Office| 107427|801-47031|CITIZENS ADVISERS, INC.|CITIZENS ADVISERS,INC.|ONE HARBOUR PLACE|SUITE 400|PORTSMOUTH NH 03801|USA|||  ||SOPHIA COLLIER|512-275-7860|Corporation|Portfolio management for investment companies|APPROVED|07/15/1994|0|0|0|0|0|0
Boston Regional Office| 107457|801-60012|HARBOR ISLAND CAPITAL LLC|HARBOR ISLAND CAPITAL LLC|7 GROVE STREET|UNIT 302|TOPSFIELD MA 01983|USA|||  ||PAUL FORTIN|978-887-3174|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|02/09/2001|0|0|0|0|0|0
Boston Regional Office| 107463|801-57382|CUTLER CAPITAL MANAGEMENT LLC|CUTLER CAPITAL MANAGEMENT LLC|306 MAIN ST 2ND FL||WORCESTER MA 01608-1518|USA|||  ||DAVID N.GRENIER|508-757-4455|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/01/2000|0|1|0|0|0|0
Boston Regional Office| 107487|801-37761|FINARC LLC|FINARC LLC|140 KENDRICK STREET|C3 EAST|NEEDHAM MA 02494|USA|||  ||CATHERINE FRIEND WHITE|781-449-8989|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Other|APPROVED|12/06/1990|0|1|0|0|0|0
Boston Regional Office| 107499|801-49770|SIMPSON INVESTMENT COUNSEL|SIMPSON ALAN CARTER|9 GRAPEVINE AVE|STE 2|LEXINGTON MA 02421|USA|405 WALTHAM STREET  #PMB392||LEXINGTON MA 02421|USA|ALAN C. SIMPSON|781 863-0250|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/31/1995|0|0|0|0|0|0
Boston Regional Office| 107504|801-38929|LAKE PARTNERS,INC.|LAKE PARTNERS,INC.|24 FIELD POINT ROAD||GREENWICH CT 06830|USA|||  ||MAURICE A. CABRAL|203-661-5100|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|05/31/1991|0|0|0|0|0|0
Boston Regional Office| 107505|801-51357|BOYD FINANCIAL STRATEGIES, INC.|BOYD FINANCIAL STRATEGIES, INC.|45 SOUTH QUINSIGAMOND AVE||SHREWSBURY MA 01545-3514|USA|||  ||JOHN R. BOYD|508-754-3226|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/22/1996|0|0|0|0|0|0
Boston Regional Office| 107512|801-37990|TA ASSOCIATES REALTY|REALTY ASSOCIATES ADVISORS LLC|28 STATE STREET, 10TH FL||BOSTON MA 02109|USA|||  ||SCOTT DALRYMPLE|617-476-2773|Limited Liability Company|Pension consulting services, Other|APPROVED|12/24/1990|0|0|0|0|0|0
Boston Regional Office| 107543|801-33087|SMITH WB FINANCIAL GROUP|SMITH WILLIAM BRUCE|TWO SOUTH STREET||GRAFTON MA 01519|USA|||  ||JOAN TOSTI|508-839-4465|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|10/14/1988|0|1|0|0|0|0
Boston Regional Office| 107565|801-41412|NEWMAN DIGNAN & SHEERAR, INC|NEWMAN DIGNAN & SHEERAR INC|30 EXCHANGE TERRACE||PROVIDENCE RI 02903|UNITED STATES OF AMERICA|||  ||WILLIAM NEWMAN|401-351-4010|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|05/07/1992|0|0|0|0|0|0
Boston Regional Office| 107569|801-44189|OPUS INVESTMENT MANAGEMENT, INC.|OPUS INVESTMENT MANAGEMENT, INC.|440 LINCOLN ST||WORCESTER MA 01653-0002|USA|||  ||DONALD P. WAYMAN|(508) 855-3008|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/22/1993|0|0|0|0|0|0
Boston Regional Office| 107572|801-51642|PARKER GLOBAL STRATEGIES LLC|PARKER GLOBAL STRATEGIES LLC|1177 SUMMER STREET|6TH FLOOR|STAMFORD CT 06905|USA|||  ||BEVERLY BOKER|203-674-5139|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|04/25/1996|0|0|0|0|0|0
Boston Regional Office| 107620|801-44801|FUTURE BENEFITS INC|FUTURE BENEFITS INC|1781 HIGHLAND AVENUE|SUITE 205|CHESHIRE CT 06410|USA|||  ||THOMAS R. HITEN|(203) 272-4745|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/24/1993|0|0|0|0|0|0
Boston Regional Office| 107631|801-35190|COOPERATIVE FUNERAL FUND INC|COOPERATIVE FUNERAL FUND INC|74 BOSTON POST ROAD||MADISON CT 06443|USA|P.O. BOX 1036||MADISON CT 06443|NEW HAVEN|MARK C. MANNIX|1-(800) 336-1102|Corporation|Portfolio management for individuals and/or small businesses, Other|APPROVED|09/15/1989|1|0|0|0|0|0
Boston Regional Office| 107643|801-39603|BOSTON RESEARCH AND MANAGEMENT, INC.|BOSTON RESEARCH AND MANAGEMENT, INC.|40 BEACH STREET|SUITE 200|MANCHESTER MA 01944|USA|||  ||AMY FLYNN|(978)526-9700|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/31/1991|0|1|0|0|0|0
Boston Regional Office| 107646|801-43008|SOWA FINANCIAL GROUP|SOWA FINANCIAL GROUP INC|855 WATERMAN AVENUE||EAST PROVIDENCE RI 02914|USA|||  ||DONALD J. SOWA|(401)434-8090|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/22/1993|0|0|0|0|0|0
Boston Regional Office| 107649|801-52511|MG FINANCIAL LLC|MG FINANCIAL LLC|300 GRANITE STREET|SUITE 408|BRAINTREE MA 02184|USA|||  ||MARY E. GILLIGAN|781-848-1163|Limited Liability Company|Financial planning services, Selection of other advisers|APPROVED|07/26/1996|0|0|0|0|0|0
Boston Regional Office| 107651|801-52649|INSIGHT ONSITE FINANCIAL SOLUTIONS|FINANCIAL RESOURCES NETWORK INC|424 WASHINGTON ST||WOBURN MA 01801-2112|USA|||  ||ROSALIND HERMAN|781-935-7070|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Market timing services, Other|APPROVED|08/07/1996|0|0|0|0|0|0
Boston Regional Office| 107655|801-46772|SMITH WHILEY & CO|SMITH WHILEY & CO|242 TRUMBULL ST||HARTFORD CT 06103|USA|||  ||GWENDOLYN SMITH ILOANI|860 548-2513|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/26/1994|0|0|0|0|0|0
Boston Regional Office| 107703|801-43397|AMES PLANNING ASSOCIATES INC|AMES PLANNING ASSOCIATES INC|45 MAIN STREET, SUITE 1|P. O. BOX 396|PETERBOROUGH NH 03458-0396|USA|||  ||HARVEY M. J. AMES|603-924-9939|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Other|APPROVED|02/24/1993|0|0|0|0|0|0
Boston Regional Office| 107719|801-8255|PIONEER INVESTMENT MANAGEMENT, INC.|PIONEER INVESTMENT MANAGEMENT, INC.|60 STATE STREET||BOSTON MA 02109-1820|USA|||  ||STEPHEN P. CARR|617-422-4907|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/14/1971|0|4|0|0|0|0
Boston Regional Office| 107732|801-40719|WHITEGATE INVESTMENT COUNSELORS INC|WHITEGATE INVESTMENT COUNSELORS INC|46 SOUTH MAIN STREET||CONCORD NH 03301|USA|||  ||PAULETTE W. WOLFE|603 228-5471|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/07/1992|0|0|0|0|0|0
Boston Regional Office| 107745|801-23705|GRANAHAN INVESTMENT MANAGEMENT INC|GRANAHAN INVESTMENT MANAGEMENT INC|275 WYMAN STREET, SUITE 270||WALTHAM MA 02451|USA|||  ||BRIAN S. GRANAHAN|781-890-4412|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/18/1985|0|0|0|0|0|0
Boston Regional Office| 107754|801-53770|UBS AGRIVEST LLC|UBS AGRIVEST LLC|242 TRUMBULL STREET||HARTFORD CT 06103-1212|USA|||  ||MICHELLE A. CULLEN|860-616-9046|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|02/05/1997|0|4|0|0|0|0
Boston Regional Office| 107758|801-45426|UBS REALTY INVESTORS LLC|UBS REALTY INVESTORS LLC|242 TRUMBULL STREET||HARTFORD CT 06103-1212|USA|||  ||MICHELLE A. CULLEN|(860) 616-9046|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|01/05/1994|0|4|0|0|0|0
Boston Regional Office| 107781|801-1675|THE DANFORTH ASSOCIATES, INC|THE DANFORTH ASSOCIATES, INC|ONE HOLLIS ST, SUITE 206||WELLESLEY MA 02482-4673|USA|P.O. BOX 9014||WELLESLEY MA 02482|USA|ELLEN R. COOK|(781) 235-9100|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|04/20/1958|0|2|0|0|0|0
Boston Regional Office| 107788|801-28801|DIAMANT ASSET MANAGEMENT, INC.|DIAMANT ASSET MANAGEMENT, INC.|170 MASON STREET||GREENWICH CT 06830|USA|||  ||HERBERT DIAMANT|203-661-6410|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/23/1987|0|0|0|0|0|0
Boston Regional Office| 107795|801-57109|SHIELDS TAX & INVESTMENT MANAGEMENT|SHIELDS JOHN MICHAEL|116 RIVER RD||ESSEX CT 06426|USA|||  ||J. MICHAEL SHIELDS|860-767-0074|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|01/14/2000|0|0|0|0|0|0
Boston Regional Office| 107838|801-16384|PERSONAL BUSINESS MANAGEMENT GROUP LTD|PERSONAL BUSINESS MANAGEMENT GROUP LTD|1911 SUMMER ST||STAMFORD CT 06905|USA|||  ||CARL FRIEDMAN|203-357-1046|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|09/14/1981|0|0|0|0|0|0
Boston Regional Office| 107845|801-17043|HERITAGE CAPITAL MANAGEMENT INC|HERITAGE CAPITAL MANAGEMENT INC|WAINWRIGHT BANK BUILDING|63 FRANKLIN STREET, 5TH FLOOR|BOSTON MA 02110|USA|||  ||RICHARD CLOUTIER|617-423-0379|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/26/1982|0|0|0|0|0|0
Boston Regional Office| 107896|801-49064|HUTNER CAPITAL MANAGEMENT INC.|HUTNER CAPITAL MANAGEMENT INC.|3556 MAIN STREET, BOX 379||MANCHESTER VT 05254|USA|||  ||DANIEL HUTNER|802-366-8157|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/25/1995|0|0|0|0|0|0
Boston Regional Office| 107900|801-50372|COLUMBIA MANAGEMENT ADVISORS, LLC|COLUMBIA MANAGEMENT ADVISORS, LLC|100 FEDERAL STREET||BOSTON MA 02110|USA|||  ||MICHAEL A. JONES|617-434-8323|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|11/14/1995|0|16|2|0|0|0
Boston Regional Office| 107915|801-55766|MORGILLO FINANCIAL MANAGEMENT, INC.|MORGILLO FINANCIAL MANAGEMENT INC|855 TURNPIKE STREET||NORTH ANDOVER MA 01845|USA|||  ||ELAINE B. MORGILLO|978-975-3000|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|08/07/1998|0|0|0|0|0|0
Boston Regional Office| 107916|801-54670|CABOT-WELLINGTON LLC|CABOT WELLINGTON LLC|70 FEDERAL STREET||BOSTON MA 02110|USA|||  ||R. ANGUS WEST|617-451-1744|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|06/26/1997|0|0|0|0|0|0
Boston Regional Office| 107937|801-55188|MACKENSEN & CO INC|MACKENSEN & CO INC|6 MERRILL DRIVE||HAMPTON NH 03842|USA|||  ||WARREN J. MACKENSEN|603-926-1775|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/21/1998|0|0|0|0|0|0
Boston Regional Office| 107957|801-20597|ARMSTRONG SHAW ASSOCIATES INC.|ARMSTRONG SHAW ASSOCIATES INC.|45 GROVE STREET||NEW CANAAN CT 06840|USA|||  ||PATRICIA VERROCHI|203-972-9600|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/17/1984|0|2|0|0|0|0
Boston Regional Office| 107971|801-43295|AIS CAPITAL MANAGEMENT LLC|AIS CAPITAL MANAGEMENT LLC|187 DANBURY RD||WILTON CT 06897-0806|USA|||  ||BRADLEY C STERN|203-563-1180|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/08/1993|0|0|0|0|0|0
Boston Regional Office| 107986|801-57541|MERGANSER CAPITAL MANAGEMENT LP|MERGANSER CAPITAL MANAGEMENT LP|99 HIGH STREET|28TH FLOOR|BOSTON MA 02110-2320|USA|||  ||RICHARD F. WOERNER|617-528-4874|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/06/2000|0|0|0|0|0|0
Boston Regional Office| 107991|801-56192|CLARK & STUART INC|CLARK & STUART INC|2385 CONGRESS ST||PORTLAND ME 04102-1932|USA|||  ||CHARLES CLARK|207-775-1140|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|02/02/1999|0|0|1|0|0|0
Boston Regional Office| 108024|801-57713|LYDIAN ASSET MANAGEMENT LP|LYDIAN ASSET MANAGEMENT LP|495 POST ROAD EAST||WESTPORT CT 06880|USA|21 EAST FRONT STREET|6TH FLOOR|RED BANK NJ 07701|USA|BRUCE GILLE|203-571-1310|Partnership|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|07/06/2000|0|0|0|0|0|0
Boston Regional Office| 108030|801-56312|JJK INVESTMENT MANAGEMENT/ADV|LACHOWITZ ALAN DAVID|14 HARVESTER WAY||OAK BLUFFS MA 02557|USA|RR1  BOX 479-P||EDGARTOWN MA 02539|USA|ALAN LACHOWITZ|1-508-696-3791|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|03/08/1999|0|0|0|0|0|0
Boston Regional Office| 108043|801-58006|CAP ADVISORS LLC|CAP ADVISORS LLC|136 MAIN STREET|SUITE 207|WESTPORT CT 06880|USA|||  ||JOLIE J. WOLF|303-444-7161|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/23/2006|0|0|0|0|0|0
Boston Regional Office| 108045|801-55412|HANSON INVESTMENT MANAGEMENT INC|HANSON INVESTMENT MANAGEMENT INC|431 PINE STREET||BURLINGTON VT 05401|USA|P.O. BOX 819||BURLINGTON VT 05402-0819|USA|JULIE WON|802-658-2668|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|04/03/1998|0|0|0|0|0|0
Boston Regional Office| 108047|801-57627|WEYBOSSET RESEARCH & MANAGEMENT LLC|WEYBOSSET RESEARCH & MANAGEMENT LLC|72 SOUTH MAIN STREET||PROVIDENCE RI 02903|USA|||  ||FLA LEWIS III|401-421-7171|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|05/26/2000|0|0|0|0|0|0
Boston Regional Office| 108054|801-56289|BOURGEON CAPITAL MANAGEMENT LLC|BOURGEON CAPITAL MANAGEMENT LLC|777 POST ROAD||DARIEN CT 06820|USA|||  ||JOHN M. NEVIN, JR.|203-280-1166|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/23/1999|0|0|0|0|0|0
Boston Regional Office| 108070|801-57059|BACK BAY FINANCIAL GROUP, INC.|BACK BAY FINANCIAL GROUP, INC.|535 BOYLSTON STREET|SUITE 300|BOSTON MA 02116|USA|||  ||ROBERT D. SIEFERT|617-247-0518|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|12/14/1999|0|0|0|0|0|0
Boston Regional Office| 108071|801-57625|FAMILY FINANCIAL ARCHITECTS, INC.|FAMILY FINANCIAL ARCHITECTS, INC.|214 NORTH MAIN ST|STE 209|NATICK MA 01760|USA|||  ||ROY KOMACK|508-655-0210|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|04/27/2000|0|0|0|0|0|0
Boston Regional Office| 108094|801-55246|WINGATE PLANNING CORP|WINGATE PLANNING CORP|450 BEDFORD ST||LEXINGTON MA 02420-1547|USA|||  ||ANITA O'BRIEN|781-862-7100|Corporation|Financial planning services|APPROVED|02/09/1998|0|0|0|0|0|0
Boston Regional Office| 108108|801-56930|FAIRVIEW VENTURE MANAGEMENT LLC|FAIRVIEW VENTURE MANAGEMENT LLC|75 ISHAM ROAD|SUITE 200|WEST HARTFORD CT 06107|USA|||  ||CRYSTAL CASTLEBERRY-FLOYD|860-674-8066|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/18/1999|0|0|0|0|0|0
Boston Regional Office| 108113|801-56622|USI ADVISORS|USI ADVISORS, INC.|95 GLASTONBURY BLVD.||GLASTONBURY CT 06033|USA|||  ||CHRISTOPHER J. ROWLINS|860-368-2942|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|06/18/1999|0|1|1|0|0|0
Boston Regional Office| 108124|801-56591|FALCON CAPITAL MANAGEMENT INC|FALCON CAPITAL MANAGEMENT INC|530 DANBURY ROAD||WILTON CT 06897|USA|||  ||ROBERT C. DALLDORF|203-834-1404|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/07/1999|0|0|0|0|0|0
Boston Regional Office| 108141|801-54286|HALL CAPITAL MANAGEMENT CO INC|HALL CAPITAL MANAGEMENT CO INC|26 BOSWORTH STREET|SUITE 4|BARRINGTON RI 02806|USA|||  ||ROBERT F. HALL|401-245-0049|Corporation|Portfolio management for individuals and/or small businesses, Other|APPROVED|04/17/1997|0|0|0|0|0|0
Boston Regional Office| 108143|801-54967|WESTPORT ADVISERS LLC|WESTPORT ADVISERS LLC|253 RIVERSIDE AVE||WESTPORT CT 06880|USA|||  ||TERRY A. WETTERGREEN|203-227-3601|Limited Liability Company|Portfolio management for investment companies|APPROVED|10/10/1997|0|0|0|0|0|0
Boston Regional Office| 108151|801-55158|ROBERT BROOKE ZEVIN ASSOCIATES, INC.|ROBERT BROOKE ZEVIN ASSOCIATES, INC.|50 CONGRESS STREET|SUITE 1040|BOSTON MA 02109|USA|||  ||JENNIFER KELLEY|617-742-6666|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/08/1998|0|0|0|0|0|0
Boston Regional Office| 108156|801-56267|JACKSON, GRANT INVESTMENT ADVISERS, INC.|JACKSON, GRANT INVESTMENT ADVISERS, INC.|TWO HIGH RIDGE PARK||STAMFORD CT 06905|USA|||  ||JULIE JASON|203-322-1198|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/12/1999|0|2|0|0|0|0
Boston Regional Office| 108191|801-54171|BURNS & LEVINSON ASSET MANAGEMENT|B&L ASSET MANAGEMENT LLC|125 SUMMER STREET||BOSTON MA 02110-1624|USA|||  ||RAYMOND E. BAXTER|617-345-3000|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/03/1997|0|0|0|0|0|0
Boston Regional Office| 108214|801-15415|NORTHEAST MANAGEMENT & RESEARCH CO., INC.|NORTHEAST MANAGEMENT & RESEARCH CO., INC.|150 FEDERAL STREET|SUITE 1000|BOSTON MA 02110-1745|USA|||  ||ROBERT B. MINTURN|617-523-3588|Corporation|Portfolio management for investment companies|APPROVED|08/14/1980|0|0|0|0|0|0
Boston Regional Office| 108228|801-60130|INVESTMENT MANAGEMENT & CONSULTING GROUP|INVESTMENT MANAGEMENT & CONSULTING GROUP|97A EXCHANGE STREET STE 504|P.O. BOX 4802|PORTLAND ME 04112|USA|||  ||FREDRIC W. WILLIAMS|207-774-6552|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|04/06/2001|0|0|0|0|0|0
Boston Regional Office| 108234|801-60162|BELMONT FINANCIAL, LLC|DURANT, MICHAEL GEORGE|30 CHURCH ST SUITE 320||BELMONT MA 02478|USA|||  ||MICHAEL G. DURANT|617-489-0040|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/24/2003|0|0|0|0|0|0
Boston Regional Office| 108248|801-28774|FIDELITY RESEARCH & ANALYSIS COMPANY|FIDELITY RESEARCH & ANALYSIS COMPANY|82 DEVONSHIRE STREET V10G||BOSTON MA 02109|USA|82 DEVONSHIRE STREET V10G||BOSTON MA 02109|USA|CYNTHIA NG|617-563-7345|Corporation|Other|APPROVED|05/11/1987|0|4|0|0|0|0
Boston Regional Office| 108252|801-34590|FIDELITY INVESTMENTS MONEY MANAGEMENT INC.|FIDELITY INVESTMENTS MONEY MANAGEMENT INC.|82 DEVONSHIRE STREET V10G||BOSTON MA 02109|USA|82 DEVONSHIRE STREET V10G||BOSTON MA 02109|USA|CYNTHIA NG|617-563-7345|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/09/1989|0|4|0|0|0|0
Boston Regional Office| 108253|801-56832|CLEARBROOK INVESTMENT CONSULTING LLC|CLEARBROOK INVESTMENT CONSULTING LLC|4 HIGH RIDGE PARK|SUITE 101|STAMFORD CT 06905|USA|||  ||BRUCE GRAHAM|203-355-0991|Limited Liability Company|Pension consulting services, Selection of other advisers|APPROVED|09/10/1999|0|2|1|0|0|0
Boston Regional Office| 108273|801-28773|FIDELITY MANAGEMENT & RESEARCH (UK) INC.|FIDELITY MANAGEMENT & RESEARCH (UK) INC.|82 DEVONSHIRE STREET V10G||BOSTON MA 02109|USA|82 DEVONSHIRE STREET V10G||BOSTON MA 02109|USA|CYNTHIA NG|617-563-7345|Corporation|Portfolio management for investment companies|APPROVED|05/11/1987|0|4|0|0|0|0
Boston Regional Office| 108281|801-7884|FIDELITY MANAGEMENT & RESEARCH COMPANY|FIDELITY MANAGEMENT & RESEARCH COMPANY|82 DEVONSHIRE STREET V10G||BOSTON MA 02109|USA|82 DEVONSHIRE STREET V10G||BOSTON MA 02109|USA|CYNTHIA NG|617-563-7345|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|11/29/1971|0|5|0|0|0|0
Boston Regional Office| 108290|801-8177|GOODWIN CAPITAL ADVISERS, INC.|GOODWIN CAPITAL ADVISERS, INC.|56 PROSPECT STREET||HARTFORD CT 06103|USA|||  ||DOREEN A. BONNER|860-403-5456|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/14/1971|0|3|4|0|0|0
Boston Regional Office| 108301|801-13704|HALSEY ASSOCIATES INC|HALSEY ASSOCIATES INC|234 CHURCH STREET||NEW HAVEN CT 06510|USA|||  ||KENNETH JULIAN|203-772-0740|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/24/1978|0|0|0|0|0|0
Boston Regional Office| 108313|801-39460|THOMPSON WEALTH MANAGEMENT, LTD.|THOMPSON WEALTH MANAGEMENT, LTD.|9 DAMONMILL SQUARE|1F|CONCORD MA 01742|USA|||  ||BRUCE P. THOMPSON|978-287-5151|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/22/1991|0|5|0|0|0|0
Boston Regional Office| 108345|801-57100|BEAUMONT FINANCIAL PARTNERS LLC|BEAUMONT FINANCIAL PARTNERS LLC|20 WALNUT STREET|SUITE # 1|WELLESLEY HILLS MA 02481|USA|||  ||EDWARD F. HURLEY|781-237-7170|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|01/11/2000|0|1|0|0|0|0
Boston Regional Office| 108346|801-15298|INTERINVEST CORP INC|INTERINVEST CORP INC|192 SOUTH STREET|SUITE 350|BOSTON MA 02111|USA|||  ||STANLEY T. SCHMIDT|617-723-7870|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|07/03/1980|0|1|0|0|0|0
Boston Regional Office| 108409|801-64474|CONNECTICUT CAPITAL MANAGEMENT GROUP L.L.C.|CONNECTICUT CAPITAL MANAGEMENT GROUP L.L.C.|63 CHERRY ST||MILFORD CT 06460|USA|||  ||ERIC ALAN TASHLEIN|203-877-1520|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|07/15/2005|0|0|0|0|0|0
Boston Regional Office| 108440|801-57397|MUNDER LEE INVESTMENTS LTD|LEE MUNDER INVESTMENTS LTD.|200 CLARENDON ST|T-28|BOSTON MA 02116|USA|422 SUNSET ROAD||WEST PALM BEACH FL 33401|USA|JOSEPH F. TOWER|617-380-5600|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/24/2000|0|0|0|0|0|0
Boston Regional Office| 108451|801-56127|BLUE FIN CAPITAL, INC.|BLUE FIN CAPITAL, INC.|10 WEYBOSSET STREET|SUITE 302B|PROVIDENCE RI 02903|USA|||  ||THERESA LAMY|401-454-0772|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/23/1998|0|0|0|0|0|0
Boston Regional Office| 108458|801-56486|TEMENOS INC|TEMENOS INC|265 CHESTNUT HILL ROAD||LITCHFIELD CT 06759|USA|||  ||GEORGE TAYLOR|888-769-9149|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|05/03/1999|0|1|0|0|0|0
Boston Regional Office| 108467|801-55081|IRONWOOD INVESTMENT MANAGEMENT, LLC|IRONWOOD INVESTMENT MANAGEMENT, LLC|21 CUSTOM HOUSE STREET|SUITE 240|BOSTON MA 02110|USA|||  ||CHARLES J. DALY|617-757-7600|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/15/1997|0|0|0|0|0|0
Boston Regional Office| 108468|801-55001|DDJ CAPITAL MANAGEMENT LLC|DDJ CAPITAL MANAGEMENT LLC|130 TURNER STREET|BUILDING 3, SUITE 600|WALTHAM MA 02453|USA|||  ||WENDY SCHNIPPER CLAYTON|781-283-8500|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/03/1997|0|0|0|0|0|0
Boston Regional Office| 108474|801-44995|QFS ASSET MANAGEMENT, INC.|QFS ASSET MANAGEMENT, INC.|10 GLENVILLE STREET||GREENWICH CT 06831|USA|||  ||DAVID ZIMMERMAN|203-983-5600|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/20/1993|0|0|0|0|0|0
Boston Regional Office| 108492|801-55105|FAIRVIEW CAPITAL PARTNERS II LP|FAIRVIEW CAPITAL PARTNERS II LP|75 ISHAM ROAD|SUITE 200|WEST HARTFORD CT 06107|USA|||  ||DOUGLAS BOAINS|860-674-8066|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/05/1997|0|0|0|0|0|0
Boston Regional Office| 108499|801-57266|RONEY CAPITAL MANAGEMENT|RONEY CAPITAL MANAGEMENT LLC|10 POST OFFICE SQUARE|SUITE 325|BOSTON MA 02109|USA|||  ||JOHN EDWARD RONEY|617-482-0522|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/11/2000|0|0|0|0|0|0
Boston Regional Office| 108522|801-56031|OECHSLE INTERNATIONAL ADVISORS, LLC|OECHSLE INTERNATIONAL ADVISORS, LLC|125 HIGH STREET|OLIVER TOWER, 20TH FLOOR|BOSTON MA 02110|USA|||  ||JOSEPH FRANCIS STOWELL III|617-330-8810|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|10/08/1998|0|1|1|0|0|0
Boston Regional Office| 108526|801-30067|MARTINGALE ASSET MANAGEMENT|MARTINGALE ASSET MANAGEMENT LP|222 BERKELEY ST|19TH FLOOR|BOSTON MA 02116|USA|||  ||PATRICIA J. O'CONNOR|(617) 424-4700|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/07/1987|0|0|0|0|0|0
Boston Regional Office| 108539|801-37422|QUANTITATIVE FINANCIAL STRATEGIES INC|QUANTITATIVE FINANCIAL STRATEGIES INC|10 GLENVILLE STREET||GREENWICH CT 06831|USA|||  ||DAVID ZIMMERMAN|203-983-5600|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/05/1990|0|0|0|0|0|0
Boston Regional Office| 108543|801-55668|LANDMARK EQUITY ADVISORS LLC|LANDMARK EQUITY ADVISORS LLC|10 MILL POND LANE||SIMSBURY CT 06070-2429|USA|||  ||ANTOINETTE LAZARUS|860-651-9760|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|07/15/1998|0|1|1|0|0|0
Boston Regional Office| 108572|801-54328|FRANKLIN PORTFOLIO ASSOCIATES LLC|FRANKLIN PORTFOLIO ASSOCIATES LLC|ONE BOSTON PLACE|34TH FLOOR|BOSTON MA 02108-4407|USA|||  ||GREGG E. PENDERGAST|617-248-4526|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/24/1997|0|0|0|0|0|0
Boston Regional Office| 108577|801-55929|PLASTRIDGE JOEL FLETCHER|PLASTRIDGE JOEL FLETCHER|44 MERRIMAC STREET||NEWBURYPORT MA 01950|USA|||  ||MONICA TAFT|978-499-3841|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/05/1998|0|0|0|0|0|0
Boston Regional Office| 108586|801-57460|TA REALTY LLC|TA REALTY LLC|28 STATE ST  10TH FLOOR||BOSTON MA 02109|USA|||  ||SCOTT L. DALRYMPLE|(617) 476-2773|Limited Liability Company|Pension consulting services, Other|APPROVED|04/11/2000|0|0|0|0|0|0
Boston Regional Office| 108614|801-55553|HTG INVESTMENT ADVISORS INC|HTG INVESTMENT ADVISORS INC|50 LOCUST AVENUE||NEW CANAAN CT 06840|USA|||  ||H. THOMAS GNUSE|(203) 972-8262|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/14/1998|0|0|0|0|0|0
Boston Regional Office| 108615|801-58109|RENAISSANCE INVESTMENT GROUP, LLC|RENAISSANCE INVESTMENT GROUP, LLC|222 SOUTH STREET, SUITE 201||PITTSFIELD MA 01201|USA|||  ||THOMAS E. MALINOWSKI|(413)445-2481|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/09/2000|0|0|0|0|0|0
Boston Regional Office| 108617|801-3447|FMR CO., INC.|FMR CO., INC.|82 DEVONSHIRE STREET V10G||BOSTON MA 02109|USA|82 DEVONSHIRE STREET V10G||BOSTON MA 02109|USA|CYNTHIA NG|617-563-7345|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|04/29/1964|0|9|0|0|0|0
Boston Regional Office| 108622|801-34265|SALEM CAPITAL MANAGEMENT INC|SALEM CAPITAL MANAGEMENT INC|200 UNICORN PARK DRIVE||WOBURN MA 01801|USA|||  ||PALLAVI DEDHIA|781-932-9005|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/20/1989|0|0|0|0|0|0
Boston Regional Office| 108633|801-53421|AEW CAPITAL MANAGEMENT LP|AEW CAPITAL MANAGEMENT LP|WORLD TRADE CENTER EAST|TWO SEAPORT LANE|BOSTON MA 02210-2021|USA|||  ||JAMES J. FINNEGAN|(617) 261-9000|Partnership|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|12/09/1996|0|14|1|0|0|0
Boston Regional Office| 108638|801-48034|AEW MANAGEMENT & ADVISORS LP|AEW MANAGEMENT & ADVISORS LP|WORLD TRADE CENTER EAST|TWO SEAPORT LANE|BOSTON MA 02210|USA|||  ||JAMES J. FINNEGAN|(617) 261-9000|Partnership|Portfolio management for investment companies|APPROVED|12/12/1994|0|14|1|0|0|0
Boston Regional Office| 108666|801-55446|BELL ASSET MANAGEMENT USA INC|BELL ASSET MANAGEMENT USA INC|ONE GLENGINNING PLACE||WESTPOINT CT 06880|USA|LEVEL 20 367 COLLINS STREET||MELBOURNE  3000|AUSTRALIA|LEE-ANNE CASHMAN|613-8612-7114|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/12/1998|0|0|0|0|0|0
Boston Regional Office| 108686|801-56015|PEQUOT CAPITAL MANAGEMENT INC|PEQUOT CAPITAL MANAGEMENT INC|500 NYALA FARM ROAD||WESTPORT CT 06880|USA|||  ||FRANK CURLEY|203-429-2224|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/23/1998|0|1|4|0|0|0
Boston Regional Office| 108705|801-55956|RETIREMENT PLANNING CO OF NEW ENGLAND INC|RETIREMENT PLANNING CO OF NEW ENGLAND INC|1287 POST ROAD||WARWICK RI 02888|USA|||  ||SAM PAPPAS|401-453-5558|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/13/1998|0|1|0|0|0|0
Boston Regional Office| 108711|801-56485|WAINWRIGHT INVESTMENT COUNSEL LLC|WAINWRIGHT INVESTMENT COUNSEL LLC|ONE BOSTON PLACE||BOSTON MA 02108|USA|||  ||ANNE P. BUCKLEY|(617) 531-3141|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|06/18/1999|0|16|0|0|0|0
Boston Regional Office| 108720|801-63385|SENTINEL ADVISORY CORP|SENTINEL ADVISORY CORP|396 NORTH STREET||HYANNIS MA 02601|USA|||  ||BRUCE P. ESHBAUGH|508-778-5752|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/07/2004|0|0|0|0|0|0
Boston Regional Office| 108726|801-55118|WEXFORD CAPITAL LLC|WEXFORD CAPITAL LLC|411 W PUTNAM AVE|SUITE 125|GREENWICH CT 06830|USA|||  ||JAY L. MAYMUDES|203-862-7050|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/19/1997|0|0|0|0|0|0
Boston Regional Office| 108727|801-56233|RUTABAGA CAPITAL MANAGEMENT LLC|RUTABAGA CAPITAL MANAGEMENT LLC|64 BROAD STREET||BOSTON MA 02109|USA|||  ||DANA COHEN|617-204-1160|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/28/1999|0|0|0|0|0|0
Boston Regional Office| 108742|801-57744|MARK SHEPTOFF FINANCIAL PLANNING LLC|MARK SHEPTOFF FINANCIAL PLANNING LLC|111 NEW LONDON TURNPIKE||GLASTONBURY CT 06033|USA|||  ||MARK SHEPTOFF|860-659-0357|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/11/2000|0|0|0|0|0|0
Boston Regional Office| 108756|801-57495|STRUCTURED PORTFOLIO MANAGEMENT, L.L.C|STRUCTURED PORTFOLIO MANAGEMENT, L.L.C|CLEARWATER HOUSE|2187 ATLANTIC ST 4TH FL|STAMFORD CT 06902|USA|||  ||JENELLE SCANLON|203-351-2870|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/18/2000|0|0|0|0|0|0
Boston Regional Office| 108763|801-55953|US FINANCIAL ADVISORS, LLC|U.S. FINANCIAL ADVISORS, LLC|139 WOOD RD||BRAINTREE MA 02184|USA|||  ||CHRISTOPHER MORTARA|781-849-9200  XT. 231|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|10/09/1998|0|3|1|0|0|0
Boston Regional Office| 108804|801-28216|GATEWAY ASSET MANAGEMENT CO., INC.|GATEWAY ASSET MANAGEMENT CO., INC.|140 ELM STREET||NEW CANAAN CT 06840|USA|||  ||JACK N. BONNE|203 972-8290|Corporation|Other|APPROVED|11/10/1994|0|0|0|0|0|0
Boston Regional Office| 108821|801-57694|WILTON ASSET MANAGEMENT LLC|WILTON ASSET MANAGEMENT LLC|C/O STATE STREET GLOBAL ADVISORS ATTN: JOE LYONS|STATE STREET FINANCIAL CENTER,ONE LINCOLN STREET|BOSTON MA 02111-2900|USA|||  ||JOSEPH M. LYONS|617 664-2934|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/30/2000|0|0|0|0|0|0
Boston Regional Office| 108849|801-56815|BOGLE INVESTMENT MANAGEMENT, L.P.|BOGLE INVESTMENT MANAGEMENT L P|2310 WASHINGTON ST.|SUITE 310|NEWTON LOWER FALLS MA 02462|USA|||  ||LISA A. LAFRANCE|781-283-5000|Partnership|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/27/1999|0|0|0|0|0|0
Boston Regional Office| 108853|801-56250|BALLENTINE FINN & CO INC|BALLENTINE FINN & CO INC|55 MILL STREET||WOLFEBORO NH 03894|USA|PO BOX 1860||WOLFEBORO NH 03894|USA|ROY BALLENTINE|603-569-1717|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|02/03/1999|0|0|0|0|0|0
Boston Regional Office| 108868|801-15330|PROFESSIONAL PLANNING GROUP|NEW ENGLAND PROFESSIONAL PLANNING GROUP INC|9 GRANITE STREET||WESTERLY RI 02891|USA|||  ||DANIEL M. MAKIN|401-596-2800|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|07/18/1980|0|0|0|0|0|0
Boston Regional Office| 108896|801-62851|KLEOS CAPITAL MANAGEMENT, INC.|KLEOS CAPITAL MANAGEMENT, INC.|71 ROWAYTON AVENUE||NORWALK CT 06853|USA|||  ||ROBERT N. LOUD|203-604-1190|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/05/2004|0|0|0|0|0|0
Boston Regional Office| 108897|801-40532|AST INVESTMENT SERVICES, INC.|AST INVESTMENT SERVICES, INC.|ONE CORPORATE DRIVE||SHELTON CT 06484|USA|||  ||KATHYRN L. QUIRK|(973) 367-7525|Corporation|Portfolio management for investment companies, Selection of other advisers|APPROVED|01/10/1992|0|1|0|0|0|0
Boston Regional Office| 108915|801-40425|MORRIS & MORSE CO INC|MORRIS & MORSE CO INC|66 LONG WHARF, 4TH FLOOR||BOSTON MA 02110|USA|||  ||GARLAN MORSE, JR.|617-723-6404|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Other|APPROVED|01/09/1992|0|0|0|0|0|0
Boston Regional Office| 108987|801-56484|PHOENIX VARIABLE ADVISORS, INC.|PHOENIX VARIABLE ADVISORS, INC.|ONE AMERICAN ROW||HARTFORD CT 06102-5056|USA|||  ||DOREEN BONNER|(860) 403-5456|Corporation|Portfolio management for investment companies, Selection of other advisers|APPROVED|04/28/1999|0|24|1|0|0|0
Boston Regional Office| 109013|801-56822|NAVIGATOR INVESTMENT MANAGEMENT, LLC|NAVIGATOR INVESTMENT MANAGEMENT, LLC|10 WEYBOSSET STREET||PROVIDENCE RI 02903|USA|||  ||TODD LINDMARK|401-455-1230|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|09/10/1999|0|0|0|0|0|0
Boston Regional Office| 109049|801-64095|LEDGEWOOD ADVISORS, LLC|LEDGEWOOD ADVISORS, LLC|92 PORTSMOUTH AVENUE|SUITE 15|EXETER NH 03833|USA|||  ||ROBERT WOFCHUCK|603-773-0080|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/15/2005|0|0|0|0|0|0
Boston Regional Office| 109094|801-57880|OLD HARBOR CAPITAL MANAGEMENT LLC|OLD HARBOR CAPITAL MANAGEMENT LLC|TEN POSTOFFICE SQUARE|SUITE 1220|BOSTON MA 02109-4002|USA|||  ||JAMES B. CRAVER|617-951-9213|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/21/2000|0|0|0|0|0|0
Boston Regional Office| 109096|801-57485|L.F. HOWARD ASSOCIATES INC|L.F. HOWARD ASSOCIATES INC|31 SAINT JAMES AVE. SUITE 760||BOSTON MA 02116|USA|||  ||SUSANNE C. HOWARD|617-292-2700|Corporation|Portfolio management for individuals and/or small businesses, Other|APPROVED|04/24/2000|0|0|0|0|0|0
Boston Regional Office| 109114|801-56304|SKM WEALTH MANAGEMENT LLC|SKM WEALTH MANAGEMENT LLC|55 DORRANCE ST||PROVIDENCE RI 02903-2220|USA|||  ||JASON ERIC ARCHAMBAULT|401-331-1575|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/15/1999|0|0|0|0|0|0
Boston Regional Office| 109115|801-54883|CORRIGAN FINANCIAL INC|CORRIGAN FINANCIAL INC|747 AQUIDNECK AVE||MIDDLETOWN RI 02842-7223|USA|||  ||DAVID B. SILVIA|401-849-9313|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|09/01/1997|0|0|0|0|0|0
Boston Regional Office| 109120|801-55328|IFR MARKETS, THOMSON MUNICIPAL MARKET DATA, THOMSON SQUAWK BOX|THOMSON GLOBAL MARKETS INC|22 THOMSON PLACE||BOSTON MA 02210|USA|||  ||JEOFFREY HALL|617-856-2886|Corporation|Publication of periodicals or newsletters, Market timing services, Other|APPROVED|03/10/1998|0|0|0|0|0|0
Boston Regional Office| 109127|801-54256|PORTLAND GLOBAL ADVISORS LLC|PORTLAND GLOBAL ADVISORS LLC|217 COMMERCIAL ST|SUITE 400|PORTLAND ME 04101|USA|||  ||DEREK JASKULSKI|207 773-2773|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|04/11/1997|0|0|0|0|0|0
Boston Regional Office| 109203|801-57122|NEW ENGLAND CAPITAL FINANCIAL ADVISORS LLC|NEW ENGLAND CAPITAL FINANCIAL ADVISORS LLC|79 MAIN STREET||SOUTH MERIDEN CT 06451|USA|||  ||CHRISTOPHER W. BEALE|203 935-0265|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/30/1999|0|0|0|0|0|0
Boston Regional Office| 109215|801-56408|NORTHERN NECK INVESTORS CORPORATION|NORTHERN NECK INVESTORS CORPORATION|82 DEVONSHIRE STREET, V10G||BOSTON MA 02109|USA|82 DEVONSHIRE STREET, V10G||BOSTON MA 02109|USA|CYNTHIA NG|617-563-7345|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/08/2005|0|6|0|0|0|0
Boston Regional Office| 109217|801-41918|SINGER POTITO ASSOCIATES INC|SINGER POTITO ASSOCIATES INC|116 HARKNESS ROAD||PELHAM MA 01002|USA|P.O. BOX 2067||AMHERST MA 01004|USA|HOWARD SINGER|413-256-1225|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/13/1992|0|0|0|0|0|0
Boston Regional Office| 109221|801-55217|J. WILLIAM MANTZ INVESTMENT ADVISORS LLC|J. WILLIAM MANTZ INVESTMENT ADVISORS LLC|87 ELM ST||DANVERS MA 01923|USA|||  ||J WILLIAM MANTZ|978-777-6300|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/18/1998|0|0|0|0|0|0
Boston Regional Office| 109223|801-57949|JOHANSEN GROUP, INC.|JOHANSEN GROUP, INC.|28 NORTH MAIN STREET|SUITE 201|WEST HARTFORD CT 06107-1992|USA|||  ||DONALD G. JOHANSEN|860-521-8744|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|09/25/2000|0|0|0|0|0|0
Boston Regional Office| 109283|801-57992|UT INVESTMENT MANAGEMENT CORP.|UT INVESTMENT MANAGEMENT CORP.|1 FINANCIAL PLAZA||HARTFORD CT 06101|USA|||  ||RICHARD KAPLAN|860-728-7882|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|12/01/2000|0|0|0|0|0|0
Boston Regional Office| 109291|801-56179|US ADVISORY GROUP INC|US ADVISORY GROUP INC|301 EDGEWATER PLACE|SUITE 410|WAKEFIELD MA 01880|USA|||  ||FREDERICK MCDONALD|781-246-0222|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/29/1999|0|0|0|0|0|0
Boston Regional Office| 109294|801-57530|DAVID WITHERBEE & ASSOCIATES, INC.|DAVID WITHERBEE & ASSOCIATES, INC.|45 WALDEN STREET||CONCORD MA 01742|USA|||  ||DAVID WITHERBEE|978-371-2551|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|04/28/2000|0|0|0|0|0|0
Boston Regional Office| 109306|801-57082|MARATHON CAPITAL GROUP, LLC|MARATHON CAPITAL GROUP LLC|30 ROWES WHARF|SUITE 410|BOSTON MA 02110|USA|||  ||THOMAS NEAL O'CONNOR|617-292-2500|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Other|APPROVED|12/21/1999|0|1|0|0|0|0
Boston Regional Office| 109309|801-55183|RENEWABLE RESOURCES LLC|GMO RENEWABLE RESOURCES, LLC|77 FRANKLIN STREET||BOSTON MA 02110-3327|USA|||  ||JUDITH T. LYDEN|617-346-7528|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/15/1998|0|0|0|0|0|0
Boston Regional Office| 109320|801-56449|GMO AUSTRALASIA LLC|GMO AUSTRALASIA LLC|40 ROWES WHARF||BOSTON MA 02110-3327|USA|||  ||JUDITH T. LYDEN|617-346-7528|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|04/16/1999|0|0|0|0|0|0
Boston Regional Office| 109332|801-57673|AMERICAN PLANNING GROUP INC|AMERICAN PLANNING GROUP INC|666 GLENBROOK ROAD||STAMFORD CT 06906|USA|||  ||ROBERT HENRY RUNDE|203-323-6666|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/20/2000|0|0|0|0|0|0
Boston Regional Office| 109355|801-55094|MDT ADVISERS, A DIVISION OF FEDERATED MDTA LLC|FEDERATED MDTA LLC|125 HIGH STREET|21ST FLOOR|BOSTON MA 02110|USA|||  ||BRIAN P. BOUDA|412-288-8634|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/13/1997|0|2|0|0|0|0
Boston Regional Office| 109365|801-56174|YANKEE ADVISERS LLC|YANKEE ADVISERS LLC|404 WYMAN STREET|SUITE 365|WALTHAM MA 02451|USA|||  ||MARK P. MCGRAW|781-895-9994|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/29/1999|0|0|0|0|0|0
Boston Regional Office| 109390|801-66638|PRI FINANCIAL ADVISORS, INC.|PRI FINANCIAL ADVISORS, INC.|479 WASHINGTON ST., SUITE 4||HOLLISTON MA 01746-1828|USA|||  ||BRUCE W. HARDY|5084290975|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/03/2006|0|0|0|0|0|0
Boston Regional Office| 109396|801-57721|SENTINEL ASSET MANAGEMENT, INC.|SENTINEL ASSET MANAGEMENT, INC.|ONE NATIONAL LIFE DRIVE||MONTPELIER VT 05604|USA|||  ||D. RUSSELL MORGAN|(802) 229-3113|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/11/2000|0|3|0|0|0|0
Boston Regional Office| 109405|801-57508|WINDWARD INVESTMENT MANAGEMENT INC|WINDWARD INVESTMENT MANAGEMENT INC|60 STATE STREET, SUITE 3600||BOSTON MA 02109|USA|||  ||DENISE LYNN KAMPF|617-241-8600|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|04/14/2000|0|0|0|0|0|0
Boston Regional Office| 109420|801-57193|GRIMES & COMPANY, INC.|GRIMES & COMPANY, INC.|110 TURNPIKE RD|SUITE 100|WESTBOROUGH MA 01581|USA|||  ||TIMOTHY GRIMES/GERALD CONNOLLY|508-366-3883|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/28/2000|0|0|0|0|0|0
Boston Regional Office| 109445|801-56937|INVESTMENT ADVISORY GROUP|INVESTMENT ADVISORY GROUP|51 MILL ST BLDG D STE 101||HANOVER MA 02339|USA|||  ||JAY RICHARDS|781-826-1235|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|12/03/1999|0|0|0|0|0|0
Boston Regional Office| 109449|801-57149|GRAMERCY ADVISORS, L.L.C.|GRAMERCY ADVISORS, L.L.C.|20 DAYTON AVENUE||GREENWICH CT 06830|USA|||  ||ROBERT LANAVA|203-552-1902|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/27/2000|0|0|0|0|0|0
Boston Regional Office| 109465|801-10330|J.W. SWENSON INVESTMENT COUNSEL|SWENSON JACK WENDELL|30 COLPITTS RD||WESTON MA 02493|USA|PO BOX 348|30 COLPITTS ROAD|WESTON MA 02493|USA|JACQUELINE DUNNING|781-899-4853|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|11/20/1974|0|1|0|0|0|0
Boston Regional Office| 109498|801-56159|PIOT ASSOCIATES LLC|PIOT ASSOCIATES LLC|231 REACH RD||SEDGWICK ME 04676-0979|USA|||  ||JOHN PIOT|800-210-7468|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/08/1999|0|0|0|0|0|0
Boston Regional Office| 109530|801-55245|BAUPOST GROUP LLC|BAUPOST GROUP LLC|10 ST. JAMES AVENUE, SUITE 1700||BOSTON MA 02116|USA|||  ||SCOTT A. STONE|(617) 210-8300|Limited Liability Company|Other|APPROVED|01/02/1998|0|0|0|0|0|0
Boston Regional Office| 109531|801-58102|FINANCIAL MANAGEMENT ASSOCIATES, LLC|FINANCIAL MANAGEMENT ASSOCIATES, LLC|33 RAILROAD AVENUE||DUXBURY MA 02332|USA|||  ||JAMES MARC MORRIS, CCO|781-934-7880|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|11/01/2000|0|0|0|0|0|0
Boston Regional Office| 109582|801-57294|NORTHCOAST ASSET MANAGEMENT LLC|NORTHCOAST ASSET MANAGEMENT LLC|35 MASON STREET||GREENWICH CT 06830-5433|USA|||  ||J. RICHARD SEMELS|203-629-8135|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/22/2000|0|0|0|0|0|0
Boston Regional Office| 109588|801-56678|KRAUSS WHITING CAPITAL ADVISORS LLC|KRAUSS WHITING CAPITAL ADVISORS LLC|4 LANDMARK SQUARE||STAMFORD CT 06901-2500|USA|||  ||THEODORE A. KRAUSS|203.964.1700|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|07/16/1999|0|0|0|0|0|0
Boston Regional Office| 109604|801-55107|SACAJAWEA & CO, LLP|SACAJAWEA & CO, LLP|148 LINDEN STREET, SUITE 204||WELLESLEY MA 02482-7904|USA|||  ||WILLIAM H. WREAN JR.|781-237-9290|Limited Liability Partnership|Portfolio management for individuals and/or small businesses|APPROVED|01/09/1998|0|0|0|0|0|0
Boston Regional Office| 109605|801-56651|AXIOM INTERNATIONAL INVESTORS LLC|AXIOM INTERNATIONAL INVESTORS LLC|55 RAILROAD AVE, 3RD FLOOR||GREENWICH CT 06830|USA|||  ||DENISE M. ZAMBARDI|203 422-8040|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/01/1999|0|0|0|0|0|0
Boston Regional Office| 109621|801-57975|VISION INVESTMENT ADVISORS, LLC|VISION INVESTMENT ADVISORS, LLC|4 HIGH RIDGE PARK|SUITE 100|STAMFORD CT 06905|USA|||  ||HOWARD M. ROTHMAN|203-388-2660|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|09/22/2000|0|0|0|0|0|0
Boston Regional Office| 109641|801-57981|HANCOCK NATURAL RESOURCE GROUP, INC|HANCOCK NATURAL RESOURCE GROUP, INC|99 HIGH STREET|26TH FLOOR|BOSTON MA 02110|USA|||  ||MICHAEL J. MORGAN|617-747-1560|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|10/23/2000|0|32|1|0|0|0
Boston Regional Office| 109662|801-43579|FUNDQUEST INCORPORATED|FUNDQUEST INCORPORATED|1 WINTHROP SQUARE||BOSTON MA 02110-1209|USA|||  ||SCOTT DONNELLY|617-406-2123|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/25/1993|0|0|0|0|0|0
Boston Regional Office| 109663|801-51879|J A GIBBONS LLC|J A GIBBONS LLC|177 RAILROAD AVENUE|UNIT A|GREENWICH CT 06830|USA|||  ||JOHN A. GIBBONS, JR.|203-661-4369|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/06/1996|0|0|0|0|0|0
Boston Regional Office| 109678|801-63055|ALTRINSIC GLOBAL ADVISORS, LLC|ALTRINSIC GLOBAL ADVISORS, LLC|100 FIRST STAMFORD PLACE|6TH FLOOR EAST|STAMFORD CT 06902|USA|||  ||DEBORAH JUDD|203-324-6900|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|04/20/2004|0|0|0|0|0|0
Boston Regional Office| 109684|801-39938|SUN CAPITAL ADVISERS LLC|SUN CAPITAL ADVISERS LLC|ONE SUN LIFE EXECUTIVE PARK|SC 2335|WELLESLEY HILLS MA 02481-5699|USA|||  ||MAURA A. MURPHY|781-446-1867|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|10/28/1991|0|3|0|0|0|0
Boston Regional Office| 109767|801-9168|CONTRAVISORY INVESTMENT MANAGEMENT, INC.|CONTRAVISORY INVESTMENT MANAGEMENT, INC.|99 DERBY STREET|SUITE 302|HINGHAM MA 02043|USA|||  ||MATTHEW B. SULLIVAN|781-740-1786|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|03/25/1973|0|0|0|0|0|0
Boston Regional Office| 109776|801-33044|NEW GENERATION ADVISORS, LLC|NEW GENERATION ADVISORS, LLC|225 FRIEND STREET|SUITE 801|BOSTON MA 02114|USA|||  ||GEORGE PUTNAM|617-573-9550|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/22/1988|0|0|0|0|0|0
Boston Regional Office| 109783|801-17824|HANCOCK VENTURE PARTNERS, INC.|HANCOCK VENTURE PARTNERS, INC.|ONE FINANCIAL CENTER, 44TH FL||BOSTON MA 02111|USA|||  ||MARTHA D. VORLICEK|617-348-3709|Corporation|Other|APPROVED|11/01/1982|0|31|1|0|0|0
Boston Regional Office| 109794|801-57894|U.S. TRUST HEDGE FUND MANAGEMENT, INC.|U.S. TRUST HEDGE FUND MANAGEMENT, INC.|225 HIGH RIDGE ROAD|WEST BUILDING|STAMFORD CT 06905|USA|||  ||ALPESH RATHOD|646-313-8680|Corporation|Portfolio management for investment companies|APPROVED|08/28/2000|0|7|0|0|0|0
Boston Regional Office| 109824|801-49090|CARDINAL CAPITAL MANAGEMENT, L.L.C.|CARDINAL CAPITAL MANAGEMENT, L.L.C.|ONE GREENWICH OFFICE PARK||GREENWICH CT 06831|USA|||  ||AMY MINELLA|203-863-8981|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/27/1995|0|0|0|0|0|0
Boston Regional Office| 109829|801-43656|SUCCESSFUL MONEY STRATEGIES INC|SUCCESSFUL MONEY STRATEGIES INC|10 NORTH MAIN STREET||FALL RIVER MA 02720|USA|||  ||DENNIS J. OKEEFE|(508) 730-2300|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/12/1993|0|0|0|0|0|0
Boston Regional Office| 109846|801-53287|HARBOURVEST PARTNERS, LLC|HARBOURVEST PARTNERS, LLC|ONE FINANCIAL CENTER, 44TH FLOOR||BOSTON MA 02111|USA|||  ||MARTHA D. VORLICEK|617-348-3709|Limited Liability Company|Other|APPROVED|11/25/1996|0|0|0|0|0|0
Boston Regional Office| 109871|801-60037|BOSTON PRIVATE VALUE INVESTORS, INC.|BOSTON PRIVATE VALUE INVESTORS, INC.|46 SOUTH MAIN ST.||CONCORD NH 03301-4855|USA|PO BOX 2090||CONCORD NH 03302-2090|USA|CAROL A. O'REILLY|603-226-6600|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters, Other|APPROVED|02/28/2001|0|2|0|0|0|0
Boston Regional Office| 109901|801-55783|SENTINEL PENSION ADVISORS INC|SENTINEL PENSION ADVISORS INC|55 WALKERS BROOK DRIVE||READING MA 01867|USA|||  ||JOSHUA MELTZER|781-914-1242|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|08/05/1998|0|0|0|0|0|0
Boston Regional Office| 109922|801-38517|LINCOLN CAPITAL CORP|LINCOLN CAPITAL CORP|40 WESTMINSTER STREET|SUITE 202|PROVIDENCE RI 02903|USA|||  ||RONALD E. ALBERT|401-454-3040|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|04/19/1991|0|0|0|0|0|0
Boston Regional Office| 109927|801-43403|LENK LADNER INVESTMENT SOLUTIONS LLC|LENK LADNER INVESTMENT SOLUTIONS LLC|896 MAIN STREET||OSTERVILLE MA 02655|USA|P.O. BOX 872||OSTERVILLE MA 02655|USA|GEOFFREY F. LENK|508-428-1645|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|03/12/1993|0|0|0|0|0|0
Boston Regional Office| 109945|801-47147|RENAISSANCE CAPITAL LLC|RENAISSANCE CAPITAL LLC|2 GREENWICH PLAZA||GREENWICH CT 06830|USA|||  ||LINDA R. KILLIAN|203-622-2978|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|08/18/1994|0|0|0|0|0|0
Boston Regional Office| 109962|801-55496|ESSEX INVESTMENT MANAGEMENT COMPANY, LLC|ESSEX INVESTMENT MANAGEMENT COMPANY, LLC|125 HIGH STREET|29TH FLOOR|BOSTON MA 02110-2702|USA|||  ||CHRISTOPHER P. MCCONNELL|617-342-3200|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|03/20/1998|0|0|0|0|0|0
Boston Regional Office| 109979|801-50707|CONTRARIAN CAPITAL MANAGEMENT LLC|CONTRARIAN CAPITAL MANAGEMENT LLC|411 WEST PUTNAM AVENUE, SUITE 425||GREENWICH CT 06830|USA|||  ||MICHAEL J RESTIFO|203-862-8207|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/15/1995|0|1|2|0|0|0
Boston Regional Office| 110003|801-43586|MANCHESTER CAPITAL MANAGEMENT LLC|MANCHESTER CAPITAL MANAGEMENT LLC|3657 MAIN STREET||MANCHESTER VT 05254|USA|PO BOX 416||MANCHESTER VT 05254|USA|BAYARD R. KRAFT III|802-362-4410|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters, Other|APPROVED|04/07/1993|0|0|0|0|0|0
Boston Regional Office| 110026|801-33273|S & CO., INC.|S & CO., INC.|50 CONGRESS STREET, ROOM 800||BOSTON MA 02109|USA|||  ||DUDLEY H. WILLIS|617-227-8660|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|11/10/1988|0|0|0|0|0|0
Boston Regional Office| 110037|801-55222|INTERACTIVE DATA PRICING AND REFERENCE DATA, INC.|INTERACTIVE DATA PRICING AND REFERENCE DATA, INC.|32 CROSBY DRIVE||BEDFORD MA 01730|USA|||  ||DEBORAH S. BECKER|(212) 497 - 3167|Corporation|Security ratings or pricing services|APPROVED|03/06/1998|0|1|0|0|0|0
Boston Regional Office| 110043|801-14337|AMERICAN INVESTMENT SERVICES INC|AMERICAN INVESTMENT SERVICES INC|250 DIVISION STREET||GREAT BARRINGTON MA 01230|USA|||  ||SETH HOFFMAN|413-528-1216|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Publication of periodicals or newsletters|APPROVED|02/05/1979|0|0|0|0|0|0
Boston Regional Office| 110045|801-17352|MFS INVESTMENT MANAGEMENT|MASSACHUSETTS FINANCIAL SERVICES COMPANY|500 BOYLSTON STREET||BOSTON MA 02116-3741|USA|||  ||ERICA BLAKE|617-954-6765|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/20/1982|0|13|1|0|0|0
Boston Regional Office| 110049|801-29384|APPLETON PARTNERS,INC.|APPLETON PARTNERS INC|45 MILK STREET, 8TH FLOOR||BOSTON MA 02109|USA|||  ||MICHELE D. HUBLEY|617 338 0700|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/10/1987|0|0|0|0|0|0
Boston Regional Office| 110050|801-55610|ALPHA WINDWARD LLC|ALPHA WINDWARD LLC|200 LOWDER BROOK DRIVE|SUITE 2400|WESTWOOD MA 02090-1178|USA|||  ||SAMUEL B. CARR, JR.|781-326-8880|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/10/1998|0|0|0|0|0|0
Boston Regional Office| 110116|801-55461|ASSET MANAGEMENT GROUP INC|ASSET MANAGEMENT GROUP INC|60 LONG RIDGE ROAD||STAMFORD CT 06902|USA|||  ||LEGRAND S. REDFIELD, JR.|203-964-8300|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/30/1998|0|0|0|0|0|0
Boston Regional Office| 110148|801-56403|STARWOOD CAPITAL GROUP MANAGEMENT, L.L.C.|STARWOOD CAPITAL GROUP MANAGEMENT, L.L.C.|591 WEST PUTNAM AVENUE||GREENWICH CT 06830|USA|||  ||MARIA J. D'AVANZO|203-422-7775|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Other|APPROVED|04/14/1999|0|0|0|0|0|0
Boston Regional Office| 110197|801-57337|BUFF CAPITAL MANAGEMENT|BUFF, GAYLE HELENE|111 HYDE STREET|ATTN; GAYLE BUFF|NEWTON MA 02461|USA|||  ||GAYLE H BUFF|617-641-2377|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|03/07/2000|0|0|0|0|0|0
Boston Regional Office| 110207|801-60051|PERFORMANCE EQUITY MANAGEMENT, LLC|PERFORMANCE EQUITY MANAGEMENT, LLC|TWO PICKWICK PLAZA|SUITE 310|GREENWICH CT 06830|USA|||  ||SCOTT G. KOEBER|(203) 742-2328|Limited Liability Company|Other|APPROVED|03/01/2001|0|0|1|0|0|0
Boston Regional Office| 110240|801-60043|TRUST AND FIDUCIARY MANAGEMENT SERVICES, INC.|TRUST AND FIDUCIARY MANAGEMENT SERVICES, INC.|33 BROAD STREET, SUITE 402||BOSTON MA 02109|USA|||  ||ELIJAH A. MARTIN-MERRILL|617-896-3698|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/23/2001|0|0|0|0|0|0
Boston Regional Office| 110245|801-57579|033 ASSET MANAGEMENT LLC|033 ASSET MANAGEMENT LLC|125 HIGH ST 14TH FLOOR|SUITE 1405|BOSTON MA 02110|USA|||  ||LAWRENCE LONGO|617-371-2015|Limited Liability Company|Other|APPROVED|05/12/2000|0|0|0|0|0|0
Boston Regional Office| 110265|801-57760|KDP ASSET MANAGEMENT INC|KDP ASSET MANAGEMENT INC|24 ELM STREET||MONTPELIER VT 05602|USA|||  ||THOMAS B. BLACKSTONE, CPA|(802) 223-0544|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/25/2000|0|0|0|0|0|0
Boston Regional Office| 110303|801-3548|ACCOUNT MANAGEMENT, LLC|ACCOUNT MANAGEMENT, LLC|17 ARLINGTON STREET||BOSTON MA 02116|USA|||  ||CHRISTOPHER DE ROETTH|617 236-4201|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/15/1975|0|1|0|0|0|0
Boston Regional Office| 110310|801-55104|FDO PARTNERS|FDO PARTNERS LLC|134 MT. AUBURN STREET||CAMBRIDGE MA 02138|USA|||  ||PAUL O'CONNELL|617-503-4611|Limited Liability Company|Other, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/05/1997|0|0|0|0|0|0
Boston Regional Office| 110360|801-69318|NAUSET WEALTH MANAGEMENT, LLC|NAUSET WEALTH MANAGEMENT, LLC|83 RICHMONDVILLE AVENUE||WESTPORT CT 06880|USA|||  ||MICHAEL R. LOMBARDO|203-454-7328|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/30/2008|0|0|0|0|0|0
Boston Regional Office| 110361|801-60134|NORTHEAST FINANCIAL CONSULTANTS, INC|NORTHEAST FINANCIAL CONSULTANTS, INC|244 SAUGATUCK AVENUE||WESTPORT CT 06880|USA|P.O. BOX 2630||WESTPORT CT 06880|USA|ELWOOD B. DAVIS|203-226-8997|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/03/2001|0|1|0|0|0|0
Boston Regional Office| 110407|801-18403|WESTONFINANCIAL|WESTON FINANCIAL GROUP INC|40 WILLIAM ST|SUITE 100|WELLESLEY MA 02481|USA|||  ||NICOLE MARIE TREMBLAY|781-235-7055|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|02/11/1983|0|0|0|0|0|0
Boston Regional Office| 110446|801-33052|BISSET A G & CO INC|BISSET A G & CO INC|71 ROWAYTON AVE||ROWAYTON CT 06853|USA|||  ||DONALD G. FEENEY|203-866-3540|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters, Market timing services, Other|APPROVED|11/10/1988|0|0|0|0|0|0
Boston Regional Office| 110452|801-48035|BATTERYMARCH FINANCIAL MANAGEMENT INC|BATTERYMARCH FINANCIAL MANAGEMENT INC|JOHN HANCOCK TOWER|200 CLARENDON STREET|BOSTON MA 02116|USA|||  ||PHILIP E. CHANNEN|617-266-8300|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|12/27/1994|0|0|0|0|0|0
Boston Regional Office| 110455|801-50988|BROCKHOUSE & COOPER INTERNATIONAL INC|BROCKHOUSE & COOPER INTERNATIONAL INC|TEN POST OFFICE SQUARE|8TH FLOOR|BOSTON MA 02109|USA|||  ||RALPH E.W. LOADER|514 932-7171|Corporation|Pension consulting services, Selection of other advisers|APPROVED|01/31/1996|0|0|0|0|0|0
Boston Regional Office| 110462|801-9117|CONNECTICUT INVESTMENT MANAGEMENT|NEWALLIANCE INVESTMENTS INC|100 PEARL STREET|13TH FLOOR|HARTFORD CT 06103|USA|||  ||JOHN F. NEWMAN|203-784-5168|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/28/1973|0|1|0|0|0|0
Boston Regional Office| 110464|801-50959|NORTHERN TRUST GLOBAL ADVISORS INC|NORTHERN TRUST GLOBAL ADVISORS INC|300 ATLANTIC STREET|SUITE 400|STAMFORD CT 06901|USA|||  ||SUSAN J. HILL|312-557-3032|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/05/1996|0|0|0|0|0|0
Boston Regional Office| 110469|801-27759|CHRONOGRAM CORPORATION|CHRONOGRAM CORP|130 OLD CHURCH ROAD||GREENWICH CT 06830|USA|TWO SOUNDVIEW DRIVE|SUITE 100|GREENWICH CT 06830|U.S.A.|ELIZABETH HALEY ROCKWELL|203-661-2217|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|08/25/1986|0|0|0|0|0|0
Boston Regional Office| 110477|801-57191|VENUS CAPITAL MANAGEMENT INC|VENUS CAPITAL MANAGEMENT INC|99 SUMMER STREET, STE M100||BOSTON MA 02110|USA|||  ||AVI MEHTA|617-423-1901|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/21/2000|0|0|1|0|0|0
Boston Regional Office| 110480|801-11929|ROBERT A. ZOCK & CO.,INC.|ZOCK ROBERT A & CO INC|50 CONGRESS ST||BOSTON MA 02109|USA|98 BIRCH HILL ROAD||SUTTON NH 03278|USA|ROBERT A. ZOCK JR.|603-456-3106|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|09/10/1976|0|0|0|0|0|0
Boston Regional Office| 110484|801-55177|CREATIVE RESOURCES INVESTMENT ADVISORS LLC|CREATIVE RESOURCES INVESTMENT ADVISORS LLC|250F CENTERVILLE ROAD||WARWICK RI 02886|USA|||  ||RICHARD M. SPAZIANO|401-738-0070|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/28/1998|0|1|1|0|0|0
Boston Regional Office| 110526|801-15865|FARROW FINANCIAL INC|FARROW FINANCIAL INC|283 BOUDRO RD||RANDOLPH CENTER VT 05061|USA|||  ||JODY RICHARDS|802-728-4287|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/26/1981|0|0|0|0|0|0
Boston Regional Office| 110539|801-45014|WINDHAM CAPITAL MANAGEMENT, LLC|WINDHAM CAPITAL MANAGEMENT, LLC|5 REVERE STREET||CAMBRIDGE MA 02138|USA|||  ||LUCAS TURTON|617-576-7360|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|11/12/1993|0|0|0|0|0|0
Boston Regional Office| 110559|801-39737|PEAK FINANCIAL MANAGEMENT INC|PEAK FINANCIAL MANAGEMENT INC|281 WINTER STREET|SUITE 160|WALTHAM MA 02451|USA|||  ||PRAN N. TIKU|781-487-9500|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|08/30/1991|0|0|0|0|0|0
Boston Regional Office| 110562|801-37227|NEPC, LLC|NEPC, LLC|ONE MAIN STREET||CAMBRIDGE MA 02142|USA|||  ||TERRI SACRAMONE|617-374-1300|Limited Liability Company|Pension consulting services|APPROVED|08/23/1990|0|1|0|0|0|0
Boston Regional Office| 110601|801-14519|MEKETA INVESTMENT GROUP INC|MEKETA INVESTMENT GROUP INC|100 LOWDER BROOK DRIVE|SUITE 1100|WESTWOOD MA 02090-1150|USA|||  ||ALAN SPATRICK|781.471.3500|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|04/19/1979|0|0|0|0|0|0
Boston Regional Office| 110612|801-37963|BYSKO JOHN A ASSOCIATES|BYSKO JOHN A ASSOCIATES|100 HALLS ROAD||OLD LYME CT 06371|USA|||  ||JOHN A. BYSKO|860-434-3632|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/03/1991|0|0|0|0|0|0
Boston Regional Office| 110617|801-44864|PISCATAQUA RESEARCH INC.|PISCATAQUA RESEARCH INC.|1 NEW HAMPSHIRE AVENUE|SUITE 125|PORTSMOUTH NH 03801|USA|||  ||STEPHEN CHURCH|603-431-7872|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|10/05/1993|0|0|0|0|0|0
Boston Regional Office| 110657|801-31713|COMMONFUND CAPITAL, INC.|COMMONFUND CAPITAL, INC.|15 OLD DANBURY ROAD||WILTON CT 06897-0812|USA|15 OLD DANBURY ROAD|P.O. BOX 812|WILTON CT 06897-0812|USA|JAMES P. FEENEY|203-563-5128|Corporation|Selection of other advisers, Other|APPROVED|04/15/1988|6|0|0|0|0|0
Boston Regional Office| 110662|801-4782|WOODSTOCK CORPORATION|WOODSTOCK CORPORATION|27 SCHOOL STREET|SUITE 200|BOSTON MA 02108|USA|||  ||M. ELENA GILLESPIE|617-227-0600|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/04/1968|0|0|1|0|0|0
Boston Regional Office| 110689|801-56548|COMMONFUND ASSET MANAGEMENT COMPANY, INC.|COMMONFUND ASSET MANAGEMENT COMPANY, INC.|15 OLD DANBURY ROAD||WILTON CT 06897-0812|USA|15 OLD DANBURY ROAD|P.O. BOX 812|WILTON CT 06897-0812|USA|JAMES P. FEENEY|203-563-5128|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|06/15/1999|0|0|0|0|0|0
Boston Regional Office| 110693|801-54794|COMMONFUND REALTY, INC.|COMMONFUND REALTY, INC.|15 OLD DANBURY RD||WILTON CT 06897|USA|15 OLD DANBURY ROAD|P.O. BOX 812|WILTON CT 06897-0812|USA|JAMES P. FEENEY|203-563-5128|Corporation|Selection of other advisers, Other|APPROVED|08/14/1997|0|0|0|0|0|0
Boston Regional Office| 110743|801-47490|MULLANEY KEATING & WRIGHT INC|MULLANEY KEATING & WRIGHT INC|270 FARMINGTON AVENUE|SUITE 107|FARMINGTON CT 06032|USA|||  ||THOMAS F. MULLANEY, JR.|860-677-0777|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/21/1994|0|0|0|0|0|0
Boston Regional Office| 110823|801-40164|INVESTORS CAPITAL MANAGEMENT INC|INVESTORS CAPITAL MANAGEMENT INC|71 ROWAYTON AVENUE||ROWAYTON CT 06853|USA|||  ||ROBERT M. KOCK|203-857-4321|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Other|APPROVED|10/02/1991|0|0|0|0|0|0
Boston Regional Office| 110836|801-39935|EXCALIBUR MANAGEMENT CORP|EXCALIBUR MANAGEMENT CORP|3 POST OFFICE SQUARE, SUITE 700||BOSTON MA 02109-3905|USA|||  ||WAYNE D. WETZEL, JR.|617-451-6707|Corporation|Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|09/11/1991|0|0|0|0|0|0
Boston Regional Office| 110860|801-30558|DSI INTERNATIONAL MANAGEMENT, INC.|DSI INTERNATIONAL MANAGEMENT, INC.|ONE STAMFORD FORUM|201 TRESSER BLVD.|STAMFORD CT 06901|USA|||  ||JOSEPH MCGILL|(212)882-5367|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|10/09/1987|0|6|1|0|0|0
Boston Regional Office| 110901|801-17958|TRILLIUM ASSET MANAGEMENT CORP.|TRILLIUM ASSET MANAGEMENT CORP.|711 ATLANTIC AVENUE|4TH FLOOR|BOSTON MA 02111-2809|USA|||  ||SAMUEL B. JONES|617-423-6655|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/03/1982|0|0|0|0|0|0
Boston Regional Office| 110926|801-13834|COPLEY FINANCIAL SERVICES CORP|COPLEY FINANCIAL SERVICES CORP|315 PLEASANT STREET|5TH FLOOR|FALL RIVER MA 02721|USA|||  ||THOMAS C. HENRY, ESQ.|561-744-5932|Corporation|Portfolio management for investment companies|APPROVED|06/02/1978|0|0|0|0|0|0
Boston Regional Office| 110928|801-17579|PRENTISS SMITH & COMPANY, INC.|PRENTISS SMITH & COMPANY, INC.|45 WALNUT STREET||BRATTLEBORO VT 05301|USA|||  ||PRENTISS C. SMITH|(802)254-2913|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|09/10/1982|0|0|0|0|0|0
Boston Regional Office| 110950|801-30887|CRUICE FINANCIAL ORGANIZATION OR CRUICE FINANCIAL PLANNING|CRUICE INVESTMENT ADVISORS, LTD.|315 POST ROAD WEST, 1ST FLOOR||WESTPORT CT 06880|USA|PO BOX 1145||DARIEN CT 06820-1145|USA|J. S. H. CRUICE JR.|203-656-0033|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|11/13/1987|0|0|0|0|0|0
Boston Regional Office| 110958|801-24315|CAPITAL FORMATION GROUP, INC.|CAPITAL FORMATION GROUP, INC.|34 WASHINGTON STREET|SUITE 230|WELLESLEY HILLS MA 02481|USA|||  ||ANDREW LUCICH|(781)237-0123|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/22/1985|0|1|0|0|0|0
Boston Regional Office| 110988|801-9326|BENIN MANAGEMENT CORP|BENIN MANAGEMENT CORP|96 BALD HILL RD||WILTON CT 06897|USA|||  ||PETER M. BENIN|203-762-3295|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/04/1973|0|0|0|0|0|0
Boston Regional Office| 111004|801-26968|FINDELL & CO INC|FINDELL & CO INC|57 59 S MAIN ST||ROCHESTER NH 03867|USA|PO BOX 2036|57-59 SOUTH MAIN ST.|ROCHESTER NH 03866-2036|USA|GEORGE FINDELL, JR.|(603) 332-1696|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|05/09/1986|0|1|0|0|0|0
Boston Regional Office| 111037|801-52575|ATLANTIC ASSET MANAGEMENT, L.L.C.|ATLANTIC ASSET MANAGEMENT, L.L.C.|2187 ATLANTIC STREET, 8TH FL.||STAMFORD CT 06902|USA|||  ||JOSHUA BOGART|203-351-2835|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Market timing services|APPROVED|08/12/1996|0|0|0|0|0|0
Boston Regional Office| 111040|801-19944|ABBOT FINANCIAL MANAGEMENT, INC|ABBOT FINANCIAL MANAGEMENT, INC|510 TURNPIKE STREET|STE 101|NORTH ANDOVER MA 01845|USA|||  ||CHRISTINE ALLEN|978-688-9010|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|11/03/1983|0|0|0|0|0|0
Boston Regional Office| 111047|801-37540|PTS ASSET MANAGEMENT|PORTFOLIO TIMING SERVICE|879 CHURCH STREET|ROUTE 68|WALLINGFORD CT 06492|USA|879 CHURCH STREET - ROUTE 68||WALLINGFORD CT 06492|USA|WILLIAM WADSWORTH|203-269-9730|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/12/1990|0|0|0|0|0|0
Boston Regional Office| 111075|801-56887|PARKMAN SHAW & CO., INC.|PARKMAN SHAW & CO., INC.|19 COLCHESTER STREET||BROOKLINE MA 02446|USA|||  ||S. PARKMAN SHAW, JR.|(617) 731-5261|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/29/1999|0|1|0|0|0|0
Boston Regional Office| 111110|801-13730|HARRISON MANAGEMENT|HOGAN STEPHEN HARRISON|4 MAPLEWOOD DRIVE||DANBURY CT 06811|USA|||  ||STEPHEN H. HOGAN|203-778-9698|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|04/03/1978|0|0|0|0|0|0
Boston Regional Office| 111151|801-60089|MRJ CAPITAL, INC.|MRJ CAPITAL, INC.|C/O IRIDIAN ASSET MANAGEMENT LLC|276 POST ROAD WEST|WESTPORT CT 06880-4704|USA|||  ||MATT A. GREENBERG|(203) 341-9011|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|03/23/2001|0|0|0|0|0|0
Boston Regional Office| 111155|801-63175|FISCAL DYNAMICS INCORPORATED|FISCAL DYNAMICS INCORPORATED|314 FARMINGTON AVENUE||FARMINGTON CT 06032|USA|||  ||CANDACE WIESE|860-677-7153|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/07/2004|0|0|0|0|0|0
Boston Regional Office| 111163|801-43547|DOCK STREET ASSET MANAGEMENT INC|DOCK STREET ASSET MANAGEMENT INC|263 GLENVILLE RD||GREENWICH CT 06831|USA|||  ||DANIEL A. OGDEN|203-532-9470|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/19/1993|0|0|0|0|0|0
Boston Regional Office| 111185|801-38630|BLUM SHAPIRO FINANCIAL SERVICES INC|BLUM SHAPIRO FINANCIAL SERVICES INC|29 SOUTH  MAIN STREET||WEST HARTFORD CT 06107-2419|USA|P.O. BOX 272000||WEST HARTFORD CT 06127-2000|USA|LAWRENCE C. DAVIS|860-561-4000|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|05/02/1991|0|0|0|0|0|0
Boston Regional Office| 111242|801-60103|SSGA FUNDS MANAGEMENT, INC.|SSGA FUNDS MANAGEMENT, INC.|STATE STREET FINANCIAL CENTER|ONE LINCOLN STREET|BOSTON MA 02111-2900|USA|||  ||TRACY A. ATKINSON|617-664-9144|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/06/2001|0|0|0|0|0|0
Boston Regional Office| 111263|801-55132|ALTERNATIVE INVESTMENT GROUP SERVICES, L.P.|ALTERNATIVE INVESTMENT GROUP SERVICES, L.P.|2960 POST ROAD||SOUTHPORT CT 06890|USA|||  ||DAVID K. STORRS|203-256-9326|Partnership|Selection of other advisers|APPROVED|12/22/1997|0|0|0|0|0|0
Boston Regional Office| 111266|801-60136|BOSTON TRUST INVESTMENT MANAGEMENT, INC.|BOSTON TRUST INVESTMENT MANAGEMENT, INC.|ONE BEACON STREET|33RD FLOOR|BOSTON MA 02108|USA|||  ||SARAH T. KELLY|617-726-7049|Corporation|Portfolio management for investment companies|APPROVED|04/11/2001|0|0|0|0|0|0
Boston Regional Office| 111298|801-56633|ARROWSTREET CAPITAL, LIMITED PARTNERSHIP|ARROWSTREET CAPITAL, LIMITED PARTNERSHIP|200 CLARENDON STREET, 30TH FLOOR||BOSTON MA 02116|USA|||  ||VAITHEHI MUTTULINGAM|617 919-0000|Partnership|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|07/08/1999|0|0|0|0|0|0
Boston Regional Office| 111306|801-58147|EVERETT FINANCIAL GROUP|EVERETT CAPITAL MANAGEMENT, LLC|202 STATE STREET||NORTH HAVEN CT 06473|USA|||  ||FRANK ANTHONY LANDINO|203-281-4661|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|11/21/2000|0|1|0|0|0|0
Boston Regional Office| 111403|801-52546|LINCOLN MANAGEMENT|TOP O THE HILL CO LLC|531 CURVE STREET||CARLISLE MA 01741|USA|P.O. BOX 824||CARLISLE MA 01741|USA|DAVID ELIADES|978-369-9283|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|07/15/1996|0|0|0|0|0|0
Boston Regional Office| 111456|801-57133|FINANCIAL SOLUTIONS ASSOCIATES|PODOLSKY MARK STERN|990 WASHINGTON ST||DEDHAM MA 02026|USA|||  ||MARK S. PODOLSKY|781-251-0505|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/07/2000|0|0|1|0|0|0
Boston Regional Office| 111460|801-44412|STRUCTURED FINANCE ADVISORS, INC.|STRUCTURED FINANCE ADVISORS INC|17 TALCOTT NOTCH ROAD||FARMINGTON CT 06032|USA|||  ||JOSEPH A. LORUSSO|860-409-7171|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/30/1993|0|0|0|0|0|0
Boston Regional Office| 111464|801-35601|PENNFIELD CAPITAL CORP|PENNFIELD CAPITAL CORP|TWO MARKET STREET||RIDGEFIELD CT 06877|USA|||  ||RICHARD M. MOCK|203-438-1900|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/27/1989|0|0|0|0|0|0
Boston Regional Office| 111488|801-47973|RETIREMENT ALLIANCE, INC.|RETIREMENT ALLIANCE, INC.|77 PEARL STREET||MANCHESTER NH 03101|USA|||  ||KIM ST. PIERRE|603.647.5600|Corporation|Pension consulting services|APPROVED|12/05/1994|0|0|0|0|0|0
Boston Regional Office| 111497|801-60272|GROVE STREET ADVISORS|GROVE STREET ADVISORS, LLC|20 WILLIAM STREET|SUITE 230|WELLESLEY MA 02481|USA|||  ||ANN ST. GERMAIN|781-263-6140|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/21/2001|0|0|0|0|0|0
Boston Regional Office| 111604|801-57610|DIASTOLE WEALTH MANAGEMENT|DIASTOLE WEALTH MANAGEMENT, INC.|58 BOSTON STREET||GUILFORD CT 06437|USA|||  ||ELIZABETH D. EDEN|203-458-5220|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|05/24/2000|0|1|0|0|0|0
Boston Regional Office| 111614|801-62125|ADVICEONE ADVISORY SERVICES, LLC|ADVICEONE ADVISORY SERVICES, LLC|95 GLASTONBURY BLVD.||GLASTONBURY CT 06033|USA|||  ||MICHAEL P. GROSSMAN|860-659-4900|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/10/2003|0|0|0|0|0|0
Boston Regional Office| 111631|801-60301|MUNICREST INVESTMENT MANAGEMENT COMPANY, LLC|MUNICREST INVESTMENT MANAGEMENT COMPANY, LLC|100 ANDOVER BYPASS ROAD|SUITE 301|NORTH ANDOVER MA 01845|USA|||  ||JEFFREY D. SLATER|781-826-5655|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/23/2001|0|0|0|0|0|0
Boston Regional Office| 111656|801-60338|CASTLEKEEP INVESTMENT ADVISORS|CASTLEKEEP INVESTMENT ADVISORS LLC|257 RIVERSIDE AVENUE|2ND FLOOR|WESTPORT CT 06880-4806|USA|||  ||MARINA ROSENKRANTZ|203.682.7202|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|06/12/2001|0|0|0|0|0|0
Boston Regional Office| 111665|801-60641|J/M FINANCIAL ADVISERS, INC.|J/M FINANCIAL ADVISERS, INC.|6515 MAIN STREET,  SUITE 4||TRUMBULL CT 06611|USA|||  ||JAMES G. HOFMANN|203-261-7117|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|10/16/2001|0|0|0|0|0|0
Boston Regional Office| 111673|801-20657|RAMPART INVESTMENT MANAGEMENT|RAMPART INVESTMENT MANAGEMENT CO INC|1 INTERNATIONAL PLACE||BOSTON MA 02110-2634|USA|||  ||RONALD M. EGALKA|617-342-6900|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/13/1984|0|0|0|0|0|0
Boston Regional Office| 111729|801-42306|DILMUN INVESTMENT'S INC|DILMUN INVESTMENTS, INC|84 WEST PARK PLACE|4TH FLOOR|STAMFORD CT 06901|USA|||  ||JOHN TROVATO|203 406-0875|Corporation|Portfolio management for investment companies, Other|APPROVED|09/16/1992|0|0|0|0|0|0
Boston Regional Office| 111749|801-50360|NICHOLS ASSET MANAGEMENT, INC.|NICHOLS ASSET MANAGEMENT LLC|27 VIRGINIA RIDGE RD||SUDBURY MA 01776|USA|||  ||PATRICIA M. NICHOLS|978-440-8741|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|09/30/1995|0|0|0|0|0|0
Boston Regional Office| 111761|801-60595|WESTON CAPITAL ASSET MANAGEMENT LLC|WESTON CAPITAL ASSET MANAGEMENT LLC|264 RIVERSIDE AVENUE||WESTPORT CT 06880|USA|||  ||KEITH D. WELLNER|203.227.5533|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|09/21/2001|0|0|1|0|0|0
Boston Regional Office| 111773|801-43106|FOREST INVESTMENT MANAGEMENT, LLC|FOREST INVESTMENT MANAGEMENT, LLC|53 FOREST AVENUE||OLD GREENWICH CT 06870|USA|||  ||KEVIN T DUFFY JR.|203-637-6063|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/26/1993|0|0|0|0|0|0
Boston Regional Office| 111774|801-39989|ROGERSCASEY, INC.|ROGERSCASEY, INC.|ONE PARKLANDS DRIVE||DARIEN CT 06820|USA|||  ||ALAN J. RESLER|203-656-5900|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|12/05/1991|0|0|1|0|0|0
Boston Regional Office| 111806|801-27451|THE COLONY GROUP, LLC|THE COLONY GROUP, LLC|2 ATLANTIC AVENUE||BOSTON MA 02110|USA|||  ||VINCENT J. GRATCH, ESQ.|617 723 8200|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|08/01/1986|0|0|0|0|0|0
Boston Regional Office| 111809|801-58162|ALPHABRIDGE CAPITAL MANAGEMENT,LLC|ALPHABRIDGE CAPITAL MANAGEMENT, LLC|NINE GREENWICH OFFICE PARK||GREENWICH CT 06831|USA|||  ||THOMAS T. KUTZEN|203-422-6610|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/22/2000|0|0|0|0|0|0
Boston Regional Office| 111830|801-56801|ALLIED PROFESSIONAL ADVISORS INC.|ALLIED PROFESSIONAL ADVISORS INC.|ONE GRANITE PLACE||CONCORD NH 03301|USA|||  ||LORI WESTON|(603) 226-5371|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|09/07/1999|0|9|1|0|0|0
Boston Regional Office| 111831|801-60950|FINACCESS INTERNATIONAL, INC.|FINACCESS INTERNATIONAL, INC.|15 WALDEN STREET|SUITE 6|CONCORD MA 01742|USA|||  ||LAUREE CAMERON ECKLER|(978) 371-7044|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/13/2006|0|0|0|0|0|0
Boston Regional Office| 111840|801-43288|CROW HILL CAPITAL, LTD.|CROW HILL CAPITAL, LTD.|MOUNTAIN TOP FARM|89 MOUNTAIN SPRING ROAD|CHITTENDEN VT 05737|USA|||  ||STANLEY P. FISHKIN|802-483-9970|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|02/05/1993|0|0|0|0|0|0
Boston Regional Office| 111878|801-47516|COLUMBUS CIRCLE INVESTORS|COLUMBUS CIRCLE INVESTORS|METRO CENTER|ONE STATION PL, 8TH FLOOR SOUTH|STAMFORD CT 06902|USA|||  ||FRANK A. CUTTITA|203-353-6000|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/06/1994|0|0|0|0|0|0
Boston Regional Office| 111883|801-55543|AQR CAPITAL MANAGEMENT, LLC|AQR CAPITAL MANAGEMENT, LLC|TWO GREENWICH PLAZA|3RD FLOOR|GREENWICH CT 06830|USA|||  ||BRADLEY ASNESS|203-742-3605|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/13/1998|0|0|0|0|0|0
Boston Regional Office| 111895|801-60450|EFFICIENT FRONTIER ADVISORS LLC|EFFICIENT FRONTIER ADVISORS LLC|108 COUNTY ROAD||EASTFORD CT 06242-0237|USA|PO BOX 237||EASTFORD CT 06242-0237||SUSAN SHARIN|860-974-0888|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|08/03/2001|0|0|0|0|0|0
Boston Regional Office| 111908|801-60480|MONUMENT FINANCIAL ADVISORS, LLC|MONUMENT FINANCIAL ADVISORS, LLC|801 MAIN STREET, SUITE 14||CONCORD MA 01742|USA|||  ||MARK G. HUFFMAN|978-369-7705|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/14/2001|0|0|0|0|0|0
Boston Regional Office| 111980|801-53325|CYPRESSTREE INVESTMENT MANAGEMENT, LLP|CYPRESSTREE INVESTMENT MANAGEMENT, LLP|ONE BOSTON PLACE|16TH FLOOR|BOSTON MA 02108|USA|||  ||JOSEPH CANAVAN|617-371-9334|Limited Liability Partnership|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|12/11/1996|0|0|0|0|0|0
Boston Regional Office| 112000|801-60262|CAPITAL ADVISORS GROUP, INC|CAPITAL ADVISORS GROUP, INC|29 CRAFTS STREET|SUITE 270|NEWTON MA 02458|USA|||  ||KARI TONEY|617-630-8100|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|05/24/2001|0|0|0|0|0|0
Boston Regional Office| 112063|801-56836|FOREST SYSTEMS LLC|FOREST SYSTEMS LLC|51 MAIN ST.||NORTH EASTON MA 02356|USA|||  ||SCOTT SACCO|508-230-0404|Limited Liability Company|Pension consulting services|APPROVED|09/22/1999|0|0|0|0|0|0
Boston Regional Office| 112131|801-60327|D/B/A BURNS ADVISORY|EDWARD ELLIOTT BURNS, JR|46 POCAHONTAS ROAD||KITTERY POINT ME 03905|USA|965 REEF ROAD||VERO BEACH FL 32963-4303|USA|EDWARD E. BURNS, JR.|(207) 439-1423|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|06/12/2001|0|1|0|0|0|0
Boston Regional Office| 112160|801-56579|QUARVE ASSOCIATES, LLC|QUARVE ASSOCIATES, LLC|ONE ATLANTIC STREET||STAMFORD CT 06901|USA|||  ||FRANK G. WELCH, 3RD|203-356-1910|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/08/1999|0|1|0|0|0|0
Boston Regional Office| 112189|801-58172|HRH INVESTMENT ADVISORS, LLC|HRH INVESTMENT ADVISORS, LLC|39 OLD RIDGEBURY ROAD|SUITE 5|DANBURY CT 06810|USA|||  ||MATTHEW L. WHEELER|203-778-2800|Limited Liability Company|Pension consulting services, Selection of other advisers, Other|APPROVED|12/22/2000|0|0|0|0|0|0
Boston Regional Office| 112204|801-55264|GREAT POINT INVESTORS, LLC|GREAT POINT INVESTORS, LLC|TWO CENTER PLAZA|SUITE 410|BOSTON MA 02108|USA|||  ||GARY R. SCHWANDT|617-526-8800|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|02/20/1998|0|0|0|0|0|0
Boston Regional Office| 112205|801-45332|MAPLE LEAF INVESTMENT MANAGEMENT|MAPLE LEAF INVESTMENT MANAGEMENT INC|1441 MAIN STREET||SPRINGFIELD MA 01103|USA|||  ||CHRISTOPHER R. GAGNE|413-747-5400|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/14/1993|0|0|0|0|0|0
Boston Regional Office| 112243|801-58282|APEX INVESTMENT SERVICES, INC.|APEX INVESTMENT SERVICES, INC.|33-A PENDLETON DRIVE||HEBRON CT 06248-1512|USA|PO BOX 1322||HEBRON CT 06248-7322|USA|ALAN D. WOOSTER, CFP|860-228-0501|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/19/2001|0|0|0|0|0|0
Boston Regional Office| 112296|801-60240|FIELDSTONE FINANCIAL MANAGEMENT GROUP, LLC|FIELDSTONE FINANCIAL MANAGEMENT GROUP, LLC|101 FEDERAL STREET, SUITE 1900||BOSTON MA 02119|USA|P.O. BOX 834||MANSFIELD MA 02048|USA|KRISTOFOR R. BEHN, CFP|(508) 339-5550|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/23/2001|0|0|0|0|0|0
Boston Regional Office| 112302|801-60500|FEDERAL STREET PARTNERS, LLC|FEDERAL STREET PARTNERS, LLC|750 WASHINGTON BOULEVARD|6TH FLOOR|STAMFORD CT 06901|USA|||  ||EUGENE P. MARKOWSKI|203-961-0408|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|09/28/2001|0|0|0|0|0|0
Boston Regional Office| 112312|801-49607|HUTCHENS INVESTMENT MANAGEMENT INC|HUTCHENS INVESTMENT MANAGEMENT INC|99 N. STATE STREET||CONCORD NH 03301|USA|||  ||WILLIAM HUTCHENS|603-227-5256|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/10/1995|0|1|0|0|0|0
Boston Regional Office| 112323|801-21957|COMPASS CAPITAL CORPORATION|COMPASS CAPITAL CORPORATION|1 BATTERYMARCH PARK|SUITE 305|QUINCY MA 02169|UNITED STATES|1 BATTERYMARCH PARK|SUITE 305|QUINCY MA 02169|UNITED STATES|TIMOTHY F. SHANAHAN|(617) 657-0323|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|07/31/1984|0|0|0|0|0|0
Boston Regional Office| 112332|801-56643|INTERCONTINENTAL REAL ESTATE CORPORATION|INTERCONTINENTAL REAL ESTATE CORPORATION|1270 SOLDIERS FIELD RD||BOSTON MA 02135-1003|USA|||  ||CHRISTOPHER BOEHM|(617) 782-2600|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|07/23/1999|0|0|0|0|0|0
Boston Regional Office| 112358|801-54575|ACCESS CAPITAL STRATEGIES LLC|ACCESS CAPITAL STRATEGIES LLC|419 BOYLSTON STREET|STE 501|BOSTON MA 02116|USA|||  ||RONALD A. HOMER|617-236-7274|Limited Liability Company|Portfolio management for investment companies|APPROVED|06/12/1997|0|0|0|0|0|0
Boston Regional Office| 112360|801-11178|BOSTON FINANCIAL MANAGEMENT INC|BOSTON FINANCIAL MANAGEMENT INC|ONE WINTHROP SQUARE||BOSTON MA 02110-1209|USA|||  ||THOMAS CHARLES ABISALIH|(617) 338-8108|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/23/1976|0|0|1|0|0|0
Boston Regional Office| 112379|801-13549|SOUND SHORE MANAGEMENT INC|SOUND SHORE MANAGEMENT INC|8 SOUND SHORE DR., SUITE 180||GREENWICH CT 06830-7242|USA|||  ||SHANNA S. SULLIVAN|(203) 629-1980|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/06/1978|0|0|0|0|0|0
Boston Regional Office| 112442|801-39630|GREEN CENTURY CAPITAL MANAGEMENT INC|GREEN CENTURY CAPITAL MANAGEMENT INC|114 STATE STREET SUITE 200||BOSTON MA 02109|USA|||  ||KRISTINA ANN CURTIS|617-482-0800|Corporation|Portfolio management for investment companies, Selection of other advisers|APPROVED|08/15/1991|0|0|0|0|0|0
Boston Regional Office| 112485|801-55976|MINTZ LEVIN FINANCIAL ADVISORS LLC|MINTZ LEVIN FINANCIAL ADVISORS LLC|ONE FINANCIAL CENTER||BOSTON MA 02111|USA|||  ||CARY GELLER|(617) 348-1823|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|10/26/1998|0|0|0|0|0|0
Boston Regional Office| 112493|801-56399|ELLINGTON MANAGEMENT GROUP, L.L.C.|ELLINGTON MANAGEMENT GROUP, L.L.C.|53 FOREST AVENUE|SUITE 301|OLD GREENWICH CT 06870|USA|||  ||DAVID RICE|(203)698-1200|Limited Liability Company|Other|APPROVED|04/01/1999|0|1|0|0|0|0
Boston Regional Office| 112500|801-23854|JOHNSTON ASSET MANAGEMENT CORP|JOHNSTON ASSET MANAGEMENT CORP|300 ATLANTIC ST STE 1102||STAMFORD CT 06901|USA|||  ||JOAN GIANNOTTI|203-324-4722|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters, Other|APPROVED|03/26/1985|0|0|0|0|0|0
Boston Regional Office| 112580|801-57879|DC NELSON ASSET MANAGEMENT, LLC|DC NELSON ASSET MANAGEMENT, LLC|TWO SOUNDVIEW DRIVE|#100|GREENWICH CT 06830-6471|USA|TWO SOUNDVIEW DRIVE|#100|GREENWICH CT 06830-6471|USA|DAVID C. NELSON|(212) 931-5185|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/21/2000|0|0|0|0|0|0
Boston Regional Office| 112581|801-43965|BENEFIT FUNDING INC.|BENEFIT FUNDING INC.|ONE FISHER AVE||BOSCAWEN NH 03303|USA|PO BOX 2873||CONCORD NH 03302-2873|USA|KEVIN J. MCCARTHY|603-753-8500|Corporation|Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|05/18/1993|0|0|0|0|0|0
Boston Regional Office| 112592|801-47268|MILESTONE CAPITAL MANAGEMENT|MILESTONE CAPITAL MANAGEMENT, LLC|115 E. PUTNAM AVENUE||GREENWICH CT 06830|USA|||  ||LEIGH CARLETON|203-983-7500|Limited Liability Company|Portfolio management for investment companies|APPROVED|09/14/1994|0|0|0|0|0|0
Boston Regional Office| 112613|801-60464|BANK OF AMERICA CAPITAL ADVISORS LLC|BANK OF AMERICA CAPITAL ADVISORS LLC|100 FEDERAL STREET|18TH FLOOR|BOSTON MA 02110|USA|||  ||ALPESH RATHOD|646-313-8680|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Other|APPROVED|08/06/2001|0|12|2|0|0|0
Boston Regional Office| 112738|801-60253|CITIZENS INVESTMENT ADVISORS|CITIZENS INVESTMENT ADVISORS|CITIZENS BANK|ONE CITIZENS PLAZA|PROVIDENCE RI 02903|USA|MAIL STOP RC 03-30|ONE CITIZENS PLAZA|PROVIDENCE RI 02903|USA|DEBORAH RIDER|603-634-7143|Other (specify)|Portfolio management for investment companies|APPROVED|05/30/2001|0|4|0|0|0|0
Boston Regional Office| 112794|801-19284|TAYLOR HOUSE INVESTMENT MANAGEMENT, INC.|TAYLOR HOUSE INVESTMENT MANAGEMENT, INC.|34-B MAIN STREET||NEW MILFORD CT 06776|USA|||  ||RALPH WILLIAMS|860-355-5545|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/18/1983|0|0|0|0|0|0
Boston Regional Office| 112816|801-45180|LEE KRASNER GROUP LTD|LEE KRASNER GROUP LTD|10 DAVOL SQUARE||PROVIDENCE RI 02903|USA|||  ||ANDREW SUSSMAN|1-401-861-0101|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|10/29/1993|0|0|0|0|0|0
Boston Regional Office| 112849|801-28526|SAWYER & CO INC|SAWYER & CO INC|50 CONGRESS STREET||BOSTON MA 02109|USA|||  ||WILLIAM C. SAWYER, II|617-227-7033|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/12/1986|0|0|0|0|0|0
Boston Regional Office| 113233|801-60333|FAMILY WEALTH ARCHITECTS LLC|FAMILY WEALTH ARCHITECTS LLC|83 LORING ROAD||WESTON MA 02493|USA|||  ||CHARLES T. O'NEILL|781-647-7030|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|06/22/2001|0|0|0|0|0|0
Boston Regional Office| 113261|801-19890|COBEY JACOBSON & GORDON INC|COBEY JACOBSON & GORDON INC|30 ROWES WHARF||BOSTON MA 02109|USA|1176 NEW YORK DRIVE||ALTADENA CA 91001|USA|HERBERT  TODD COBEY|617-439-4000|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|09/27/1983|0|0|0|0|0|0
Boston Regional Office| 113285|801-60330|TH LEE, PUTNAM CAPITAL MANAGEMENT, L.L.C.|TH LEE, PUTNAM CAPITAL MANAGEMENT, L.L.C.|ONE POST OFFICE SQUARE||BOSTON MA 02109|USA|||  ||MARTHA A MCCOY|617-760-1673|Limited Liability Company|Portfolio management for investment companies|APPROVED|06/15/2001|0|0|3|0|0|0
Boston Regional Office| 113286|801-60561|WEYLAND CAPITAL MANAGEMENT LLC|WEYLAND FINANCIAL GROUP LLC|22 DEER STREET|SUITE 200|PORTSMOUTH NH 03801|USA|P.O. BOX 1246||PORTSMOUTH NH 03802-1246|USA|POLLY HENKEL|603-433-8994|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/07/2001|0|0|0|0|0|0
Boston Regional Office| 113314|801-60409|BANK STREET INVESTMENT ADVISORS, LLC|BANK STREET INVESTMENT ADVISORS, LLC|171 MARKET SQUARE|SUITE 101|NEWINGTON CT 06111-2967|USA|||  ||GILBERT F. EHMKE|860-436-9617|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|07/09/2001|0|0|0|0|0|0
Boston Regional Office| 113330|801-58247|ALPHA CAPITAL RESEARCH, LLC|ALPHA CAPITAL RESEARCH, LLC|701 HEBRON AVE.||GLASTONBURY CT 06033|USA|||  ||RICHARD REGO|860 659 2363|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/22/2000|0|0|0|0|0|0
Boston Regional Office| 113467|801-60353|FAIRVIEW CAPITAL PARTNERS III, L.L.C.|FAIRVIEW CAPITAL PARTNERS III, L.L.C.|75 ISHAM ROAD|SUITE 200|WEST HARTFORD CT 06107|USA|||  ||DOUGLAS BOAINS|860-674-8066|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/22/2001|0|0|0|0|0|0
Boston Regional Office| 113608|801-60374|AXA INVESTMENT MANAGERS INC|AXA INVESTMENT MANAGERS INC|ONE FAWCETT PLACE||GREENWICH CT 06830|USA|||  ||DAVID YORK|203 863 8998|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/25/2001|0|0|0|0|0|0
Boston Regional Office| 113641|801-61745|LOUDON INVESTMENT MANAGEMENT, LLC|LOUDON INVESTMENT MANAGEMENT, LLC|24 AIRPORT ROAD||WEST LEBANON NH 03784|USA|221 COLUMBUS JORDAN ROAD|P.O. BOX 378|MERIDEN NH 03770|USA|DOUGLAS M. LOUDON|603-298-7370|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|02/03/2003|0|0|0|0|0|0
Boston Regional Office| 113722|801-60412|REGENT WEALTH MANAGEMENT GROUP|REGENT WEALTH MANAGEMENT GROUP, INC.|ONE BRADLEY ROAD|SUITE 902|WOODBRIDGE CT 06525-9875|USA|||  ||ALAN P. WEISS|203-387-7887|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|07/11/2001|0|0|0|0|0|0
Boston Regional Office| 113826|801-66952|ALLEGIANCE FINANCIAL GROUP, INC.|ALLEGIANCE FINANCIAL GROUP, INC.|50 DONALD B. DEAN DRIVE|SUITE ONE|SOUTH PORTLAND ME 04106|USA|||  ||RANDALL J. RICHARD|207-879-2352|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|06/27/2006|0|0|0|0|0|0
Boston Regional Office| 113972|801-60527|STANDISH|STANDISH MELLON ASSET MANAGEMENT COMPANY LLC|BNY MELLON CENTER|201 WASHINGTON STREET, SUITE 2900|BOSTON MA 02108-4408|USA|||  ||KELLY MAHONEY|617-248-6109|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|07/31/2001|0|0|0|0|0|0
Boston Regional Office| 114021|801-60462|ALGONQUIN ADVISORS LLC|ALGONQUIN ADVISORS LLC|2 GREENWICH OFFICE PARK, 2ND FL.||GREENWICH CT 06831|USA|||  ||THAYER WALKER|203-629-2114|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/06/2001|0|0|0|0|0|0
Boston Regional Office| 114074|801-66683|MCCLAIN VALUE MANAGEMENT, LLC|MCCLAIN VALUE MANAGEMENT, LLC|199 ELM STREET||NEW CANAAN CT 06840|USA|||  ||PHILLIP C. MCCLAIN|203-966-3197|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|05/04/2006|0|0|0|0|0|0
Boston Regional Office| 114081|801-60465|ANDOR CAPITAL MANAGEMENT, L.L.C.|ANDOR CAPITAL MANAGEMENT, L.L.C.|1 AMERICAN LANE|3RD FLOOR|GREENWICH CT 06831|USA|||  ||KEVIN E. O'BRIEN|203-742-7200|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/10/2001|1|0|0|0|0|0
Boston Regional Office| 114122|801-60557|SSARIS ADVISORS LLC|SSARIS ADVISORS LLC|695 EAST MAIN STREET|SUITE 102|STAMFORD CT 06901-2178|USA|||  ||PETER A. HINRICHS|203-328-7200|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|09/11/2001|0|0|0|0|0|0
Boston Regional Office| 114335|801-8517|PAX WORLD MANAGEMENT CORP.|PAX WORLD MANAGEMENT CORP.|30 PENHALLOW STREET, SUITE 400||PORTSMOUTH NH 03801|USA|||  ||JOHN A. BOESE|603.431.8022|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/24/1972|0|1|0|0|0|0
Boston Regional Office| 114374|801-65007|KINGFISHER INVESTORS LLC|KINGFISHER INVESTORS LLC|21 CHARLES STREET|SUITE 206|WESTPORT CT 06880|USA|||  ||SUNIL R. MAHTANI|203-227-5464|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/12/2005|0|0|0|0|0|0
Boston Regional Office| 114439|801-60454|AMERICAN TRUST INVESTMENT ADVISORS, LLC|AMERICAN TRUST INVESTMENT ADVISORS, LLC|ONE COURT STREET||LEBANON NH 03766-1358|USA|||  ||PAUL COLLINS|603-448-6415|Limited Liability Company|Portfolio management for investment companies|APPROVED|08/06/2001|0|0|0|0|0|0
Boston Regional Office| 114626|801-60678|CNH PARTNERS, LLC|CNH PARTNERS, LLC|TWO GREENWICH PLAZA|3RD FLOOR|GREENWICH CT 06830|USA|||  ||BRADLEY ASNESS|203-742-3605|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/05/2001|0|0|0|0|0|0
Boston Regional Office| 114681|801-60486|DELTA PARTNERS LLC|DELTA PARTNERS LLC|ONE INTERNATIONAL PLACE, SUITE 2401||BOSTON MA 02110|USA|||  ||REBECCA ROGERS|(617) 526-8939|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|08/21/2001|0|1|0|0|0|0
Boston Regional Office| 114835|801-61045|CLM CAPITAL MANAGEMENT LLC|CLM CAPITAL MANAGEMENT LLC|6B WASHINGTON STREET|SUITE 101|SANFORD ME 04073|USA|||  ||D. BRUCE MCNAMEE|207-636-7068|Limited Liability Company|Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers, Other|APPROVED|04/08/2002|0|0|0|0|0|0
Boston Regional Office| 114871|801-60497|GREENWICH ASSET MANAGEMENT GROUP, LLC|GREENWICH ASSET MANAGEMENT GROUP, LLC|2 SOUND VIEW DRIVE|SUITE 100|GREENWICH CT 06830|USA|||  ||PETER S. LUNDSTEDT|203-622-1305|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|09/05/2001|0|1|0|0|0|0
Boston Regional Office| 114922|801-60513|STRATEGIC CAPITAL ALLOCATION GROUP, L.L.C.|STRATEGIC CAPITAL ALLOCATION GROUP, L.L.C.|800 BOYLSTON STREET|24TH FLOOR|BOSTON MA 02199|USA|||  ||PAMELA DESTEFANO|(617) 450-9303|Limited Liability Company|Selection of other advisers, Other|APPROVED|08/24/2001|0|0|0|0|0|0
Boston Regional Office| 114925|801-61453|CONGRESS SPRINGS CAPITAL LLC.|CONGRESS SPRINGS CAPITAL, LLC|49 WATERS EDGE ROAD||YARMOUTH ME 04096-6318|USA|||  ||FRANCIS X.FITZPATRICK|207-846-6655|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/02/2002|0|0|0|0|0|0
Boston Regional Office| 115119|801-60532|WELCH & FORBES LLC|WELCH & FORBES LLC|45 SCHOOL STREET||BOSTON MA 02108|USA|||  ||JAMES E. RUSSELL|617-523-1635|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/31/2001|0|0|0|0|0|0
Boston Regional Office| 115324|801-60583|BALLYROCK INVESTMENT ADVISORS LLC|BALLYROCK INVESTMENT ADVISORS LLC|82 DEVONSHIRE STREET, V10G||BOSTON MA 02109|USA|82 DEVONSHIRE STREET, V10G||BOSTON MA 02109|USA|CYNTHIA NG|617-563-7345|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/20/2001|0|6|0|0|0|0
Boston Regional Office| 115390|801-66152|CEPONIS FINANCIAL GROUP|CEPONIS, DAVID, JAY|195 DANBURY ROAD|SUITE 200|WILTON CT 06897|USA|||  ||DAVID J. CEPONIS|203-762-2117|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|02/01/2006|0|0|0|0|0|0
Boston Regional Office| 115443|801-60582|PARK STREET CAPITAL ADVISERS, L.L.C.|PARK STREET CAPITAL ADVISERS, L.L.C.|ONE FEDERAL STREET||BOSTON MA 02110|USA|||  ||HEATHER L. FOLEY|617-897-9200|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/21/2001|0|0|0|0|0|0
Boston Regional Office| 115495|801-61081|LEGACY FINANCIAL SERVICES, INC.|LEGACY FINANCIAL SERVICES, INC.|ONE CRANBERRY HILL||LEXINGTON MA 02421|USA|||  ||MARGARET DIEFENDERFER|781-860-0353 EXT1|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/18/2002|0|0|0|0|0|0
Boston Regional Office| 115504|801-61117|GEODE CAPITAL MANAGEMENT, LLC|GEODE CAPITAL MANAGEMENT, LLC|ONE POST OFFICE SQUARE, 28TH FLOOR||BOSTON MA 02109|USA|||  ||LISA JILL LAMPERT|617-392-8533|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|05/17/2002|0|2|0|0|0|0
Boston Regional Office| 115582|801-62658|KARN, COUZENS & ASSOCIATES, INC.|KARN, COUZENS & ASSOCIATES, INC.|10 MELROSE DRIVE||FARMINGTON CT 06032|USA|||  ||JEFFREY P. COUZENS|860-676-2727|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/09/2004|0|0|0|0|0|0
Boston Regional Office| 115638|801-60594|PELICAN INVESTMENT MANAGEMENT|PELICAN INVESTMENT MANAGEMENT|ONE LIBERTY SQUARE|SUITE 1200|BOSTON MA 02109|USA|||  ||ANTHONY PELL|617-757-8700|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|09/24/2001|0|0|0|0|0|0
Boston Regional Office| 115720|801-66151|EQUINOX FINANCIAL ADVISORS, INC|EQUINOX FINANCIAL ADVISORS, INC.|16 LINCOLN AVENUE||MANCHESTER CENTER VT 05255|USA|PO BOX 1789||MANCHESTER CENTER VT 05255|USA|DAVID L. FIELDING|802-367-7750|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|01/30/2006|0|0|0|0|0|0
Boston Regional Office| 115911|801-67353|NEUMEIER CAPITAL MANAGEMENT, INC|NEUMEIER CAPITAL MANAGEMENT,INC|50 CONGRESS STREET|SUITE 350|BOSTON MA 02109-4066|UNITED STATES|||  ||STEPHEN NEUMEIER|617-619-9929|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/11/2006|0|0|0|0|0|0
Boston Regional Office| 116001|801-69124|SOKOLOWSKI INVESTMENT ADVISORS, LLC|SOKOLOWSKI INVESTMENT ADVISORS, LLC|77 FALLS ROAD, SUITE #1||SHELBURNE VT 05482|USA|||  ||ROY W. SOKOLOWSKI|802-985-8400|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|05/02/2008|0|0|0|0|0|0
Boston Regional Office| 116135|801-68719|GALLAGHER FLYNN FINANCIAL ADVISORS LLC|GALLAGHER FLYNN FINANCIAL ADVISORS LLC|77 COLLEGE STREET||BURLINGTON VT 05401|USA|||  ||JAMES DONOHUE|(802) 651-7250|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|01/28/2008|0|0|0|0|0|0
Boston Regional Office| 116176|801-61288|WELLESLEY INVESTMENT ADVISORS, INC.|WELLESLEY INVESTMENT ADVISORS, INC.|20 WILLIAM STREET|SUITE G5|WELLESLEY MA 02481|USA|||  ||DARLENE MURPHY|781-416-4000|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/27/2002|0|0|0|0|0|0
Boston Regional Office| 116184|801-65131|EMG|ESSEX ASSET MANAGEMENT GROUP INC.|63 MAIN STREET||ESSEX JUNCTION VT 05452|USA|||  ||TODD|802-879-1881|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|01/13/2006|0|0|0|0|0|0
Boston Regional Office| 116197|801-62604|CHADWICK & D'AMATO, LLC|CHADWICK & D'AMATO, LLC|224 MAIN STREET|PO BOX 1978|NEW LONDON NH 03257|USA|||  ||THOMAS M. CHADWICK|603-526-2409|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/12/2004|0|0|0|0|0|0
Boston Regional Office| 116355|801-64527|ABARIS FINANCIAL GROUP, LLC|ABARIS FINANCIAL GROUP, LLC|1150 MAIN STREET|SUITE 10|CONCORD MA 01742|USA|||  ||ABBEY HENDERSON LOMBARDI|978-371-9649|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/15/2005|0|0|0|0|0|0
Boston Regional Office| 116442|801-60657|CCR WEALTH MANAGEMENT, LLC|CCR WEALTH MANAGEMENT, LLC|1400 COMPUTER DR||WESTBOROUGH MA 10581|USA|||  ||LISA ALDEN|508 926 2249|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|10/31/2001|0|0|0|0|0|0
Boston Regional Office| 116465|801-69283|GML FINANCIAL ADVISORY SERVICES, LLC|GML FINANCIAL ADVISORY SERVICES, LLC|59 SOUTH MAIN STREET||ROCHESTER NH 03867|USA|PO BOX 1498||ROCHESTER NH 03866-1498|USA|GLENN M. LEPENE|603-335-0206|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/23/2008|0|0|0|0|0|0
Boston Regional Office| 116522|801-60661|SUSAN MARIE CLANCY, ACADIA ASSET MANAGEMENT|SUSAN MARIE CLANCY, ACADIA ASSET MANAGEMENT|567 VAUXHALL STREET EXT.|SUITE 114|WATERFORD CT 06385|USA|||  ||SUSAN MARIE CLANCY|860-442-3277|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|10/26/2001|0|0|0|0|0|0
Boston Regional Office| 116564|801-63183|SFM, LLC|SFM, LLC|575 FRONT STREET||MANCHESTER NH 03102|USA|||  ||GLENN P. SWEENEY|603-625-8400|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|06/07/2004|0|0|0|0|0|0
Boston Regional Office| 116572|801-68403|BOSTON RETIREMENT ADVISORS,LLC|BOSTON RETIREMENT ADVISORS,LLC|85 STILES ROAD|SUITE 202|SALEM NH 03079|USA|||  ||PAUL R. PIGNONE|603-896-6400|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/28/2007|0|0|0|0|0|0
Boston Regional Office| 116663|801-63316|CREEGAN & NASSOURA FINANCIAL GROUP, LLC|CREEGAN & NASSOURA FINANCIAL GROUP, LLC|117 BOW STREET||PORTSMOUTH NH 03801|USA|25 PATRIOTS ROAD||STRATHAM NH 03885|USA|STEVEN C. NASSOURA,CFP|(603) 778-0794|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|07/02/2004|0|0|0|0|0|0
Boston Regional Office| 116817|801-62463|BARKER FINANCIAL GROUP, INC.|BARKER FINANCIAL GROUP, INC.|3 BURLINGTON WOODS DRIVE|SUITE 302|BURLINGTON MA 01803-4514|USA|||  ||JAMES BARKER|781-743-2600|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|10/24/2003|0|0|0|0|0|0
Boston Regional Office| 116822|801-60817|EAST HILL MANAGEMENT COMPANY, LLC|EAST HILL MANAGEMENT COMPANY, LLC|200 CLARENDON STREET|SUITE 6000|BOSTON MA 02116-5028|USA|||  ||ERIC G. WOODBURY|(617) 450-0150|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/11/2002|0|0|0|0|0|0
Boston Regional Office| 116823|801-65420|THE FOUNDRY FINANCIAL GROUP, INC.|THE FOUNDRY FINANCIAL GROUP, INC.|67 WATER STREET|SUITE 101 A|LACONIA NH 03246-3300|USA|||  ||MICHAEL H. FOGARTY|603-528-5171|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/01/2006|0|0|0|0|0|0
Boston Regional Office| 116839|801-64974|EXECUTIVE FINANCIAL SERVICES, INC.|EXECUTIVE FINANCIAL SERVICES, INC.|75 SEARLES RD.||WINDHAM NH 03087-1201|USA|||  ||WENDELL B. STEWART, III|(603) 890-9040|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|12/07/2005|0|0|0|0|0|0
Boston Regional Office| 116945|801-58277|DECISION CAPITAL LLC|DECISION CAPITAL LLC|537 STEAMBOAT ROAD|SUITE 200|GREENWICH CT 06830|USA|||  ||KENNETH L. GESTAL|203-769-2350|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|01/18/2001|0|0|0|0|0|0
Boston Regional Office| 117141|801-60725|KEENER INVESTMENTS|KEENER, HARRY ALAN|24 COUNTRYSIDE DRIVE||EAST ORLEANS MA 02643|USA|||  ||H. ALAN KEENER|508-255-2483|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|11/27/2001|0|0|0|0|0|0
Boston Regional Office| 117191|801-61181|AFFINITY INVESTMENT GROUP, LLC|AFFINITY INVESTMENT GROUP, LLC|18 HAMPTON ROAD, UNIT 7||EXETER NH 03833|USA|||  ||GREGORY B. GAGNE|603-778-6436|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/17/2002|0|0|0|0|0|0
Boston Regional Office| 117196|801-61888|LUMBARD INVESTMENT COUNSELING LLC|LUMBARD INVESTMENT COUNSELING LLC|5 HUTCHINGS DRIVE||HOLLIS NH 03049|USA|POST OFFICE BOX 749||HOLLIS NH 03049-0749|U.S.A.|DREW D. KELLNER|603-465-7700|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/14/2003|0|0|0|0|0|0
Boston Regional Office| 117205|801-64267|NORTHSTAR FINANCIAL PLANNING, INC.|NORTHSTAR FINANCIAL PLANNING, INC.|1 COMMONS DRIVE|UNIT #10, BUILDING B|LONDONDERRY NH 03053|USA|||  ||ROBIN YOUNG|603-216-9226|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/12/2005|0|0|0|0|0|0
Boston Regional Office| 117268|801-64180|GILBERT CAPITAL GROUP|GILBERT CAPITAL GROUP, INC.|42 TOWN FARM ROAD||NORTH YARMOUTH ME 04097|USA|||  ||CASS A. GILBERT|207-657-6900|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|01/31/2006|0|0|0|0|0|0
Boston Regional Office| 117327|801-61013|FINANCIAL FOCUS, INC.|FINANCIAL FOCUS, INC.|40 MILL STREET||WOLFEBORO NH 03894|USA|PO BOX 2250||WOLFEBORO NH 03894-2250|USA|SUSAN MACMICHAEL JOHN|6035691994|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|03/19/2002|0|0|0|0|0|0
Boston Regional Office| 117334|801-60729|KNIGHTSBRIDGE ADVISORS, INC.|KNIGHTSBRIDGE ADVISORS, INC.|80 INDIAN WIND DRIVE||SCITUATE MA 02066|USA|759 CJC HIGHWAY|#383|COHASSET MA 02025|USA|CHRISTOPHER KNIGHT|(781)545-4558|Corporation|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|12/11/2001|0|0|0|0|0|0
Boston Regional Office| 117464|801-60829|DUFFIELD FINANCIAL GROUP|DUFFIELD FINANCIAL GROUP, INC.|118 SILVER HILL ROAD||CONCORD MA 01742-5306|USA|118 SILVER HILL ROAD||CONCORD MA 01742-5306|USA|BARBARA FRANCES DUFFIELD|978-318-9383|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|01/25/2002|0|0|0|0|0|0
Boston Regional Office| 117480|801-68635|BRADWAY FINANCIAL, LLC|BRADWAY FINANCIAL, LLC|12 BRADWAY ROAD||SOMERS CT 06071|USA|PO BOX 65||SOMERS CT 06071|USA|BRIAN K. CASE|800-725-1622|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/02/2008|0|0|0|0|0|0
Boston Regional Office| 117590|801-61009|DUKE FUNDING MANAGEMENT, L.L.C.|DUKE FUNDING MANAGEMENT, L.L.C.|53 FOREST AVENUE|SUITE 301|OLD GREENWICH CT 06870|USA|||  ||DAVID RICE|(203) 698-1200|Limited Liability Company|Other|APPROVED|04/05/2002|0|0|0|0|0|0
Boston Regional Office| 117595|801-67022|WJM FINANCIAL, LLC|WJM FINANCIAL, LLC|15 CONSTITUTION DRIVE|SUITE 116|BEDFORD NH 03110|USA|||  ||WILLIAM J. MOECKEL|603 589-8010|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/21/2006|0|0|0|0|0|0
Boston Regional Office| 117614|801-66297|MARTEL DOROW, INC.|MARTEL DOROW, INC.|500 MARKET STREET, UNIT 1-B||PORTSMOUTH NH 03801|USA|||  ||DIANE AGRODNIA DOROW|603-436-7809|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|02/24/2006|0|0|0|0|0|0
Boston Regional Office| 117715|801-64156|FOCUS CAPITAL WEALTH MANAGEMENT, INC.|FOCUS CAPITAL INC.|2 HARVEY ROAD|SUITE 4|BEDFORD NH 03110-6805|USA|||  ||NICHOLAS B. ROWE|603-647-5400|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|07/13/2005|0|0|0|0|0|0
Boston Regional Office| 117815|801-60809|DKR CAPITAL PARTNERS L.P.|DKR CAPITAL PARTNERS L.P.|1281 EAST MAIN STREET, 3RD FL.||STAMFORD CT 06902|USA|||  ||RAJNI NARASI|(203) 324-8378|Partnership|Other|APPROVED|02/01/2002|0|1|0|0|0|0
Boston Regional Office| 117831|801-69199|GIBSON FINANCIAL SOLUTIONS, L.L.C.|GIBSON FINANCIAL SOLUTIONS, L.L.C.|3 FRANKLIN ST.||ELLSWORTH ME 04605|UNITED STATES|PO BOX 1093||ELLSWORTH ME 04605|UNITED STATES|ANNE C. GIBSON|207-667-9993|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|06/09/2008|0|0|0|0|0|0
Boston Regional Office| 118061|801-60770|K.A. MACGUIRE & COMPANY, LLC|K.A. MACGUIRE & COMPANY, LLC|381 BOSTON POST ROAD|SECOND FLOOR|DARIEN CT 06820|USA|||  ||KEVIN A. MACGUIRE|(203)656-8177|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|01/09/2002|0|0|0|0|0|0
Boston Regional Office| 118097|801-60890|FRONTPOINT PARTNERS LLC|FRONTPOINT PARNTERS LLC|TWO GREENWICH PLAZA|4TH FLOOR|GREENWICH CT 06830|USA|||  ||MICHELE ENG|203-622-5231|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|02/01/2002|0|0|0|0|0|0
Boston Regional Office| 118098|801-60755|MAYO INVESTMENT ADVISERS LLC|MAYO INVESTMENT ADVISERS LLC|40 ROWES WHARF, 2ND FLOOR||BOSTON MA 02110|USA|||  ||CHARLES E. CURTIS|617-897-5800|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/14/2001|0|0|0|0|0|0
Boston Regional Office| 118113|801-63038|ARLEN CAPITAL, LLC|ARLEN CAPITAL, LLC|121 SOUTH MAIN STREET|SEVENTH FLOOR|PROVIDENCE RI 02903|USA|||  ||CHRISTINE COSTA|401-854-3506|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|04/14/2004|0|0|0|0|0|0
Boston Regional Office| 118404|801-60852|SEAMANS CAPITAL MANAGEMENT, LLC|SEAMANS CAPITAL MANAGEMENT, LLC|950 WINTER STREET, SUITE 1400||WALTHAM MA 02451|USA|||  ||RICHRD F. SEAMANS|781-890-5225|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/19/2002|0|0|0|0|0|0
Boston Regional Office| 118535|801-61859|K2 ADVISORS, L.L.C.|K2 ADVISORS, L.L.C.|300 ATLANTIC STREET|12TH FLOOR|STAMFORD CT 06901|USA|||  ||MICHAEL JOHN ANDERSEN|203-905-5352|Limited Liability Company|Other|APPROVED|03/21/2003|0|0|0|0|0|0
Boston Regional Office| 118595|801-61059|KSHER AA LLC|KSHER AA LLC|20 DAYTON AVENUE||GREENWICH CT 06830|USA|||  ||ROBERT LANAVA|203-522-1902|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/12/2002|0|0|0|0|0|0
Boston Regional Office| 118645|801-68055|DYER CAPITAL MANAGEMENT, INC.|DYER CAPITAL MANAGEMENT, INC.|9 COTTAGE STREET||MARION MA 02738|USA|P.O. BOX 388||MARION MA 02738|USA|TIMOTHY H. DYER|(508) 748-3030|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|06/21/2007|0|0|0|0|0|0
Boston Regional Office| 118708|801-60833|STANDARD LIFE INVESTMENTS (USA) LIMITED|STANDARD LIFE INVESTMENTS (USA) LIMITED|ONE BEACON STREET|34TH FLOOR|BOSTON MA 02108-3106|USA|||  ||DAVID BARRETT|617-720-7928|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/10/2002|0|0|0|0|0|0
Boston Regional Office| 118729|801-60839|CABOT PROPERTIES L.P.|CABOT PROPERTIES L.P.|ONE BEACON STREET|SUITE 1700|BOSTON MA 02108|USA|||  ||MARK A. BECHARD|617-723-4681|Partnership|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Other|APPROVED|12/07/2001|0|0|0|0|0|0
Boston Regional Office| 118827|801-60887|BYRAM CAPITAL MANAGEMENT|BYRAM CAPITAL MANAGEMENT LLC|41 WEST PUTNAM AVENUE|FIRST FLOOR|GREENWICH CT 06830|USA|||  ||GEORGE R. KRESS, CFA|203-869-5570 EX 282|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/30/2002|0|0|0|0|0|0
Boston Regional Office| 118853|801-60878|FOUNDERS CAPITAL MANAGEMENT, LLC|FOUNDERS CAPITAL MANAGEMENT, LLC|111 FOUNDERS PLAZA|SUITE 1500|EAST HARTFORD CT 06108|USA|||  ||JON M. CASE|860.308.0061|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/30/2002|0|0|0|0|0|0
Boston Regional Office| 119003|801-68596|MMLISI FINANCIAL ALLIANCES, LLC|MMLISI FINANCIAL ALLIANCES, LLC|1295 STATE STREET||SPRINGFIELD MA 01111-0001|USA|||  ||JEFFREY M. SAJDAK|413-744-8811|Limited Liability Company|Other|APPROVED|12/11/2007|0|39|0|0|0|0
Boston Regional Office| 119048|801-63859|WEAVER & ASSOCIATES, P.C.|WEAVER & ASSOCIATES, P.C.|100 CORPORATE PLACE, SUITE 301||PEABODY MA 01960|USA|||  ||THADEOUS G. WEAVER, JR.|978-536-5119|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/03/2005|0|0|0|0|0|0
Boston Regional Office| 119077|801-60938|MILLBURN RIDGEFIELD CORPORATION|MILLBURN RIDGEFIELD CORPORATION|411 WEST PUTNAM AVENUE||GREENWICH CT 06830|USA|||  ||GREGG R. BUCKBINDER|212-332-7300|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/08/2002|0|0|0|0|0|0
Boston Regional Office| 119201|801-69308|KEARSARGE CAPITAL ADVISORS, INC.|KEARSARGE CAPITAL ADVISORS, INC.|228 MAIN STREET||NEW LONDON NH 03257|USA|P.O. BOX 2340||NEW LONDON NH 03257|USA|L. ROSS GOTT, III|603-526-8000|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|06/26/2008|0|0|0|0|0|0
Boston Regional Office| 119262|801-63977|1620 INVESTMENT ADVISORS, INC.|1620 INVESTMENT ADVISORS, INC.|36 CORDAGE PARK CIRCLE|SUITE 222|PLYMOUTH MA 02360|USA|||  ||TODD A. JOHNSTON|(508)830-4778|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/24/2005|0|0|0|0|0|0
Boston Regional Office| 119277|801-63860|NEW LEAF ASSET MANAGEMENT, LLC|NEW LEAF ASSET MANAGEMENT, LLC|176 NEWPORT ROAD|P.O.BOX 1740|NEW LONDON NH 03257|USA|||  ||FLETCHER S. COLE|603-526-8850|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/11/2005|0|1|0|0|0|0
Boston Regional Office| 119283|801-61576|D.G. CAPITAL MANAGEMENT|D.G. CAPITAL MANAGEMENT TRUST|260 FRANKLIN STREET|SUITE 1600|BOSTON MA 02110|USA|||  ||KIMBERLY ANN VOSS|617-896-1500|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/26/2002|0|0|0|0|0|0
Boston Regional Office| 119294|801-64364|SECURE FUTURE FINANCIAL SERVICES, INC.|SECURE FUTURE FINANCIAL SERVICES, INC.|811 ROUTE 6A||DENNIS MA 02638-1067|USA|P.O. BOX 1067||DENNIS MA 02638-1067|USA|CHRISTINA KEMPRECOS|508-385-2136|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|06/10/2005|0|0|0|0|0|0
Boston Regional Office| 119475|801-61029|GUGGENHEIM REAL ESTATE LLC|GUGGENHEIM REAL ESTATE LLC|FOUR COPLEY PLACE|SUITE 403|BOSTON MA 02116|USA|||  ||THERESA APRUZZESE|617-859-4665|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/29/2002|0|0|0|0|0|0
Boston Regional Office| 119510|801-69244|BLUE CHIP FINANCIAL ADVISORS, LLP|BLUE CHIP FINANCIAL ADVISORS, LLP|22 HEMINGWAY DRIVE||EAST PROVIDENCE RI 02915|USA|||  ||JOHN A. LEMME|401-435-4239|Limited Liability Partnership|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/09/2008|0|0|0|0|0|0
Boston Regional Office| 119560|801-67419|CORNERSTONE WEALTH MANAGEMENT LLC|CORNERSTONE WEALTH MANAGEMENT LLC|262 BEACON ST., 6TH FLOOR||BOSTON MA 02116|USA|||  ||LESLIE JUDAH NANBERG|617-536-2040|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/03/2007|0|0|0|0|0|0
Boston Regional Office| 119571|801-60997|TDC GROUP, LLC.|TDC GROUP, LLC.|886 HALE STREET||BEVERLY MA 01915|USA|||  ||BRUCE A. ERIKSON|978-922-4301|Limited Liability Company|Portfolio management for individuals and/or small businesses, Other|APPROVED|03/19/2002|0|0|0|0|0|0
Boston Regional Office| 119626|801-61018|HAMBRECHT & QUIST CAPITAL MANAGEMENT LLC|HAMBRECHT & QUIST CAPITAL MANAGEMENT LLC|2 LIBERTY SQUARE|9TH FLOOR|BOSTON MA 02109|USA|||  ||CAROLYN HALEY|617-772-8515|Limited Liability Company|Portfolio management for investment companies|APPROVED|03/29/2002|0|0|0|0|0|0
Boston Regional Office| 119642|801-61006|VIGILANT CAPITAL MANAGEMENT, LLC|VIGILANT CAPITAL MANAGEMENT, LLC|TWO PORTLAND FISH PIER|SUITE 305|PORTLAND ME 04101|USA|||  ||SCOTT D. SORENSEN, CFA|603-431-3498|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|03/15/2002|0|0|0|0|0|0
Boston Regional Office| 119650|801-68465|STRATTON LAMB ADVISORS LLC|STRATTON LAMB ADVISORS LLC|30 MARKET STREET #8||LOWELL MA 01852|USA|||  ||J DAYNE LAMB|978-458-4410|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|11/06/2007|0|0|0|0|0|0
Boston Regional Office| 119651|801-61147|TONGE INVESTMENT SERVICES|TONGE INVESTMENT SERVICES|22 COMMON STREET||WATERVILLE ME 04901|USA|||  ||RICK TONGE|(207) 877-7762|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|04/16/2002|0|0|0|0|0|0
Boston Regional Office| 119696|801-61940|COLMAN KNIGHT ADVISORY GROUP, LLC|COLMAN KNIGHT ADVISORY GROUP, LLC|18 AUDUBON LANE||CARLISLE MA 01741-1500|USA|||  ||RICHARD KEITH COLMAN|978-371-2015|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Financial planning services|APPROVED|04/16/2003|0|0|0|0|0|0
Boston Regional Office| 120107|801-62678|CHILTON INVESTMENT COMPANY, LLC|CHILTON INVESTMENT COMPANY, LLC|1266 EAST MAIN STREET, 7TH FLOOR||STAMFORD CT 06902|USA|||  ||NORMAN B. CHAMP III|203-352-4000|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/15/2004|0|0|0|0|0|0
Boston Regional Office| 120178|801-62803|CHARLES J. MEANS & CO., LLC|CHARLES J. MEANS & CO., LLC|312 WICKENDEN STREET||PROVIDENCE RI 02903|USA|||  ||CHARLES J. MEANS|401-282-6600|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/13/2004|0|0|0|0|0|0
Boston Regional Office| 120263|801-61250|STODDARD MANAGEMENT COMPANY|HURLEY, ROBERT EMMET|800 HINGHAM STREET||ROCKLAND MA 02370|USA|||  ||ROBERT HURLEY|781-982-9932|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|06/14/2002|0|0|0|0|0|0
Boston Regional Office| 120387|801-61389|CONNING RESEARCH & CONSULTING, INC.|CONNING RESEARCH & CONSULTING, INC.|ONE FINANCIAL PLAZA||HARTFORD CT 06103|USA|||  ||ROBERT S. PEARCE|860-299-2151|Corporation|Other|APPROVED|08/19/2002|0|1|0|0|0|0
Boston Regional Office| 120451|801-61144|ROCATON INVESTMENT ADVISORS|ROCATON INVESTMENT ADVISORS, LLC|601 MERRITT 7||NORWALK CT 06851|USA|||  ||CHRISTOPHER LYON|203-621-1718|Limited Liability Company|Financial planning services, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|05/07/2002|0|0|0|0|0|0
Boston Regional Office| 120465|801-61108|ELIOT ROSE ASSET MANAGEMENT, LLC|ELIOT ROSE ASSET MANAGEMENT, LLC|10 WEYBOSSET ST.|SUITE 401|PROVIDENCE RI 02903|USA|||  ||PAUL J. MCDERMOTT|(401) 588-5100|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/02/2002|0|0|0|0|0|0
Boston Regional Office| 120501|801-61139|LONGVUE ADVISORS LLC|LONGVUE ADVISORS LLC|535 BOYLSTON STREET||BOSTON MA 02116|USA|||  ||RANDY HUSTVEDT|617-424-5810|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/20/2002|0|0|0|0|0|0
Boston Regional Office| 120532|801-61426|SOUNDVIEW CAPITAL MANAGEMENT CORPORATION|SOUNDVIEW CAPITAL MANAGEMENT CORPORATION|31 WHITNEY AVENUE||NEW HAVEN CT 06510-1219|USA|||  ||LYNNE ROSENFELD|203-773-1036|Corporation|Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|08/27/2002|0|0|0|0|0|0
Boston Regional Office| 120565|801-65099|PEMIGEWASSET CAPITAL LLC|PEMIGEWASSET CAPITAL LLC|107 JOHN STREET|3RD FLOOR|SOUTHPORT CT 06890|USA|P.O. BOX 956||SOUTHPORT CT 06890|USA|SAMUEL S.R. KINGSTON|203-254-2817|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/26/2006|0|0|0|0|0|0
Boston Regional Office| 120632|801-61492|UPROMISE INVESTMENT ADVISORS, LLC|UPROMISE INVESTMENT ADVISORS, LLC|95 WELLS AVENUE|SUITE 160|NEWTON MA 02459|USA|||  ||PATRICK W. MCKEON|617-454-6537|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|09/27/2002|0|1|0|0|0|0
Boston Regional Office| 120648|801-61168|FEDERAL STREET ADVISERS, INC.|FEDERAL STREET ADVISERS, INC.|750 WASHINGTON BOULEVARD|6TH FLOOR|STAMFORD CT 06901|USA|||  ||EUGENE P. MARKOWSKI|203-961-0408|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/20/2002|0|0|0|0|0|0
Boston Regional Office| 120663|801-61234|PARTNERS CAPITAL INVESTMENT GROUP, LLC|PARTNERS CAPITAL INVESTMENT GROUP, LLC|30 ROWES WHARF|5TH FLOOR|BOSTON MA 02110|USA|||  ||CLINT LIEBENBERG|617-292-2572|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|06/10/2002|0|0|0|0|0|0
Boston Regional Office| 120766|801-64149|SENSIBLE FINANCIAL PLANNING AND MANAGEMENT, LLC|SENSIBLE FINANCIAL PLANNING AND MANAGEMENT, LLC|245 FIRST STREET|SUITE 1800|CAMBRIDGE MA 02142|USA|||  ||FREDERICK H. MILLER, JR.|(617) 444-8677|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/18/2005|0|0|0|0|0|0
Boston Regional Office| 120826|801-63723|ELDER PLANNING ADVISORS OF MAINE, INC.|ELDER PLANNING ADVISORS OF MAINE, INC.|1006 BROADWAY||SOUTH PORTLAND ME 04106-4205|USA|||  ||CLIFFORD P. RYAN|207-767-8225|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/03/2005|0|0|0|0|0|0
Boston Regional Office| 120859|801-66086|FIRST NATIONAL CORPORATION|FIRST NATIONAL CORPORATION|300 LEDGEWOOD PLACE|SUITE 101|ROCKLAND MA 02370|USA|||  ||RUTH DOWD|781-878-7757|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|02/01/2006|0|0|0|0|0|0
Boston Regional Office| 120870|801-64808|CHARTER OAK CAPITAL MANAGEMENT|CHARTER OAK CAPITAL MANAGEMENT|68 MAIN STREET|SUITE 3|KENNEBUNK ME 04043|USA|||  ||JEFFREY S. TROIANO|800-646-5720|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|11/02/2005|0|0|0|0|0|0
Boston Regional Office| 120911|801-62975|THUNDERSTORM CAPITAL LLC|THUNDERSTORM CAPITAL LLC|ONE FEDERAL STREET|18TH FLOOR|BOSTON MA 02110|USA|||  ||LISA (TERPAK) DUTOT|(617) 630-8000|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/16/2004|0|0|0|0|0|0
Boston Regional Office| 120982|801-61342|SYMMETRY PARTNERS|SYMMETRY PARTNERS, LLC.|628 HEBRON AVE|BLDG 2, 5TH FLOOR|GLASTONBURY CT 06033|USA|||  ||PATRICK A. SWEENY|860-734-2000|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Other|APPROVED|07/26/2002|0|0|0|0|0|0
Boston Regional Office| 121046|801-61378|FAM GLOBAL INVESTMENTS, INC.|FAM GLOBAL INVESTMENTS, INC.|2 GREENWICH OFFICE PARK||GREENWICH CT 06831|USA|||  ||TIMOTHY C. NG|(203) 661-6533|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/28/2002|0|0|0|0|0|0
Boston Regional Office| 121108|801-63208|NICHOLS INVESTMENT MANAGEMENT|NICHOLS, JAMES W.|175 EXCHANGE STREET||BANGOR ME 04401|USA|P.O. BOX 904||BANGOR ME 04402-0904|USA|JAMES W. NICHOLS|207-942-8737|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/17/2004|0|0|0|0|0|0
Boston Regional Office| 121235|801-61273|HIRST WEALTH MANAGEMENT, INC.|HIRST WEALTH MANAGEMENT, INC.|222 MILLIKEN BOULEVARD||FALL RIVER MA 02721-1623|USA|||  ||LEONARD HIRST|508.673.7800|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/28/2002|0|0|0|0|0|0
Boston Regional Office| 121425|801-65024|DWIGHT INVESTMENT COUNSEL|LAWRENCE EDWARD DWIGHT, JR.|120 ORCHARD DRIVE||WILTON ME 04294|USA|||  ||LAWRENCE E. DWIGHT, JR.|207-645-9415|Sole Proprietorship|Portfolio management for individuals and/or small businesses, Other|APPROVED|01/20/2006|0|0|0|0|0|0
Boston Regional Office| 121486|801-61689|TEQUESTA CAPITAL ADVISORS|TEQUESTA CAPITAL ADVISORS LIMITED PARTNERSHIP|55 POST ROAD W.|SUITE 310|WESTPORT CT 06880-4235|USA|||  ||GERALD L. ROBERTS, JR.|(203) 221-5360|Partnership|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/10/2003|0|0|0|0|0|0
Boston Regional Office| 121942|801-61559|GANNETT WELSH & KOTLER, LLC|GANNETT WELSH & KOTLER, LLC|222 BERKELEY STREET|15TH FLOOR|BOSTON MA 02116|USA|||  ||BILL ROBERTS|617-236-8900|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/18/2002|0|5|0|0|0|0
Boston Regional Office| 121956|801-61367|RICHTER BOBER ASSET MANAGEMENT, LLC|RICHTER BOBER ASSET MANAGEMENT, LLC|777 POST ROAD||DARIEN CT 06820-2503|USA|||  ||ROBERT SCOTT RICHTER|203-655-0314|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|03/07/2003|0|0|0|0|0|0
Boston Regional Office| 122021|801-61596|PROCTOR FINANCIAL|PROCTOR FINANCIAL, INC.|66 CENTRAL STREET||WELLESLEY MA 02482|USA|||  ||TONY PROCTOR|781-235-0405|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|11/13/2002|0|0|0|0|0|0
Boston Regional Office| 122149|801-61918|SPRUCE PRIVATE INVESTORS, LLC|SPRUCE PRIVATE INVESTORS, LLC|3 PARKLANDS DRIVE||DARIEN CT 06820|USA|||  ||NOREEN MCGORTY|(203) 656-8401|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|03/26/2003|0|0|0|0|0|0
Boston Regional Office| 122178|801-61512|FAIRVIEW VENTURE MANAGEMENT II, L.L.C.|FAIRVIEW VENTURE MANAGEMENT II, L.L.C.|75 ISHAM ROAD|SUITE 200|WEST HARTFORD CT 06107|USA|||  ||DOUGLAS BOAINS|860-674-8066|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/08/2002|0|0|0|0|0|0
Boston Regional Office| 122245|801-61638|DKR CAPITAL SECURITIES CORP.|DKR CAPITAL SECURITIES CORP.|1281 EAST MAIN STREET||STAMFORD CT 06902|USA|||  ||RAJNI NARASI|(203) 324-8378|Corporation|Other|APPROVED|12/10/2002|0|0|0|0|0|0
Boston Regional Office| 122258|801-61448|SCS CAPITAL MANAGEMENT LLC|SCS CAPITAL MANAGEMENT LLC|1 WINTHROP SQUARE||BOSTON MA 02110|USA|||  ||JOSEPH MCCUINE|617-204-6433|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|09/06/2002|0|0|0|0|0|0
Boston Regional Office| 122331|801-63628|BOND & CO.|BOND AND COMPANY, INC.|159 WARREN STREET||NEEDHAM MA 02492|USA|P. O. BOX 920139||NEEDHAM MA 02492|USA|FRANK S. BOND|781.449.8100|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|11/15/2004|0|0|0|0|0|0
Boston Regional Office| 122370|801-62235|GLEACHER FUND ADVISORS LP|GLEACHER FUND ADVISORS LP|60 ARCH ST.||GREENWICH CT 06830|USA|||  ||ASHLEIGH SWAYZE|203-302-4700|Other (specify)|Selection of other advisers, Other|APPROVED|06/30/2003|0|0|0|0|0|0
Boston Regional Office| 122480|801-61439|MATSON FINANCIAL ADVISORS, INC.|MATSON FINANCIAL ADVISORS, INC.|103 NEWTOWN ROAD|SUITE 1A|DANBURY CT 06810|USA|||  ||SUE SLATER|203-743-0131|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|09/12/2002|0|0|0|0|0|0
Boston Regional Office| 122613|801-63299|ADVISORY ONE, INC.|ADVISORY ONE, INC.|406 FARMINGTON AVENUE||FARMINGTON CT 06032|USA|||  ||BRIAN J. MYLOD|860-676-7754|Corporation|Portfolio management for individuals and/or small businesses, Other|APPROVED|06/29/2004|0|0|0|0|0|0
Boston Regional Office| 122639|801-63561|BEACON INVESTMENT MANAGEMENT, LLC|BEACON INVESTMENT MANAGEMENT, LLC|1 INDIA STREET|SUITE 205|BOSTON MA 02109|UNITED STATES|||  ||ANDREW M. ST. PIERRE|617-357-8306|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|10/08/2004|0|0|0|0|0|0
Boston Regional Office| 122816|801-61527|ICAPITAL, LLC|ICAPITAL, LLC|ONE HARBOUR PLACE|SUITE 115|PORTSMOUTH NH 03801|USA|||  ||C. DAVID WELLER|(603)422-6440|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|10/18/2002|0|1|0|0|0|0
Boston Regional Office| 122888|801-62097|SOUTHERN CROSS CAPITAL (USA), INC.|SOUTHERN CROSS CAPITAL (USA), INC.|33 RIVERSIDE AVENUE|5TH FLOOR|WESTPORT CT 06880|USA|||  ||GUY R. SHUTT|203-222-2060|Corporation|Other|APPROVED|05/28/2003|0|0|0|0|0|0
Boston Regional Office| 122986|801-63966|PATRIOT MULLARE ASSOCIATES|PATRIOT MULLARE ASSOCIATES|188 WHITING STREET||HINGHAM MA 02043|USA|||  ||PAUL MULLARE|(781)740-1000|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/04/2005|0|0|0|0|0|0
Boston Regional Office| 123021|801-61518|ALADDIN CAPITAL MANAGEMENT LLC|ALADDIN CAPITAL MANAGEMENT LLC|SIX LANDMARK SQUARE||STAMFORD CT 06901|USA|||  ||PATRICK B. MALONEY|203-487-6746|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|10/09/2002|0|1|0|0|0|0
Boston Regional Office| 123063|801-61495|DKR SATURN MANAGEMENT L.P.|DKR SATURN MANAGEMENT L.P.|1281 EAST MAIN STREET||STAMFORD CT 09602|USA|||  ||RAJNI NARASI|(203)324-8378|Partnership|Other|APPROVED|10/15/2002|0|0|0|0|0|0
Boston Regional Office| 123098|801-63290|ROBINSON FINANCIAL ASSOCIATES|ROBINSON, DAVID PRESTON|100 COMMERCIAL STREET|SUITE 405|PORTLAND ME 04101|USA|||  ||DAVID P ROBINSON|207-874-9840|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/12/2004|0|0|0|0|0|0
Boston Regional Office| 123108|801-63699|WEISS CAPITAL MANAGEMENT, INC.|WEISS CAPITAL MANAGEMENT, INC.|13 WRIGHT FARM ROAD||CONCORD MA 01742-1528|USA|P.O. BOX 1128||CONCORD MA 01742-1128|USA|JAMES M. WEISS|978-505-5435|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/03/2005|0|0|0|0|0|0
Boston Regional Office| 123282|801-61530|TRUEHAND, INC.|TRUEHAND, INC.|109 ANAWAN AVENUE||BOSTON MA 02132-2012|USA|||  ||PHILIP T. CHAPLIN|617-323-4009|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|10/11/2002|0|0|0|0|0|0
Boston Regional Office| 123359|801-66446|DRUM HILL CAPITAL, LLC|DRUM HILL CAPITAL, LLC|167 BRANCH BROOK ROAD||WILTON CT 06897|USA|||  ||DAVID NIGHTINGALE|203-834-0534|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|03/27/2006|0|0|0|0|0|0
Boston Regional Office| 123438|801-62602|SORA ASSOCIATES, LLC|SORA ASSOCIATES, LLC|56 MAINE STREET||BRUNSWICK ME 04011|USA|P.O. BOX 297||HARPSWELL ME 04079|USA|LEIGHTON H. MCILVAINE, JR.|207-729-4420|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/02/2004|0|0|0|0|0|0
Boston Regional Office| 123499|801-67793|DOVER INVESTMENT ADVISORY CORPORATION|DOVER INVESTMENT ADVISORY CORPORATION|21 ELIOT STREET||SOUTH NATICK MA 01760|USA|||  ||STUART K. NAGODE, CFA|508-954-9745|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/17/2007|0|0|0|0|0|0
Boston Regional Office| 123525|801-62519|RMR ADVISORS, INC.|RMR ADVISORS, INC.|400 CENTRE STREET||NEWTON MA 02458|USA|||  ||MARK L. KLEIFGES|617-796-8327|Corporation|Portfolio management for investment companies|APPROVED|11/19/2003|0|0|0|0|0|0
Boston Regional Office| 123546|801-64500|PROSPECTOR PARTNERS, LLC|PROSPECTOR PARTNERS, LLC|370 CHURCH STREET||GUILFORD CT 06437|USA|||  ||PETER N. PERUGINI|203-458-1500 EXT 811|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|07/11/2005|0|0|0|0|0|0
Boston Regional Office| 123558|801-61564|BOSTON COMMON ASSET MANAGEMENT, LLC|BOSTON COMMON ASSET MANAGEMENT, LLC|84 STATE STREET, SUITE 1000||BOSTON MA 02109|USA|||  ||LAUREN COMPERE|(617) 720-5557|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|11/08/2002|0|0|0|0|0|0
Boston Regional Office| 123796|801-61630|REX CAPITAL ADVISORS, LLC|REX CAPITAL ADVISORS, LLC|50 PARK ROW WEST|SUITE 113|PROVIDENCE RI 02903|USA|||  ||ARTHUR X. DUFFY|(401) 383-5370|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|11/25/2002|0|0|0|0|0|0
Boston Regional Office| 123826|801-61852|K2/D&S MANAGEMENT CO., L.L.C.|K2/D&S MANAGEMENT CO., L.L.C.|300 ATLANTIC STREET  12TH FL.||STAMFORD CT 06901|USA|||  ||MICHAEL JOHN ANDERSEN|203-905-5352|Limited Liability Company|Other|APPROVED|03/11/2003|0|0|0|0|0|0
Boston Regional Office| 123884|801-61705|COPLEY SQUARE CAPITAL MANAGEMENT, LLC|COPLEY SQUARE CAPITAL MANAGEMENT, LLC|11 PUEBLO ROAD||MEDFIELD MA 02052|USA|||  ||JOHN A. WEBER|617-405-6122|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/17/2003|0|0|0|0|0|0
Boston Regional Office| 123910|801-61636|SIGNET INVESTMENT ADVISORY GROUP, INC.|SIGNET INVESTMENT ADVISORY GROUP, INC.|101 DYER STREET, SUITE 3C||PROVIDENCE RI 02903|USA|||  ||ROBERTA M. CAPUANO|401-621-2221|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/26/2002|0|0|0|0|0|0
Boston Regional Office| 124062|801-62001|ATHENA CAPITAL ADVISORS LLC|ATHENA CAPITAL ADVISORS LLC|55 OLD BEDFORD RD||LINCOLN MA 01773|USA|||  ||ANN BURNHAM|781-274-9300|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/17/2003|0|0|0|0|0|0
Boston Regional Office| 124171|801-64972|CAPITAL PROSPECTS LLC|CAPITAL PROSPECTS LLC|ONE DOCK STREET|SUITE 405|STAMFORD CT 06902|USA|||  ||MARILYN R. FREEMAN|203-388-4220|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|12/08/2005|0|0|0|0|0|0
Boston Regional Office| 124324|801-64777|PURKISS CAPITAL ADVISORS, LLC|PURKISS CAPITAL ADVISORS, LLC|62 BARRY AVENUE||RIDGEFIELD CT 06877|USA|62 BARRY AVENUE|BOX 29|RIDGEFIELD CT 06877|USA|R. ALLEN PURKISS|203-431-5862|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|10/11/2005|0|0|0|0|0|0
Boston Regional Office| 124391|801-61842|CAMELOT MANAGEMENT CORPORATION|CAMELOT MANAGEMENT CORPORATION|3 PICKWICK PLAZA 4TH FLOOR||GREENWICH CT 06830|USA|||  ||HEIDI B. SMITH|203-863-7450|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/10/2003|0|0|0|0|0|0
Boston Regional Office| 124587|801-68041|W.A. ENTWISTLE AND ASSOCIATES|RETIREMENT EDUCATION & TRAINING CONSULTANTS, LLC|24 SALT POND ROAD BUILDING G-3||WAKEFIELD RI 02879-1501|USA|||  ||WILLIAM A. ENTWISTLE, III|401-782-6166|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|06/20/2007|0|0|0|0|0|0
Boston Regional Office| 124636|801-61711|STRATEGIC POINT INVESTMENT ADVISORS LLC|STRATEGIC POINT INVESTMENT ADVISORS LLC|220 WEST EXCHANGE STREET||PROVIDENCE RI 02903-1004|USA|||  ||RICHARD J. ANZELONE|401-273-1500|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/31/2002|0|0|0|0|0|0
Boston Regional Office| 124673|801-61761|T.ROBBINS CAPITAL MANAGEMENT LLC|ROBBINS CAPITAL MANAGEMENT LLC|100 FIRST STAMFORD PLACE  6TH FLOOR EAST||STAMFORD CT 06902-6740|USA|||  ||THAYER BROWN ROBBINS|203-388-4848|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies|APPROVED|01/27/2003|0|1|0|0|0|0
Boston Regional Office| 124676|801-61946|TALL SHIPS CAPITAL MANAGEMENT LLC|TALL SHIPS CAPITAL MANAGEMENT LLC|20 DAYTON AVENUE||GREENWICH CT 06830|USA|||  ||ROBERT LANAVA|(203) 552-1902|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/03/2003|0|0|0|0|0|0
Boston Regional Office| 124679|801-61947|STEAMBOAT CAPITAL MANAGEMENT LLC|STEAMBOAT CAPITAL MANAGEMENT LLC|20 DAYTON AVENUE||GREENWICH CT 06830|USA|||  ||ROBERT LANAVA|203-552-1902|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/03/2003|0|0|0|0|0|0
Boston Regional Office| 124744|801-62016|MARINER INVESTMENT GROUP, LLC|MARINER INVESTMENT GROUP, LLC|100 FEDERAL STREET|29TH FLOOR|BOSTON MA 02110|USA|||  ||RUSSELL A. THOMPSON|617-439-3540|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/14/2003|0|1|0|0|0|0
Boston Regional Office| 124801|801-64598|PATHWAY FINANCIAL ADVISORS, LLC|PATHWAY FINANCIAL ADVISORS, LLC|110 MAIN STREET|SUITE 401|BURLINGTON VT 05401|USA|||  ||SCOTT BEAUDIN|802-660-7086|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|08/15/2005|0|0|0|0|0|0
Boston Regional Office| 124867|801-61932|ARIA, LLC|ASSET & RETIREMENT INVESTMENT ASSOCIATES, LLC|2488 BOSTON POST ROAD|SUITE A|GUILFORD CT 06437-1354|USA|||  ||DEBORAH L. V. ABILDSOE|203-453-9075|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|03/27/2003|0|0|0|0|0|0
Boston Regional Office| 124873|801-61763|BERKSHIRE MONEY MANAGEMENT, INC.|BERKSHIRE MONEY MANAGEMENT, INC.|1450 EAST STREET, SUITE 8||PITTSFIELD MA 01201|USA|PO BOX 3857||PITTSFIELD MA 01202|USA|STACEY CARVER|888-232-6072|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/29/2003|1|0|0|0|0|0
Boston Regional Office| 125012|801-61776|WESTWOOD GLOBAL INVESTMENTS|WESTWOOD GLOBAL INVESTMENTS LLC|99 SUMMER ST|SUITE 1130|BOSTON MA 02110|USA|||  ||SHEILA STANTON|617-428-4047|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/31/2003|0|0|0|0|0|0
Boston Regional Office| 125240|801-63511|EXCHANGE PLACE ADVISORS, LLC|EXCHANGE PLACE ADVISORS, LLC|1 UNION AVENUE||SUDBURY MA 01776|USA|||  ||JOHN C. OLLQUIST|978-443-2713|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/16/2004|0|0|0|0|0|0
Boston Regional Office| 125295|801-69371|CAROL J. BURTON, CFP TM|CAROL JEANETTE BURTON|9 WAKE ROBIN RD||WESTPORT CT 06880|USA|||  ||CAROL BURTON|203-227-5077|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/03/2008|0|0|0|0|0|0
Boston Regional Office| 125304|801-61867|PALMERDODGE ADVISORS LLC|PALMERDODGE ADVISORS LLC|111 HUNTINGTON AVENUE|18TH FLOOR|BOSTON MA 02199-7613|USA|||  ||DAVID O. RAJALA|617-239-0450|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/14/2003|0|0|0|0|0|0
Boston Regional Office| 125335|801-61893|WILCOX INVESTMENT, INC.|WILCOX INVESTMENT, INC.|950 CENTRE STREET||NEWTON MA 02459|USA|||  ||JARROD W. WILCOX|(617)332-4666|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/14/2003|0|0|0|0|0|0
Boston Regional Office| 125361|801-62000|CRESTWOOD ADVISORS LLC|CRESTWOOD ADVISORS LLC|50 FEDERAL STREET|SUITE 810|BOSTON MA 02110|USA|||  ||JOHN W. MORRIS|617-523-8880|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/21/2003|0|0|0|0|0|0
Boston Regional Office| 125416|801-61984|ENSIGN INVESTMENT ADVISERS LLC|ENSIGN INVESTMENT ADVISERS LLC|TEN POST OFFICE SQUARE|SUITE 1220|BOSTON MA 02109|USA|||  ||JAMES B. CRAVER|617-951-9213|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/17/2003|0|0|0|0|0|0
Boston Regional Office| 125495|801-62018|TIBER ASSET MANAGEMENT LLC|TIBER ASSET MANAGEMENT LLC|16 THORNDAL CIRCLE||DARIEN CT 06820|USA|||  ||GIANFRANCO CAPASSO|203-202-2250|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Market timing services, Other|APPROVED|04/25/2003|0|0|0|0|0|0
Boston Regional Office| 125509|801-63011|BROADWATER CAPITAL MANAGEMENT LLC|BROADWATER CAPITAL MANAGEMENT LLC|33 BROAD STREET, SUITE 403||BOSTON MA 02109-4244|USA|||  ||ANGEL M GARCIA|617-778-0095|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/13/2004|0|0|0|0|0|0
Boston Regional Office| 125515|801-62052|INVESRA|LTSAVE, INC.|500 HARRISON AVE|SUITE 1E|BOSTON MA 02118|USA|||  ||SUNIL K. BHATIA|617-357-4600|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Other|APPROVED|05/16/2003|0|0|0|0|0|0
Boston Regional Office| 125518|801-66556|BRIGGS WEALTH MANAGEMENT, LLC|BRIGGS WEALTH MANAGEMENT, LLC|76 EASTERN BOULEVARD|SUITE 102|GLASTONBURY CT 06033|USA|||  ||MARK V. BRIGGS|860.633.8988|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|06/30/2006|0|0|0|0|0|0
Boston Regional Office| 125533|801-61965|PERSONAL FINANCIAL ADVISORS, LLC|PERSONAL FINANCIAL ADVISORS, LLC|140 ELM STREET||NEW CANAAN CT 06840|USA|||  ||KENNETH DANILO|203-972-6399|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Other|APPROVED|04/07/2003|0|0|0|0|0|0
Boston Regional Office| 125579|801-68082|MENDOZA AND ASSOCIATES, INC.|MENDOZA AND ASSOCIATES, INC.|35 COLD SPRING ROAD|SUITE 114|ROCKY HILL CT 06067|USA|||  ||KENNETH GEORGE MENDOZA|(860)563-1319|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|06/21/2007|0|0|0|0|0|0
Boston Regional Office| 125623|801-67397|BROMFIELD FINANCIAL ADVISORY GROUP, INC.|BROMFIELD FINANCIAL ADVISORY GROUP, INC.|FIVE CAMBRIDGE CENTER|8TH FLOOR|CAMBRIDGE MA 02142|USA|||  ||ERIC SNEIDER|617-252-3400|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|12/14/2006|0|0|0|0|0|0
Boston Regional Office| 125669|801-63090|MAST CAPITAL MANAGEMENT LLC|MAST CAPITAL MANAGEMENT, LLC|535 BOYLSTON STREET|SUITE 401|BOSTON MA 02116|USA|||  ||CHRISTOPHER MADISON|617-247-7675|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/29/2004|0|0|0|0|0|0
Boston Regional Office| 125690|801-69032|TWENTY-FIRST CENTURY FINANCIAL ADVISORS INC|TWENTY-FIRST CENTURY FINANCIAL ADVISORS INC|945 MAIN STREET SUITE 104||MANCHESTER CT 06040-6064|USA|||  ||CRAIG LAPPEN|860-646-2100|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/14/2008|0|0|0|0|0|0
Boston Regional Office| 125714|801-66303|SPIVAK ASSET MANAGEMENT, LLC|SPIVAK ASSET MANAGEMENT, LLC|172 WEST MAIN STREET||AVON CT 06001|USA|||  ||JAY SPIVAK|860-676-9756|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|02/01/2006|0|0|0|0|0|0
Boston Regional Office| 125739|801-67898|RESOLUTE FINANCIAL, LLC|RESOLUTE FINANCIAL, LLC|THE TANNERY MALL - MILL #1|50 WATER STREET|NEWBURYPORT MA 01950|USA|||  ||CHARLES M JOHNSON|978-463-8771|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|05/04/2007|0|0|0|0|0|0
Boston Regional Office| 125791|801-61958|HOOKER & HOLCOMBE INVESTMENT ADVISORS, INC.|HOOKER & HOLCOMBE INVESTMENT ADVISORS, INC.|65 LASALLE ROAD||WEST HARTFORD CT 06107|USA|||  ||JOHN N. FULLER|860-521-8400|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|04/04/2003|0|0|0|0|0|0
Boston Regional Office| 125839|801-66969|ELEVEN O'CLOCK ASSOCIATES, LLC|ELEVEN O'CLOCK ASSOCIATES, LLC|36 MILL PLAIN ROAD|STE. 207|DANBURY CT 06811|USA|||  ||ROSE MCCONLOGUE|203.797-1140|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/12/2006|0|0|0|0|0|0
Boston Regional Office| 125853|801-61935|SPM JR., L.L.C.|SPM JR., L.L.C.|CLEARWATER HOUSE, 2187 ATLANTIC STREET|4TH FLOOR|STAMFORD CT 06902|USA|||  ||JENELLE SCANLON|201-351-2870|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/03/2003|0|0|0|0|0|0
Boston Regional Office| 125868|801-64123|HERITAGE HOUSE ASSET MANAGEMENT|AQUILINO  MICHAEL DOMENIC|50 CONGRESS STREET|SUITE 300|BOSTON MA 02109|USA|||  ||MICHAEL D. AQUILINO|617 482-8877|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/15/2005|0|0|0|0|0|0
Boston Regional Office| 125964|801-63707|FIVE MILE RIVER I. M. L.L.C.|FIVE MILE RIVER INVESTMENT MANAGEMENT L.L.C.|100 FIRST STAMFORD PLACE  6FL EAST||STAMFORD CT 06902-6740|USA|||  ||THAYER B. ROBBINS|203-388-4810|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies|APPROVED|02/09/2004|0|1|0|0|0|0
Boston Regional Office| 126003|801-62499|GOLDBERG CAPITAL MANAGEMENT|GOLDBERG, LEONARD L|27 STAGECOACH RD||AVON CT 06001|USA|||  ||LEONARD GOLDBERG|860-673-0141|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|11/07/2003|0|0|0|0|0|0
Boston Regional Office| 126007|801-68967|BENTLEY WEALTH ADVISORS, LLC|BENTLEY WEALTH ADVISORS, LLC|117 METRO CENTER BLVD|SUITE 3000|WARWICK RI 02886|USA|||  ||HAROLD E. BRIGGS, JR.|401-921-2002|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/17/2008|0|0|0|0|0|0
Boston Regional Office| 126062|801-68914|LGC&D WEALTH MANAGEMENT, LLC|LGC&D WEALTH MANAGEMENT, LLC|10 WEYBOSSET STREET|SUITE 700|PROVIDENCE RI 02903|USA|||  ||JERROLD DORFMAN|401-421-4800|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|03/05/2008|0|0|0|0|0|0
Boston Regional Office| 126138|801-65327|MERCURY REAL ESTATE ADVISORS LLC|MERCURY REAL ESTATE ADVISORS LLC|THREE RIVER ROAD||GREENWICH CT 06807|USA|||  ||KATHRYN PAYNE BELLER|203-869-9191|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/26/2006|0|0|0|0|0|0
Boston Regional Office| 126140|801-64738|ROBERT J. REBY & COMPANY INC.|ROBERT J. REBY & COMPANY INC.|83 WOOSTER HEIGHTS||DANBURY CT 06810|USA|||  ||LAURIE A HAM|203.790.4949|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|09/28/2005|0|0|0|0|0|0
Boston Regional Office| 126144|801-61950|FERNWOOD INVESTMENT MANAGEMENT, LLC|FERNWOOD INVESTMENT MANAGEMENT, LLC|400 CROWN COLONY DRIVE|SUITE 202|QUINCY` MA 02169|USA|||  ||THOMAS P. REILLY|617-376-4750|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/11/2003|0|0|0|0|0|0
Boston Regional Office| 126285|801-63475|ZEBRA CAPITAL MANAGEMENT, L.L.C.|ZEBRA CAPITAL MANAGEMENT, L.L.C.|612 WHEELERS FARMS RD||MILFORD CT 06460|USA|||  ||PETER A. SCHAFFER|203-878-3223|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|08/27/2004|0|0|0|0|0|0
Boston Regional Office| 126286|801-63476|ZEBRA ADVISORS, L.L.C.|ZEBRA ADVISORS, L.L.C.|612 WHEELERS FARMS RD||MILFORD CT 06460|USA|||  ||PETER A. SCHAFFER|203-878-3223|Limited Liability Company|Other|APPROVED|08/27/2004|0|0|0|0|0|0
Boston Regional Office| 126295|801-67408|THAMES FINANCIAL MANAGEMENT|CDM FINANCIAL COUNSELING SERVICES, INC.|457 WEST MAIN STREET||NORWICH CT 06360|USA|||  ||BARBARA D. KANTER|(860)886-5108|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/03/2007|0|0|0|0|0|0
Boston Regional Office| 126355|801-63012|ARC INVESTMENT PLANNING & MANAGEMENT INC|ARC INVESTMENT PLANNING & MANAGEMENT INC|5 WALKER STEET||LENOX MA 01240-2723|USA|||  ||BARRY M. WESSON|413-637-4707|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/13/2004|0|0|0|0|0|0
Boston Regional Office| 126468|801-68105|LORETTA NOLAN ASSOCIATES, LLC|LORETTA NOLAN ASSOCIATES, LLC|13 ARCADIA ROAD,SUITE 10||OLD GREENWICH CT 06870|USA|||  ||LORETTA NOLAN|203.637.1402|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|06/28/2007|0|0|0|0|0|0
Boston Regional Office| 126517|801-62229|SPRING CREEK INVESTMENT ADVISORS, INC.|SPRING CREEK INVESTMENT ADVISORS, INC.|45 MONADNOCK ROAD||CHESTNUT HILL MA 02467|USA|||  ||ELLIOT SCHILDKROUT|617-588-2877|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|07/23/2003|0|0|0|0|0|0
Boston Regional Office| 126665|801-62078|PRIVATE CAPITAL GROUP, LLC|PRIVATE CAPITAL GROUP, LLC|29 SOUTH MAIN STREET||WEST HARTFORD CT 06107|USA|||  ||NEIL HARTZOG|860.561.1162|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|05/27/2003|0|0|0|0|0|0
Boston Regional Office| 126681|801-66937|JEFFREY N. MEHLER, CFP LLC|JEFFREY N. MEHLER, CFP LLC|147 WESTBROOK ROAD||ESSEX CT 06426|USA|||  ||JEFFREY N. MEHLER|860-767-9700|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|06/30/2006|0|0|0|0|0|0
Boston Regional Office| 126735|801-63937|BENEMARK, INC|BENEMARK, INC|929 KINGS HIGHWAY EAST|3RD FLOOR|FAIRFIELD CT 06825|USA|||  ||GREGG G. PADILLA|203-696-6171|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/29/2005|0|0|0|0|0|0
Boston Regional Office| 126748|801-63017|CAPITAL ADVISORS, LLC|CAPITAL ADVISORS, LLC|POINT WEST PLACE, SUITE 101|111 SPEEN STREET|FRAMINGHAM MA 01701|USA|||  ||GARY ANTHONY GERULSKIS|508-879-5009|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|04/16/2004|0|0|0|0|0|0
Boston Regional Office| 126765|801-62213|PUNTER SOUTHALL LLC|PUNTER SOUTHALL LLC|161 WORCESTER ROAD|SUITE 503|FRAMINGHAM MA 01701|USA|||  ||JOANNE RAE O'DONNELL|508.620.7110 EXT. 11|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|07/18/2003|0|0|0|0|0|0
Boston Regional Office| 126805|801-66738|COLCHESTER INVESTMENT COUNSEL LLC|COLCHESTER INVESTMENT COUNSEL LLC|90 GROVE STREET|SUITE 201|RIDGEFIELD CT 06877|USA|||  ||KATHRYN PAYNE BELLER|203.702.1828|Limited Liability Company|Portfolio management for individuals and/or small businesses, Other|APPROVED|05/22/2006|0|1|0|0|0|0
Boston Regional Office| 126816|801-62617|MORE FOR LESS FINANCIAL SOLUTIONS, LLC|MORE FOR LESS FINANCIAL SOLUTIONS, LLC|88 VAN BUREN AVENUE||WEST HARTFORD CT 06107-3052|USA|||  ||JOHN W KAPOUCH|(860)521-7779|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|01/02/2004|0|0|0|0|0|0
Boston Regional Office| 126869|801-65115|KRAEMATON INVESTMENT ADVISORS, INC|KRAEMATON INVESTMENT ADVISORS, INC|20 WALNUT ST||WELLESLEY MA 02482|USA|||  ||GILBERT MOREIRA|781-431-1003|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/06/2006|0|0|0|0|0|0
Boston Regional Office| 126928|801-64018|SEASCAPE CAPITAL MANAGEMENT,LLC|SEASCAPE CAPITAL MANAGEMENT,LLC|155 LAFAYETTE ROAD|DRAKE HILL COMMONS|NORTH HAMPTON NH 03862|USA|||  ||MONICA ANN NESS|(603)964-4480|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|06/24/2005|0|0|0|0|0|0
Boston Regional Office| 127009|801-66775|WELLESLEY ASSET MANAGEMENT, LLC|WELLESLEY ASSET MANAGEMENT, LLC|135 BENVENUE STREET||WELLESLEY MA 02482|USA|||  ||PHILIP M. LAUGHLIN|781-235-4310|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|05/31/2006|0|0|0|0|0|0
Boston Regional Office| 127064|801-62203|GLOBAL FOREST PARTNERS LP|GLOBAL FOREST PARTNERS LP|24 AIRPORT ROAD,|TRADE CENTER, 4TH FLOOR|WEST LEBANON NH 03784|USA|||  ||JAMES J. HEALY|603-298-4966|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|07/08/2003|0|0|0|0|0|0
Boston Regional Office| 127161|801-67774|GREENWICH INVESTMENT MANAGEMENT, INC.|GREENWICH INVESTMENT MANAGEMENT, INC.|67 MASON STREET||GREENWICH CT 06830|USA|||  ||ROBERT A DEFRUSCIO|203-625-5316|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/21/2007|0|0|0|0|0|0
Boston Regional Office| 127217|801-63453|POLARIS ADVISORS, LLC|POLARIS ADVISORS, LLC|144 TURNPIKE ROAD|SUITE 360|SOUTHBOROUGH MA 01772|USA|||  ||FREDRIC E. WELDON|(508)481-2299|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|08/27/2004|0|0|0|0|0|0
Boston Regional Office| 127242|801-62293|ALLIANZ INVESTMENT COMPANY LLC|ALLIANZ INVESTMENT COMPANY LLC|55 GREENS FARMS ROAD||WESTPORT CT 06881-5160|USA|||  ||LISA SHAFFER|(203) 221-8503|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/21/2003|0|0|0|0|0|0
Boston Regional Office| 127249|801-62378|JAMES MCCUSKER & ASSOCIATES|MCCUSKER, JAMES|11 SUMMER STREET||CHELMSFORD MA 01824|USA|||  ||JAMES MCCUSKER|978-256-1323|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|09/22/2003|0|0|0|0|0|0
Boston Regional Office| 127264|801-62131|DIVERSIFIED FINANCIAL MANAGEMENT INC.|DIVERSIFIED FINANCIAL MANAGEMENT INC.|80 WASHINGTON STREET|SUITE O-54|NORWELL MA 02061|USA|||  ||WILLIAM N. MCKENNA, III|781-792-0440|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Publication of periodicals or newsletters, Other|APPROVED|06/20/2003|0|0|0|0|0|0
Boston Regional Office| 127268|801-64494|HERITAGE FINANCIAL SERVICES, INC.|HERITAGE FINANCIAL SERVICES, INC.|477 WASHINGTON STREET|STE #15|NORWOOD MA 02062|USA|||  ||JENNIFER WATSON|781-255-0214|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/19/2005|0|0|0|0|0|0
Boston Regional Office| 127290|801-62188|ABS INVESTMENT MANAGEMENT|ABS INVESTMENT MANAGEMENT LLC|55 RAILROAD AVE||GREENWICH CT 06830|USA|||  ||DAVID FINN|203-618-3700|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|07/01/2003|0|0|0|0|0|0
Boston Regional Office| 127304|801-62286|GRT CAPITAL PARTNERS, LLC|GRT CAPITAL PARTNERS, LLC|50 MILK STREET|21ST FLOOR|BOSTON MA 02109|USA|||  ||TIMOTHY A. KROCHUK|617-226-1700|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/20/2003|0|0|0|0|0|0
Boston Regional Office| 127346|801-66540|TOOMEY FINANCIAL ADVISORS|TOOMEY, BRENDAN RICHARD, SR.|420 CENTER STREET|1ST FLOOR|WALLINGFORD CT 06492|USA|||  ||BRENDAN TOOMEY|(203) 949-1710|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/15/2006|0|0|0|0|0|0
Boston Regional Office| 127431|801-62171|DECISION ECONOMICS, INCORPORATED|DECISION ECONOMICS, INCORPORATED|ONE BOSTON PLACE, SUITE 1650||BOSTON MA 02108-4402|USA|||  ||ROBERT W. ARSENAULT|617-994-0511|Corporation|Portfolio management for investment companies, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|07/08/2003|0|0|0|0|0|0
Boston Regional Office| 127447|801-62151|SUSTAINABLE GROWTH ADVISERS, LP|SUSTAINABLE GROWTH ADVISERS, LP|301 TRESSER BOULEVARD|SUITE 1310|STAMFORD CT 06901|USA|||  ||MARY GREVE|203-348-4742|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/18/2003|0|0|0|0|0|0
Boston Regional Office| 127466|801-62546|SJS CORPORATION|SJS CORPORATION|700 CANAL ST|3RD FLOOR|STAMFORD CT 06902|USA|||  ||STEVEN J. SIMES|203-328-3001|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Market timing services, Other|APPROVED|12/03/2003|0|0|0|0|0|0
Boston Regional Office| 127496|801-62368|CATAMOUNT MANAGEMENT GROUP LLC|CATAMOUNT MANAGEMENT GROUP LLC|121 POST ROAD EAST||WESTPORT CT 06880|USA|||  ||LOUIS F. ALBANESE|203-226-0603|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/23/2003|0|10|0|0|0|0
Boston Regional Office| 127549|801-62242|ESSEX FINANCIAL SERVICES, INC.|ESSEX FINANCIAL SERVICES, INC.|176 WESTBROOK ROAD||ESSEX CT 06426|USA|||  ||MICHAEL D. O'ROURKE|860-767-4300|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/07/2003|0|1|0|0|0|0
Boston Regional Office| 127565|801-62199|THE CORPORATE LIBRARY, LLC|THE CORPORATE LIBRARY LLC|45 EXCHANGE STREET, SUITE 200||PORTLAND ME 04101-5033|USA|||  ||JOHN P. KIPP, JR.|207-553-5601|Limited Liability Company|Publication of periodicals or newsletters, Security ratings or pricing services, Other|APPROVED|07/16/2003|0|0|0|0|0|0
Boston Regional Office| 127654|801-63389|MJP ASSOCIATES, INC.|MJP ASSOCIATES, INC.|790 FARMINGTON AVE., BLDG 3E||FARMINGTON CT 06032|USA|||  ||MORTON J. POTOFF|860.677.7755|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|09/01/2004|0|1|0|0|0|0
Boston Regional Office| 127691|801-62263|COOPER CAPITAL, INC.|COOPER CAPITAL, INC.|223 HILLS POINT ROAD||WESTPORT CT 06880-6618|USA|||  ||SARA COOPER|203-222-0466|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|08/21/2003|0|0|0|0|0|0
Boston Regional Office| 127722|801-63059|DOVER INVESTMENT MANAGEMENT LLC|DOVER INVESTMENT MANAGEMENT LLC|140 GREENWICH AVENUE||GREENWICH CT 06830|USA|||  ||KATHRYN PAYNE BELLER|203-769-4141|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/16/2005|0|0|0|0|0|0
Boston Regional Office| 127748|801-68138|LIGHTHOUSE FINANCIAL MANAGEMENT, LLC|LIGHTHOUSE FINANCIAL MANAGEMENT, LLC|85 BEACH STREET|BLDG D-UNIT 17A|WESTERLY RI 02891|USA|||  ||STEPHEN C. POPLASKI|401-596-3353|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/11/2007|0|1|0|0|0|0
Boston Regional Office| 127795|801-66543|ASSABET ADVISORS, LLC|ASSABET ADVISORS, LLC|4 SMITH ROAD||NORTHBOROUGH MA 01532|USA|||  ||ELIZABETH B. PHELPS|508-351-9666|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|05/01/2006|0|0|0|0|0|0
Boston Regional Office| 127888|801-62278|TECHNOLOGY INVESTMENT MANAGEMENT, LLC|TICC MANAGEMENT, LLC|8 SOUND SHORE DRIVE, SUITE 255||GREENWICH CT 06830|USA|||  ||PATRICK F. CONROY|203-983-5282|Limited Liability Company|Portfolio management for investment companies|APPROVED|08/13/2003|0|0|0|0|0|0
Boston Regional Office| 128005|801-69209|KCS ADVISORS, LLC|KCS ADVISORS, LLC|50 CLIFFORD FARM ROAD||DUNBARTON NH 03046|USA|||  ||KEVIN C. SOLES|603-774-8500|Limited Liability Company|Portfolio management for individuals and/or small businesses, Other|APPROVED|06/12/2008|0|0|0|0|0|0
Boston Regional Office| 128216|801-62306|LTG CAPITAL LLC|LTG CAPITAL LLC|14 WINDEMERE ROAD||WELLESLEY MA 02481|USA|275 GROVE STREET|BUILDING 2, SUITE 400|NEWTON MA 02466|USA|MARC MICHAELS|888.445.0111|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|08/28/2003|0|0|0|0|0|0
Boston Regional Office| 128223|801-62668|NORTHERN CROSS, LLC|NORTHERN CROSS, LLC|125 SUMMER STREET SUITE 1470||BOSTON MA 02110|USA|||  ||LUCY GOREHAM|617.951.0004|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/07/2004|0|0|0|0|0|0
Boston Regional Office| 128244|801-62349|SHEPHERD KAPLAN LLC|SHEPHERD KAPLAN LLC|125 SUMMER STREET|22ND FLOOR|BOSTON MA 02110|USA|||  ||MARCUS HUNTER|617-896-1620|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|10/20/2003|0|0|0|0|0|0
Boston Regional Office| 128256|801-63566|PHILO SMITH CAPITAL CORPORATION|PHILO SMITH CAPITAL CORPORATION|695 EAST MAIN STREET|FINANCIAL CENTRE|STAMFORD CT 06901|USA|||  ||MICHELE C. O'GRADY|203-348-7365|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|10/14/2004|0|0|0|0|0|0
Boston Regional Office| 128270|801-63450|GENESIS CAPITAL ADVISORS, INC.|GENESIS CAPITAL ADVISORS, INC.|532 PAGE STREET||STOUGHTON MA 02072|USA|||  ||PAUL F. DUVAL|781-344-1023|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/30/2004|0|0|0|0|0|0
Boston Regional Office| 128356|801-62448|ALPHASIMPLEX GROUP, LLC|ALPHASIMPLEX GROUP, LLC|ONE CAMBRIDGE CENTER||CAMBRIDGE MA 02142|USA|||  ||ARNOUT M. EIKEBOOM|617.475.7107|Limited Liability Company|Other, Portfolio management for investment companies|APPROVED|10/23/2003|0|4|0|0|0|0
Boston Regional Office| 128401|801-62462|HIGHBRACE CAPITAL, LLC|HIGHBRACE CAPITAL, LLC|26 BYFIELD LANE|SUITE 102|GREENWICH CT 06830|USA|||  ||THOMAS A. ORTWEIN|203.340.2206|Limited Liability Company|Selection of other advisers, Other|APPROVED|11/04/2003|0|2|0|0|0|0
Boston Regional Office| 128443|801-67330|PEGAESUS ADVISORS, INC.|PEGAESUS ADVISORS, INC.|594 MARRETT RD|SUITE 16|LEXINGTON MA 02421|USA|||  ||CAROLYN BUTLER HOWARD|781.860.0410|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|12/07/2006|0|0|0|0|0|0
Boston Regional Office| 128515|801-68623|AER ADVISORS, INC.|AER ADVISORS, INC.|88 LAFAYETTE ROAD||NORTH HAMPTON NH 03862|USA|P.O. BOX 670||NORTH HAMPTON NH 03862|USA|CAROL A. O'LEARY|603-964-5865|Corporation|Portfolio management for investment companies, Other|APPROVED|01/02/2008|0|0|0|0|0|0
Boston Regional Office| 128530|801-68355|SHORELINE CAPITAL CORPORATION|SHORELINE CAPITAL CORPORATION INC.|700 SOUTH MAIN STREET||CENTERVILLE MA 02632|USA|||  ||BILL GOLDENBERG|508-778-0036|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|09/17/2007|0|0|0|0|0|0
Boston Regional Office| 128600|801-62908|CARPENTER ASSOCIATES|CARPENTER, DAVID ALLAN|20 MEETINGHOUSE RD|P.O. BOX 791|LITTLETON MA 01460|USA|||  ||DAVID CARPENTER|(978) 952-8878|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Other|APPROVED|03/25/2004|0|0|0|0|0|0
Boston Regional Office| 128609|801-67594|GOTTA RETIREMENT SERVICES,INC.|GOTTA RETIREMENT SERVICES, INC.|817 WASHINGTON STREET||BRAINTREE MA 02184|USA|||  ||BRIAN J. GOTTA|781-848-7444|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/22/2007|0|0|0|0|0|0
Boston Regional Office| 128625|801-62849|CULMAN & COMPANY|PETER BANTA CULMAN|1666 MASSACHUSETTS AVE.|SUITE 2|LEXINGTON MA 02420|USA|||  ||PETER B. CULMAN|781-863-9800|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/03/2004|0|0|0|0|0|0
Boston Regional Office| 128818|801-64817|EQUITY FUND RESEARCH|SMITH, THURMAN LEONARD|194 SUMMER STREET|#2|MALDEN MA 02148|USA|P.O. BOX 76||BOSTON MA 02117|USA|THURMAN LEONARD SMITH|781-397-6844|Sole Proprietorship|Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|11/14/2005|0|0|0|0|0|0
Boston Regional Office| 128826|801-62760|ESSEX FINANCIAL ADVISORS, L.L.C.|ESSEX FINANCIAL ADVISORS, L.L.C.|58 MAIN STREET||TOPSFIELD MA 01983|USA|||  ||DAVID BUNKER|978-887-6940|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/12/2004|0|0|0|0|0|0
Boston Regional Office| 128852|801-69115|ROBERT WILLIAM SHOEMAKER,III|ROBERT WILLIAM SHOEMAKER,III|17 LAWSBROOK ROAD||CONCORD MA 01742|USA|P.O. BOX 1257||CONCORD MA 01742|USA|ROBERT W. SHOEMAKER|978-371-2282|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/20/2008|1|3|0|0|0|0
Boston Regional Office| 128866|801-67868|WEALTH MANAGEMENT GROUP LLC|WEALTH MANAGEMENT GROUP LLC|300 ROSEWOOD DRIVE|SUITE 103|DANVERS MA 01923|USA|||  ||JAMIE A. UPSON|978-624-3000|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/04/2007|0|0|0|0|0|0
Boston Regional Office| 128942|801-66982|CAPE ANN CAPITAL, INC.|CAPE ANN CAPITAL, INC.|13 WOODCREST ROAD||MANCHESTER MA 01944|USA|||  ||DAVID A. UMSTEAD|978-526-7541|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|07/05/2006|0|0|0|0|0|0
Boston Regional Office| 128977|801-62534|ANDOVER CAPITAL|ANDOVER CAPITAL ADVISORS L.P.|300 BRICKSTONE SQUARE|SUITE 1004|ANDOVER MA 01810|USA|||  ||BRIAN KOBELSKI|978-623-3500|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/18/2003|0|0|0|0|0|0
Boston Regional Office| 129016|801-62506|ARGOSY ASSET MANAGEMENT, LLC|ARGOSY ASSET MANAGEMENT, LLC|49 JOHN STREET||SOUTHPORT CT 06890|USA|||  ||STEPHEN STAUNTON|203-254-7067|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/10/2003|0|0|0|0|0|0
Boston Regional Office| 129027|801-62503|PRIVATE LINE LLC|PRIVATE LINE LLC|208 BEACON ST||MARBLEHEAD MA 01945|USA|PO BOX 40||MARBLEHEAD MA 01945|USA|D SEAN MCDADE|781-631-1123|Limited Liability Company|Financial planning services, Selection of other advisers|APPROVED|11/21/2003|0|0|0|0|0|0
Boston Regional Office| 129117|801-62521|SOUND ENERGY PARTNERS, INC.|SOUND ENERGY PARTNERS, INC.|354 PEQUOT AVENUE||SOUTHPORT CT 06890|USA|||  ||ANTHONY J. GIAMMALVA|203-254-4500|Corporation|Other|APPROVED|11/24/2003|0|1|0|0|0|0
Boston Regional Office| 129164|801-66355|CORNERSTONE INVESTMENT SERVICES|CORNERSTONE INVESTMENT SERVICES LLC|245 WATERMAN STREET|STE 301|PROVIDENCE RI 02906|USA|||  ||JOHN RILEY|401-453-5550|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|03/17/2006|0|0|0|0|0|0
Boston Regional Office| 129243|801-67682|ABRAMS FINANCIAL MANAGEMENT|ABRAMS FINANCIAL MANAGEMENT, INC.|148 LINDEN STREET, SUITE 6||WELLESLEY MA 02482-7900|USA|||  ||JACQUES S. ABRAMS|781-237-7111|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|03/17/2007|0|0|0|0|0|0
Boston Regional Office| 129266|801-67908|MARTINELLI DISCENZA INVESTMENT COUNSEL, INC.|MARTINELLI DISCENZA INVESTMENT COUNSEL, INC.|138 LONGMEADOW STREET||LONGMEADOW MA 01106|USA|||  ||GARY E. MARTINELLI|413-567-8411|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/11/2007|0|0|0|0|0|0
Boston Regional Office| 129299|801-68142|AUBURNDALE INVESTMENT MANAGEMENT|STUART, DAVID BALDWIN|101 FEDERAL ST., SUITE 310||BOSTON MA 02110|USA|||  ||DAVID B. STUART|(617) 261-6400|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|07/24/2007|0|0|0|0|0|0
Boston Regional Office| 129313|801-67597|BEECHWOOD INVESTMENT MANAGEMENT INC.|BEECHWOOD INVESTMENT MANAGEMENT INC.|146 MAIN STREET|2ND FLOOR|NORFOLK MA 02056|USA|||  ||FRANCIS M. BURKE|508-520-2270|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|03/06/2007|0|0|0|0|0|0
Boston Regional Office| 129327|801-69388|LIFELINE FINANCIAL, LLC|LIFELINE FINANCIAL, LLC|151 NEW PARK AVENUE|SUITE 108|HARTFORD CT 06106-2174|USA|||  ||JOHN A. PORRIELLO|860-282-1780|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/10/2008|0|0|0|0|0|0
Boston Regional Office| 129376|801-66962|DELTA GLOBAL ASSET MANAGEMENT|BOLTON SECURITIES CORP|579 MAIN STREET||BOLTON MA 01740|USA|||  ||JANE MAHLE|978-779-5361|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|08/09/2006|1|6|0|0|0|0
Boston Regional Office| 129380|801-66262|ARAGORN LTD.|ARAGORN LTD.|420 WASHINGTON STREET|SUITE 401|BRAINTREE MA 02184|USA|||  ||DAVID C. TROTT|781-848-9250|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/03/2006|0|0|0|0|0|0
Boston Regional Office| 129472|801-62776|COMMUNITY FINANCIAL GROUP, INC.|COMMUNITY FINANCIAL GROUP, INC.|145 MAIN STREET|SUITE A|HUDSON MA 01749|USA|||  ||PAUL TRAVIS|978-562-9499|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/13/2004|0|0|0|0|0|0
Boston Regional Office| 129507|801-68770|STANDARD PLANNING COMPANY|SINCLAIR, TOTTEN & DERINGER, INC.|11 SCHOOL STREET||ROCKPORT MA 01966|USA|P.O. BOX 725||ROCKPORT MA 01966|USA|BRUCE E. HOLDRIDGE|978-546-9800|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/06/2008|0|0|0|0|0|0
Boston Regional Office| 129509|801-64062|BOSTON AMERICAN ASSET|BOSTON AMERICAN ASSET MANAGEMENT, INC.|30 FEDERAL STREET|6TH FLOOR|BOSTON MA 02110-2508|USA|||  ||KAREN MANISCALCO|617-426-1330|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|04/11/2005|0|0|0|0|0|0
Boston Regional Office| 129513|801-68124|ALCO ADVISORS, INC.|ALCO ADVISORS, INC.|ONE SNOW ROAD|SUITE 4|MARSHFIELD MA 02050|USA|||  ||STEPHEN J. COVILLE|781-834-8100|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/12/2007|0|0|0|0|0|0
Boston Regional Office| 129656|801-67272|CORNERSTONE FINANCIAL PLANNING, LLC|CORNERSTONE FINANCIAL PLANNING, LLC|70 OLD POST ROAD||NEWINGTON NH 03801|USA|||  ||JILL B. BOYNTON|(603) 431-1133|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|11/02/2006|0|0|0|0|0|0
Boston Regional Office| 129668|801-62595|PINEWOOD CAPITAL PARTNERS LLC|PINEWOOD CAPITAL PARTNERS LLC|140 GREENWICH AVE||GREENWICH CT 06830|USA|||  ||SEAN HIDEY|203.661.7125|Limited Liability Company|Other|APPROVED|01/02/2004|0|0|0|0|0|0
Boston Regional Office| 129805|801-69302|THE RELAXING RETIREMENT GROUP, INC.|THE RELAXING RETIREMENT GROUP, INC.|WELLESLEY OFFICE PARK|55 WILLIAM STREET, SUITE 120|WELLESLEY MA 02481|USA|||  ||JOHN (JACK) PHELPS|781-235-7550|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/23/2008|0|0|0|0|0|0
Boston Regional Office| 129838|801-64537|DAC ASSET MANAGEMENT LLC|DAC ASSET MANAGEMENT LLC|1344 MAIN STREET||WALTHAM MA 02451|USA|||  ||LAWRENCE J. DALY|781-209-1719|Limited Liability Company|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|07/29/2005|0|0|0|0|0|0
Boston Regional Office| 129980|801-62627|EVALUATION ASSOCIATES LLC|EVALUATION ASSOCIATES LLC|200 CONNECTICUT AVENUE, SUITE 700||NORWALK CT 06854-1958|USA|||  ||STEVEN J. FORMANEK|203-855-2200|Limited Liability Company|Pension consulting services, Selection of other advisers, Other|APPROVED|12/18/2003|0|0|0|0|0|0
Boston Regional Office| 129987|801-67789|MAJOR LEAGUE INVESTMENTS, INC.|MAJOR LEAGUE INVESTMENTS, INC.|530 LORING AVENUE|SUITE 302|SALEM MA 01970|USA|||  ||MICHAEL S. FINER|978-740-1011|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|04/17/2007|0|0|0|0|0|0
Boston Regional Office| 130004|801-64394|ALTSCHULER FINANCIAL SERVICES|ALTSCHULER, JAMES STEPHEN|594 MARRETT ROAD, SUITE 13||LEXINGTON MA 02421|USA|||  ||JAMES S. ALTSCHULER|781-674-2297|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/14/2005|0|0|0|0|0|0
Boston Regional Office| 130080|801-66957|SHIMKUS, PETER E|SHIMKUS, PETER EDWARD|70 FARGO STREET, SUITE  907||BOSTON MA 02210-2122|USA|||  ||PETER E. SHIMKUS|617 261 4646 X16|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|06/30/2006|0|0|0|0|0|0
Boston Regional Office| 130138|801-62888|GENWORTH FINANCIAL INVESTMENT MANAGEMENT, LLC|GENWORTH FINANCIAL INVESTMENT MANAGEMENT, LLC|3001 SUMMER STREET|2ND FLOOR|STAMFORD CT 06905|USA|||  ||WENDY OLSON|203-708-3511|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|03/15/2004|0|0|0|0|0|0
Boston Regional Office| 130173|801-67225|LIGHTHOUSE ASSET MANAGEMENT|LIGHTHOUSE ASSET MANAGEMENT LLC|343 WASHINGTON STREET||NEWTON MA 02458|USA|||  ||JAMES R. MCCALL|617-332-1203|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/23/2006|0|0|0|0|0|0
Boston Regional Office| 130209|801-62783|MAPLE CAPITAL MANAGEMENT, INC.|MAPLE CAPITAL MANAGEMENT, INC.|535 STONE CUTTERS WAY||MONTPELIER VT 05602|USA|||  ||RAMSEY A. LUHR|(802) 229-2838|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/20/2004|0|0|0|0|0|0
Boston Regional Office| 130257|801-62832|AUGUSTA ADVISORS, LLC|AUGUSTA ADVISORS, LLC|9 GREENWICH OFFICE PARK||GREENWICH CT 06831|USA|||  ||TOM WHELAN|203-661-3500|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|02/23/2004|0|0|0|0|0|0
Boston Regional Office| 130282|801-62860|CENTURY CAPITAL MANAGEMENT, LLC|CENTURY CAPITAL MANAGEMENT, LLC|100 FEDERAL STREET, 29TH FLOOR||BOSTON MA 02110-1802|USA|||  ||BETH LEHMAN|617-482-3060 X5122|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/29/2004|0|0|0|0|0|0
Boston Regional Office| 130289|801-64767|PENWOOD REAL ESTATE INVESTMENT MANAGEMENT, LLC|PENWOOD REAL ESTATE INVESTMENT MANAGEMENT, LLC|ONE FINANCIAL PLAZA|12TH FLOOR|HARTFORD CT 06103|USA|||  ||JOHN M. HURLEY|860-218-6531|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/03/2005|0|0|0|0|0|0
Boston Regional Office| 130321|801-63641|BAYSTATE FIDUCIARY ADVISORS, INC.|BAYSTATE FIDUCIARY ADVISORS, INC.|7 SAN CLEMENTE||MILFORD MA 01757|USA|||  ||GREGG ANDONIAN|866-411-4015|Corporation|Pension consulting services|APPROVED|11/17/2004|0|0|0|0|0|0
Boston Regional Office| 130334|801-62804|APOGEE GLOBAL ADVISERS. INC|APOGEE GLOBAL ADVISORS|90 STRAWBERRY HILL STREET||DOVER MA 02030|USA|||  ||MAUREEN LANDERS|978-682-7795|Corporation|Portfolio management for investment companies|APPROVED|02/13/2004|0|0|0|0|0|0
Boston Regional Office| 130397|801-64468|FINANCIAL SOLUTIONS ASSOCIATES|GOVERMAN, BARNET|990 WASHINGTON STREET||DEDHAM MA 02026|USA|||  ||BARNET GOVERMAN|781-251-0505|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/25/2005|0|0|0|0|0|0
Boston Regional Office| 130452|801-66463|SEIDMAN INVESTMENT ADVISORS, LLC|SEIDMAN INVESTMENT ADVISORS, LLC|100 CRESCENT ROAD|SUITE 2A|NEEDHAM MA 02494|USA|||  ||SCOTT SEIDMAN|781-726-6065|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/19/2006|0|3|0|0|0|0
Boston Regional Office| 130549|801-62806|SPM III, L.L.C.|SPM III, L.L.C.|CLEARWATER HOUSE|2187 ATLANTIC STREET, 4TH FLOOR|STAMFORD CT 06902|USA|||  ||JENELLE SCANLON|203-351-2870|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/26/2004|0|0|0|0|0|0
Boston Regional Office| 130585|801-62991|MRM-HORIZON ADVISORS, LLC|MRM-HORIZON ADVISORS, LLC|84 STATE STREET, SUITE 800||BOSTON MA 02109|USA|||  ||STEPHEN CARLUCCIO|617-448-1308|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/22/2004|0|1|0|0|0|0
Boston Regional Office| 130596|801-62808|ALYDAR CAPITAL|ALYDAR PARTNERS, LLC|222 BERKELEY STREET|17TH FLOOR|BOSTON MA 02116|USA|||  ||ELIZABETH KEEFE|617-646-3521|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/17/2004|0|0|0|0|0|0
Boston Regional Office| 130715|801-67423|RICHARDSON FINANCIAL SERVICES|RICHARDSON FINANCIAL SERVICES|165 VILLAGE ST||MEDWAY MA 02053|USA|||  ||JUDEE PRECOURT|508.533.2335|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|12/15/2006|0|0|0|0|0|0
Boston Regional Office| 130825|801-62923|ROCK POINT ADVISORS, LLC|ROCK POINT ADVISORS, LLC|ONE LAWSON LANE SUITE 125||BURLINGTON VT 05401-4014|USA|P.O. BOX 700||BURLINGTON VT 05402-0700|USA|TODD WULFSON|802-864-2266|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/30/2004|0|0|0|0|0|0
Boston Regional Office| 130887|801-66767|VALIDEA CAPITAL MANAGEMENT LLC|VALIDEA CAPITAL MANAGEMENT LLC|4 BUCKINGHAM LANE||WEST HARTFORD CT 06117|USA|||  ||JOHN REESE|860-656-6036|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/31/2006|0|0|0|0|0|0
Boston Regional Office| 130953|801-63462|NEW ENGLAND MANAGEMENT CONSULTING SERVICES, INC.|NEW ENGLAND MANAGEMENT CONSULTING SERVICES, INC.|2350 POST ROAD #102||WARWICK RI 02886|USA|||  ||BERNARD POIRIER|401-738-0010|Corporation|Financial planning services|APPROVED|08/27/2004|0|0|0|0|0|0
Boston Regional Office| 131034|801-62960|ALTERNATIVE INVESTMENT SOLUTIONS|UBS ALTERNATIVE AND QUANTITATIVE INVESTMENTS LLC|677 WASHINGTON BOULEVARD||STAMFORD CT 06901|USA|||  ||BJORN DAVIS|2037197681|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|04/09/2004|0|5|0|0|0|0
Boston Regional Office| 131149|801-65085|POST ROAD CAPITAL MANAGEMENT, LLC|POST ROAD CAPITAL MANAGEMENT, LLC|274 RIVERSIDE AVENUE|2ND FLOOR|WESTPORT CT 06880|USA|||  ||DAVID L. EIGEN|203-454-5800|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/03/2006|0|0|0|0|0|0
Boston Regional Office| 131200|801-68826|APIS CAPITAL ADVISORS, LLC|APIS CAPITAL ADVISORS, LLC|53 FOREST AVENUE|SUITE 103|OLD GREENWICH CT 06870|USA|||  ||DANIEL J. BARKER|203-364-8675|Limited Liability Company|Other|APPROVED|02/05/2008|0|0|0|0|0|0
Boston Regional Office| 131212|801-63390|PIER CAPITAL, LLC|PIER CAPITAL, LLC|ONE STAMFORD PLAZA|263 TRESSER BLVD 10TH FLOOR|STAMFORD CT 06901-3236|USA|||  ||JAN ERIC PARSONS|203-425-1425|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/11/2004|0|0|0|0|0|0
Boston Regional Office| 131216|801-64098|KALEEL INVESTMENT ADVISORS, LLC|KALEEL INVESTMENT ADVISORS, LLC|77 FRANKLIN STREET|SUITE 501|BOSTON MA 02110|USA|||  ||TRACY A. SHEA|617 338-8747|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|04/20/2005|0|0|0|0|0|0
Boston Regional Office| 131257|801-63142|CLOUGH CAPITAL PARTNERS, LP|CLOUGH CAPITAL PARTNERS, LP|ONE POST OFFICE SQUARE|40TH FLOOR|BOSTON MA 02109|USA|||  ||DANIEL GILLIS|617-204-3409|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/03/2004|0|0|0|0|0|0
Boston Regional Office| 131323|801-64605|WIND RIVER|WIND RIVER CAPITAL MANAGEMENT, INC|5 SCHOOL STREET|SUITE 3|ELLSWORTH ME 04605|USA|||  ||BEN WOOTTEN|207-667-4928|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|08/12/2005|0|0|0|0|0|0
Boston Regional Office| 131339|801-69245|RADIUS CAPITAL MANAGEMENT, LLC|RADIUS CAPITAL MANAGEMENT, LLC|131 TREMONT STREET||CAMBRIDGE MA 02139|USA|||  ||KIMBALL B. HALSEY|617-661-4200|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/12/2008|0|0|0|0|0|0
Boston Regional Office| 131395|801-66229|JONATHAN D. POND, LLC|JONATHAN D. POND, LLC|300 WASHINGTON STREET; ONE GATEWAY CENTER|SUITE 413|NEWTON MA 02458|USA|||  ||JONATHAN D. POND|(617) 243-0020|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|01/02/2008|0|0|0|0|0|0
Boston Regional Office| 131426|801-63069|PECK,VENEROSO & PARTNERS, LLC|PECK, VENEROSO & PARTNERS, LLC|53 AUSTIN||PORTSMOUTH NH 03801|USA|||  ||ROSLYN WEEMS|603-430-8482|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|05/06/2004|0|0|0|0|0|0
Boston Regional Office| 131443|801-63161|FAIRVIEW CONSTITUTION MANAGEMENT LLC|FAIRVIEW CONSTITUTION MANAGEMENT LLC|75 ISHAM ROAD|SUITE 200|WEST HARTFORD CT 06107|USA|||  ||CRYSTAL CASTLEBERRY-FLOYD|860-674-8066|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/07/2004|0|0|0|0|0|0
Boston Regional Office| 131468|801-63391|HILLSWICK ASSET MANAGEMENT, LLC|HILLSWICK ASSET MANAGEMENT, LLC|ONE STAMFORD PLAZA|263 TRESSER BLVD., 10TH FLOOR|STAMFORD CT 06901-3236|USA|||  ||SVEN ANDERS EKERNAS|203-425-1424|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|07/30/2004|0|0|0|0|0|0
Boston Regional Office| 131645|801-68658|ALPHA INVESTMENT ADVISORS, INC.|ALPHA INVESTMENT ADVISORS, INC.|3 SADDLE WAY||WALPOLE MA 02081|USA|||  ||EUGENE BALERNA JR|508-668-2664|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Market timing services|APPROVED|01/02/2008|0|0|0|0|0|0
Boston Regional Office| 131684|801-63276|NUMERIC INVESTORS LLC|NUMERIC INVESTORS LLC|470 ATLANTIC AVENUE|6TH FLOOR|BOSTON MA 02210|USA|||  ||RAYMOND JOUMAS|617-897-7800|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/16/2004|0|1|0|0|0|0
Boston Regional Office| 131711|801-63425|GRAMERCY INVESTMENT ADVISORS LLC|GRAMERCY INVESTMENT ADVISORS LLC|20 DAYTON AVENUE||GREENWICH CT 06830|USA|||  ||ROBERT LANAVA|203-552-1903|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/19/2004|0|0|0|0|0|0
Boston Regional Office| 131716|801-63258|FRONTPOINT UNIVERSAL GP, LLC|FRONTPOINT UNIVERSAL GP, LLC|TWO GREENWICH PLAZA|4TH FLOOR|GREENWICH CT 06830|USA|||  ||MICHELE ENG|203-622-5231|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|06/30/2004|0|0|0|0|0|0
Boston Regional Office| 131751|801-68494|VODIA CAPITAL, LLC|VODIA CAPITAL, LLC|97 LOWELL ROAD|SECOND FLOOR|CONCORD MA 01742|USA|P.O. BOX 488||CONCORD MA 01742|USA|DAVID BIELER MATIAS|978-318-0900|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|11/15/2007|0|0|0|0|0|0
Boston Regional Office| 131887|801-64020|ADVISOR'S CAPITAL RESEARCH, INC.|ADVISOR'S CAPITAL RESEARCH, INC.|17 TRIPP ROAD||WOODSTOCK CT 06281-3514|USA|||  ||ROBERT K. MANN|860-963-0722|Corporation|Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters, Market timing services|APPROVED|03/16/2005|0|0|0|0|0|0
Boston Regional Office| 131892|801-63285|KLEOS CAPITAL ADVISORS LLC|KLEOS CAPITAL ADVISORS LLC|71 ROWAYTON AVENUE||NORWALK CT 06853|USA|||  ||ROBERT N. LOUD|203-604-1190|Limited Liability Company|Other|APPROVED|06/24/2004|0|0|0|0|0|0
Boston Regional Office| 131928|801-63530|GLEACHER ADVISORS LLC|GLEACHER ADVISORS LLC|60 ARCH STREET||GREENWICH CT 06830|USA|||  ||ASHLEIGH C. SWAYZE|203-302-4750|Limited Liability Company|Selection of other advisers, Other|APPROVED|09/29/2004|0|0|0|0|0|0
Boston Regional Office| 131971|801-64187|AIRLIE OPPORTUNITY CAPITAL MANAGEMENT LP|AIRLIE OPPORTUNITY CAPITAL MANAGEMENT LP|115 EAST PUTNAM AVENUE|3RD FLOOR|GREENWICH CT 06830|USA|||  ||THOMAS SULLIVAN|203-661-6200|Partnership|Other|APPROVED|04/15/2005|0|1|6|0|0|0
Boston Regional Office| 132047|801-63334|EATON VANCE INVESTMENT COUNSEL|EATON VANCE INVESTMENT COUNSEL|255 STATE STREET||BOSTON MA 02109|USA|||  ||A. JOHN MURPHY|617-598-8567|Other (specify)|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/13/2004|0|0|0|0|0|0
Boston Regional Office| 132057|801-63284|EACM ADVISORS LLC|EACM ADVISORS LLC|200 CONNECTICUT AVENUE|6TH FLOOR|NORWALK CT 06854|USA|||  ||ANDREW R. MYLOTT|203-854-7030|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/24/2004|0|0|0|0|0|0
Boston Regional Office| 132095|801-67851|FLEETWOOD ASSET MANAGEMENT LTD.|FLEETWOOD ASSET MANAGEMENT LTD.|1 MERWIN AVENUE|A2|MILFORD CT 06460|USA|||  ||JOAN M. GUCCIONE|203-878-7929|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/15/2007|0|0|0|0|0|0
Boston Regional Office| 132311|801-64130|BASSO CAPITAL MANAGEMENT, L.P.|BASSO CAPITAL MANAGEMENT, L.P.|1266 EAST MAIN STREET|4TH FLOOR|STAMFORD CT 06902|USA|||  ||SUSANNE CLARK|203-352-6156|Partnership|Other|APPROVED|04/12/2005|0|0|0|0|0|0
Boston Regional Office| 132325|801-67937|PORTFOLIO INTEGRATION, LLC|PORTFOLIO INTEGRATION, LLC|2 SOUNDVIEW DRIVE, SUITE 100||GREENWICH CT 06830|USA|||  ||FRANK A. ZACH|203-325-3256|Limited Liability Company|Selection of other advisers|APPROVED|06/14/2007|0|0|0|0|0|0
Boston Regional Office| 132365|801-63478|GEODE CAPITAL MANAGEMENT LP|GEODE CAPITAL MANAGEMENT LP|ONE POST OFFICE SQUARE, 28TH FLOOR||BOSTON MA 02109|USA|||  ||LISA JILL LAMPERT|617-392-8533|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|08/31/2004|0|0|0|0|0|0
Boston Regional Office| 132436|801-63488|ABSOLUTE INVESTMENT ADVISERS LLC|ABSOLUTE INVESTMENT ADVISERS LLC|350 LINCOLN STREET, SUITE 216||HINGHAM MA 02043|USA|||  ||ANTHONY BOSCH|781-740-1904, EXT 204|Limited Liability Company|Portfolio management for investment companies|APPROVED|09/02/2004|0|0|0|0|0|0
Boston Regional Office| 132474|801-63424|CHAMPLAIN INVESTMENT PARTNERS, LLC|CHAMPLAIN INVESTMENT PARTNERS, LLC|346 SHELBURNE ROAD|6TH FLOOR|BURLINGTON VT 05401|USA|||  ||WENDY NUNEZ|(802) 846-6200|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/23/2004|0|0|0|0|0|0
Boston Regional Office| 132481|801-64660|O'ROURKE & COMPANY, INCORPORATED|BRIAN CHRISTOPHER O'ROURKE|ONE LIBERTY SQUARE|9TH FLOOR|BOSTON MA 02109|USA|||  ||BRIAN O'ROURKE|617482-4200|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|08/26/2005|0|1|0|0|0|0
Boston Regional Office| 132487|801-63439|UPTON ADVISORS, LLC|UPTON ADVISORS, LLC|THE CARRIAGE HOUSE|12 MIDDLE STREET|AMHERST NH 03031|USA|||  ||RICHARD UPTON|603-673-9462|Limited Liability Company|Other|APPROVED|08/13/2004|0|0|0|0|0|0
Boston Regional Office| 132512|801-63490|LYZ CAPITAL ADVISORS LLC|LYZ CAPITAL ADVISORS LLC|1055 WASHINGTON BOULEVARD|SUITE 630|STAMFORD CT 06901-2204|USA|||  ||CHRISTOPHER S. MOONEY|203-252-5833|Limited Liability Company|Other|APPROVED|09/23/2004|0|1|0|0|0|0
Boston Regional Office| 132547|801-66294|TUCKERBROOK ALTERNATIVE INVESTMENTS, L.P.|TUCKERBROOK ALTERNATIVE INVESTMENTS, L.P.|30 DOAKS LANE||MARBLEHEAD MA 01945|USA|||  ||DAVID HAUSLER|617-946-5800|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/01/2006|0|0|0|0|0|0
Boston Regional Office| 132616|801-63465|FAIRVIEW CAPITAL EM PARTNERS, L.L.C.|FAIRVIEW CAPITAL EM PARTNERS, L.L.C.|75 ISHAM ROAD|SUITE 200|WEST HARTFORD CT 06107|USA|||  ||DOUGLAS BOAINS|860-674-8066|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/31/2004|0|0|0|0|0|0
Boston Regional Office| 132797|801-63724|TPW FINANCIAL, INC.|THE PROGRAM WORKS, INC.|160 SECOND STREET, #1||CAMBRIDGE MA 02142|USA|||  ||CHITRA STALEY|617 492 1772|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/03/2005|0|0|0|0|0|0
Boston Regional Office| 132848|801-63571|OLD NORTH ADVISORS, LLC|OLD NORTH ADVISORS, LLC|50 FEDERAL STREET||BOSTON MA 02110-2500|USA|||  ||MATTHEW GRADY|617-259-1700|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|10/14/2004|0|0|0|0|0|0
Boston Regional Office| 132853|801-63791|MATRIX GROUP OF FUNDS, LLC|MATRIX GROUP OF FUNDS, LLC|7190 MAIN STREET-BOX 1584||MANCHESTER CENTER VT 05255-1584|USA|||  ||KAREN PATNAUDE|802-362-0825|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/03/2005|0|0|0|0|0|0
Boston Regional Office| 132940|801-66953|QUEST FINANCIAL SERVICES, INC.|QUEST FINANCIAL SERVICES, INC.|40 SALEM STREET - BLDG. 2||LYNNFIELD MA 01940|USA|||  ||ROBERT DUBEE|781 224-3456|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/30/2006|0|0|0|0|0|0
Boston Regional Office| 132957|801-64865|AETNA CAPITAL MANAGEMENT, LLC|AETNA CAPITAL MANAGEMENT, LLC|29 SOUTH MAIN STREET|SUITE 304|WEST HARTFORD CT 06107-2449|U.S.A.|||  ||CELIA PETERSON|860-380-1252|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|11/10/2005|0|0|0|0|0|0
Boston Regional Office| 132961|801-64044|THIRD WAVE GLOBAL INVESTORS|THIRD WAVE GLOBAL INVESTORS, LLC|10 GLENVILLE STREET||GREENWICH CT 06831-3681|USA|||  ||ROBERT BIRNBAUM|203-983-5387|Limited Liability Company|Other|APPROVED|03/11/2005|0|0|0|0|0|0
Boston Regional Office| 133026|801-63565|HARVEST CAPITAL PARTNERS LLC|HARVEST CAPITAL PARTNERS LLC|535 BOYLSTON STREET, SUITE 203||BOSTON MA 02116|USA|||  ||MARY LOU BOUTWELL|617-383-3230|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|10/07/2004|0|0|0|0|0|0
Boston Regional Office| 133028|801-63597|REDWOOD INVESTMENTS, LLC|REDWOOD INVESTMENTS, LLC|ONE GATEWAY CENTER, SUITE 802||NEWTON MA 02458|USA|||  ||STEVEN FLAMMEY|617-467-3027|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/20/2004|0|0|0|0|0|0
Boston Regional Office| 133096|801-67679|NEW ENGLAND INVESTMENT & RETIREMENT GROUP, INC.|NEW ENGLAND INVESTMENT & RETIREMENT GROUP, INC.|231 SUTTON STREET|SUITES 2A/2B|NORTH ANDOVER MA 01845|USA|||  ||DONNA LISTER|978-975-2559|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/19/2007|0|1|0|0|0|0
Boston Regional Office| 133164|801-66132|NEW WEALTH ADVISORS, LLC|NEW WEALTH ADVISORS, LLC|1 HIGHWOOD OFFICE PARK||TEWKSBURY MA 01876|USA|||  ||JEFF R. ARSENAULT|978-687-5869|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|01/26/2006|0|0|0|0|0|0
Boston Regional Office| 133196|801-63658|PYRAMIS GLOBAL ADVISORS, LLC|PYRAMIS GLOBAL ADVISORS, LLC|53 STATE STREET||BOSTON MA 02109|USA|||  ||GREGORY PUSCH|617-563-7771|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|12/02/2004|0|2|0|0|0|0
Boston Regional Office| 133317|801-67504|DOWNEY CAPITAL MANAGEMENT, INC.|DOWNEY CAPITAL MANAGEMENT, INC.|155 FEDERAL ST||BOSTON MA 02110-1720|USA|||  ||CHRISTOPHER W. DOWNEY|617-338-4866|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/29/2007|0|0|0|0|0|0
Boston Regional Office| 133333|801-63733|CALIBRE ADVISORY SERVICES, INC.|CALIBRE ADVISORY SERVICES, INC.|RESERVOIR WOODS, 930 WINTER STREET|SUITE 1500|WALTHAM MA 02451|USA|||  ||RICHARD DINSMORE|781-392-2840|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|12/16/2004|0|0|1|0|0|0
Boston Regional Office| 133353|801-64743|ESTATE PLANNERS OF NEW ENGLAND, LLC|ESTATE PLANNERS OF NEW ENGLAND, LLC|41 HAWTHORNE ROAD||WINDHAM NH 03087|USA|||  ||GREGORY LAWRENCE|(603) 425-6614|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|09/30/2005|0|0|0|0|0|0
Boston Regional Office| 133360|801-63832|TAXBRIDGE FINANCIAL GROUP INC|TAXBRIDGE FINANCIAL GROUP INC|678 MASS. AVE|SUITE 203|CAMBRIDGE MA 02139|USA|||  ||ROBERT MURRAY|617-868-7922|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/14/2005|0|0|0|0|0|0
Boston Regional Office| 133402|801-63750|MELLON HEDGE ADVISORS|MELLON HEDGE ADVISORS, LLC|ONE BOSTON PLACE||BOSTON MA 02108-4407|USA|||  ||KATHERINE M. CAIN|617-722-7446|Limited Liability Company|Portfolio management for investment companies, Selection of other advisers|APPROVED|01/03/2005|0|0|0|0|0|0
Boston Regional Office| 133442|801-68286|PINNACLE PENSION CONSULTANTS LLC|PINNACLE PENSION CONSULTANTS LLC|144 TURNPIKE ROAD,  SUITE 110||SOUTHBOROUGH MA 01772|USA|||  ||MICHAEL MINGOLELLI|508-875-7431|Limited Liability Company|Pension consulting services, Selection of other advisers, Other|APPROVED|08/20/2007|0|0|0|0|0|0
Boston Regional Office| 133449|801-63730|MERCER GLOBAL INVESTMENTS, INC.|MERCER GLOBAL INVESTMENTS, INC.|200 CLARENDON STREET||BOSTON MA 02116|USA|||  ||MARTIN JOEL WOLIN|617-450-6559|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/03/2005|0|1|4|0|0|0
Boston Regional Office| 133452|801-64243|OCEAN STATE ASSET MANAGEMENT, LLC|OCEAN STATE ASSET MANAGEMENT, LLC|101 DYER STREET||PROVIDENCE RI 02903-3908|USA|||  ||CHARLES PULCANO|401-455-0030|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/19/2005|0|1|0|0|0|0
Boston Regional Office| 133536|801-63864|GENERAL ATLANTIC SERVICE COMPANY, LLC|GENERAL ATLANTIC  SERVICE COMPANY, LLC|3 PICKWICK PLAZA||GREENWICH CT 06830|USA|||  ||DAVID A. ROSENSTEIN|203-629-8600|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/14/2005|1|0|0|0|0|0
Boston Regional Office| 133554|801-63720|FONTANA CAPITAL, L.L.C.|FONTANA CAPITAL, L.L.C.|99 SUMMER STREET, SUITE 220||BOSTON MA 02110-1213|USA|||  ||NICOLAS NESTA|6173997177|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/15/2004|0|0|0|0|0|0
Boston Regional Office| 133572|801-65510|OCEAN GATE CAPITAL MANAGEMENT, LP|OCEAN GATE CAPITAL MANAGEMENT, LP|40 SOUTH STREET|SUITE 300|MARBLEHEAD MA 01945|USA|||  ||MICHAEL BUTTERFIELD|(781) 639-4774|Partnership|Other|APPROVED|01/23/2006|0|0|0|0|0|0
Boston Regional Office| 133597|801-63760|STARWOOD REAL ESTATE SECURITIES, LLC|STARWOOD REAL ESTATE SECURITIES, LLC|591 WEST PUTNAM AVE||GREENWICH CT 06830|USA|||  ||STEVEN N. GOTTSCHALK|203-422-7739|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/03/2005|0|0|0|0|0|0
Boston Regional Office| 133686|801-63873|PINNACLE TRUST PARTNERS, LLC|PINNACLE TRUST PARTNERS, LLC|76 BATTERSON PARK ROAD||FARMINGTON CT 06032|USA|||  ||STEVE DALTON|317-826-1099|Limited Liability Company|Other|APPROVED|01/28/2005|0|0|0|0|0|0
Boston Regional Office| 133790|801-63830|NEW ENGLAND PRIVATE WEALTH ADVISORS, LLC|NEW ENGLAND PRIVATE WEALTH ADVISORS, LLC|36 WASHINGTON STREET, SUITE 395||WELLESLEY MA 02481|USA|||  ||BETH S. MILKOVITS|781-416-1705|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|01/27/2005|0|0|0|0|0|0
Boston Regional Office| 133792|801-63861|PERMAL CAPITAL MANAGEMENT, LLC|PERMAL CAPITAL MANAGEMENT, LLC|800 BOYLSTON STREET, SUITE 1325||BOSTON MA 02199|USA|||  ||BENJAMIN MARINO|617-262-4736|Limited Liability Company|Other|APPROVED|02/04/2005|0|0|0|0|0|0
Boston Regional Office| 133855|801-63890|CLAYBORNE GROUP, LLC|CLAYBORNE GROUP, LLC|100 MILL PLAIN ROAD||DANBURY CT 06811|USA|||  ||DEAN HEINEMANN|845-797-7773|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|02/04/2005|0|0|0|0|0|0
Boston Regional Office| 133892|801-66412|FMA, LLC|FRASER MANAGEMENT ASSOCIATES, LLC|309 SOUTH WILLARD STREET||BURLINGTON VT 05401|USA|||  ||ALEX SEAGLE|802-658-0322|Limited Liability Company|Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|02/28/2006|0|0|0|0|0|0
Boston Regional Office| 133990|801-63851|REDBRICK CAPITAL MANAGEMENT, L.P.|REDBRICK CAPITAL MANAGEMENT, L.P.|75 PARK PLAZA, 2ND FLOOR,|BOX 12|BOSTON MA 02116-3934|UNITED STATES|||  ||SHERRI A. PELSKI|(617) 892-8950|Partnership|Other|APPROVED|03/29/2005|0|0|0|0|0|0
Boston Regional Office| 134001|801-63875|SKY INVESTMENT GROUP LLC|SKY INVESTMENT GROUP LLC|ONE FINANCIAL PLAZA|SUITE 2010|HARTFORD CT 06103|USA|||  ||WILLIAM NEWMAN|860.761.9700|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|02/18/2005|0|0|0|0|0|0
Boston Regional Office| 134017|801-63899|STONEBRIDGE ADVISORS LLC|STONEBRIDGE ADVISORS LLC|187 DANBURY ROAD||WILTON CT 06897|USA|||  ||MATTHEW S. HARDIN|724.772.1772|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Publication of periodicals or newsletters|APPROVED|02/18/2005|0|3|1|0|0|0
Boston Regional Office| 134045|801-63954|EAGLECLAW CAPITAL MANAGEMENT LLC|EAGLECLAW CAPITAL MANAGEMENT LLC|111 DEVONSHIRE ST||BOSTON MA 02109|USA|||  ||MICHAEL C. HILDRETH|617-426-0500|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|03/03/2005|0|0|0|0|0|0
Boston Regional Office| 134099|801-65497|FERMAT CAPITAL MANAGEMENT, LLC|FERMAT CAPITAL MANAGEMENT, LLC|2 RAILROAD PLACE||WESTPORT CT 06880-5910|USA|||  ||JEFF BATES|203-454-6802|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/27/2006|0|0|0|0|0|0
Boston Regional Office| 134176|801-63900|COPPER ROCK CAPITAL PARTNERS|COPPER ROCK CAPITAL PARTNERS LLC|200 CLARENDON STREET|51ST FLOOR|BOSTON MA 02116|USA|||  ||MICHAEL FORRESTER|617-369-7159|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/10/2005|0|0|0|0|0|0
Boston Regional Office| 134289|801-63978|FAIRVIEW CONSTITUTION MANAGEMENT II LLC|FAIRVIEW CONSTITUTION MANAGEMENT II LLC|75 ISHAM ROAD|SUITE 200|WEST HARTFORD CT 06107|USA|||  ||CRYSTAL CASTLEBERRY-FLOYD|860-674-8066|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/09/2005|0|0|0|0|0|0
Boston Regional Office| 134415|801-64019|COGENT ASSET MANAGEMENT, LLC.|COGENT ASSET MANAGEMENT, LLC|10 SASCO HILL ROAD|SUITE 300|FAIRFIELD CT 06824|USA|||  ||ROBERT A. DOEBERL|203-256-9498|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/07/2005|0|0|0|0|0|0
Boston Regional Office| 134418|801-66443|DKR FUSION MANAGEMENT L.P.|DKR FUSION MANAGEMENT L.P.|1281 EAST MAIN STREET||STAMFORD CT 06902|USA|||  ||RAJNI NARASI|(203) 324-8378|Partnership|Other|APPROVED|04/05/2006|0|0|0|0|0|0
Boston Regional Office| 134500|801-69205|ASPETUCK FINANCIAL MANAGEMENT LLC|ASPETUCK FINANCIAL MANAGEMENT LLC|125 MAIN STREET STE 360||WESTPORT CT 06880|USA|||  ||PATRICK T. BYRNE|203-226-5733|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/28/2008|0|0|0|0|0|0
Boston Regional Office| 134668|801-64111|PLAINFIELD ASSET MANAGEMENT LLC|PLAINFIELD ASSET MANAGEMENT LLC|55 RAILROAD AVENUE||GREENWICH CT 06830|USA|||  ||GERALD A. LEE|203-302-1712|Limited Liability Company|Other|APPROVED|04/25/2005|0|0|1|0|0|0
Boston Regional Office| 134731|801-68919|OSBON CAPITAL MANAGEMENT, LLC|OSBON CAPITAL MANAGEMENT, LLC|225 FRANKLIN STREET|26TH FLOOR|BOSTON MA 02110|USA|||  ||JOHN F. OSBON|617-217-2772|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/13/2008|0|0|0|0|0|0
Boston Regional Office| 134835|801-64086|SORIN CAPITAL MANAGEMENT, LLC|SORIN CAPITAL MANAGEMENT, LLC|400 ATLANTIC STREET, 12TH FLOOR||STAMFORD CT 06901|USA|||  ||THOMAS TAM|203-274-9300|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/08/2005|0|0|0|0|0|0
Boston Regional Office| 134852|801-69068|SANKATY ADVISORS, LLC|SANKATY ADVISORS, LLC|111 HUNTINGTON AVENUE||BOSTON MA 02199|USA|||  ||ALAN K. HALFENGER|617-516-2318|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/17/2008|0|0|0|0|0|0
Boston Regional Office| 134895|801-65793|AURORA FINANCIAL GROUP, LLC|AURORA FINANCIAL GROUP, LLC|85 EXCHANGE STREET|SUITE 202|PORTLAND ME 04101|USA|||  ||CHARLES W. DIBNER|(207) 553-2343|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Other|APPROVED|01/27/2006|0|0|0|0|0|0
Boston Regional Office| 134911|801-64533|COOK PINE CAPITAL LLC|COOK PINE CAPITAL LLC|73 ARCH STREET|SECOND FLOOR|GREENWICH CT 06830|USA|||  ||EIICHIRO KUWANA|203-861-2938|Limited Liability Company|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|07/25/2005|0|0|0|0|0|0
Boston Regional Office| 135009|801-64126|MACLAREN ADVISORS, LLC|MACLAREN ADVISORS, LLC|60 STATE STREET|SUITE 700|BOSTON MA 02109|USA|||  ||KATHLEEN MACLAREN|617-878-2080|Limited Liability Company|Pension consulting services, Selection of other advisers, Other|APPROVED|03/31/2005|0|0|0|0|0|0
Boston Regional Office| 135094|801-64208|PALLADIO CAPITAL MANAGEMENT, LLC|PALLADIO CAPITAL MANAGEMENT, LLC|8 SOUND SHORE DRIVE|SUITE 160|GREENWICH CT 06830|USA|P.O. BOX 134||COS COB CT 06807-0134|USA|STEVEN P. NOVAK|203-542-8101|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/19/2005|0|0|0|0|0|0
Boston Regional Office| 135106|801-64352|SHARK CAPITAL MANAGEMENT, LLC|SHARK CAPITAL MANAGEMENT, LLC|2 ATLANTIC AVENUE||BOSTON MA 02110|USA|||  ||VINCENT J. GRATCH|617 896-2198|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|06/03/2005|0|0|0|0|0|0
Boston Regional Office| 135252|801-64280|SUMMIT PARTNERS VI (GP), L.P.|SUMMIT PARTNERS VI (GP), L.P.|222 BERKELEY STREET||BOSTON MA 02116|USA|||  ||ROBIN W. DEVEREUX|617-824-1606|Partnership|Other|APPROVED|05/12/2005|0|0|0|0|0|0
Boston Regional Office| 135253|801-64275|SUMMIT PARTNERS SD II, LLC|SUMMIT PARTNERS SD II, LLC|222 BERKELEY STREET||BOSTON MA 02116|USA|||  ||ROBIN W. DEVEREUX|617-824-1606|Limited Liability Company|Other|APPROVED|05/12/2005|0|0|0|0|0|0
Boston Regional Office| 135256|801-64283|SUMMIT ACCELERATOR PARTNERS, LLC|SUMMIT ACCELERATOR PARTNERS, LLC|222 BERKELEY STREET||BOSTON MA 02115|USA|||  ||ROBIN W. DEVEREUX|617-824-1606|Limited Liability Company|Other|APPROVED|05/12/2005|0|0|0|0|0|0
Boston Regional Office| 135257|801-64277|SUMMIT PARTNERS, LLC|SUMMIT PARTNERS, LLC|222 BERKELEY STREET||BOSTON MA 02116|USA|||  ||ROBIN W. DEVEREUX|617-824-1606|Limited Liability Company|Other|APPROVED|05/12/2005|0|0|0|0|0|0
Boston Regional Office| 135258|801-64278|SUMMIT PARTNERS V, L.P.|SUMMIT PARTNERS V, L.P.|222 BERKELEY STREET||BOSTON MA 02116|USA|||  ||ROBIN W. DEVEREUX|617-824-1606|Partnership|Other|APPROVED|05/12/2005|0|0|0|0|0|0
Boston Regional Office| 135263|801-64279|SUMMIT PARTNERS VI (GP), LLC|SUMMIT PARTNERS VI (GP), LLC|222 BERKELEY STREET||BOSTON MA 02116|USA|||  ||ROBIN W. DEVEREUX|617-824-1606|Limited Liability Company|Other|APPROVED|05/12/2005|0|0|0|0|0|0
Boston Regional Office| 135264|801-64276|SUMMIT PARTNERS IV, L.P.|SUMMIT PARTNERS IV, L.P.|222 BERKELEY STREET||BOSTON MA 02116|USA|||  ||ROBIN W. DEVEREUX|617-824-1606|Partnership|Other|APPROVED|05/12/2005|0|0|0|0|0|0
Boston Regional Office| 135268|801-64274|STAMPS, WOODSUM & CO. IV|STAMPS, WOODSUM & CO. IV|222 BERKELEY STREET||BOSTON MA 02116|USA|||  ||ROBIN W. DEVEREUX|617-824-1606|Partnership|Other|APPROVED|06/03/2005|0|0|0|0|0|0
Boston Regional Office| 135269|801-64281|SUMMIT PARTNERS SD III, LLC|SUMMIT PARTNERS SD III, LLC|222 BERKELEY STREET||BOSTON MA 02116|USA|||  ||ROBIN W. DEVEREUX|617-824-1606|Limited Liability Company|Other|APPROVED|05/12/2005|0|0|0|0|0|0
Boston Regional Office| 135270|801-64282|SUMMIT PARTNERS SD III, L.P.|SUMMIT PARTNERS SD III, L.P.|222 BERKELEY STREET||BOSTON MA 02116|USA|||  ||ROBIN W. DEVEREUX|617-824-1606|Partnership|Other|APPROVED|05/12/2005|0|0|0|0|0|0
Boston Regional Office| 135271|801-64273|SUMMIT PARTNERS, L.P.|SUMMIT PARTNERS, L.P.|222 BERKELEY STREET||BOSTON MA 02116|USA|||  ||ROBIN W. DEVEREUX|617-824-1606|Partnership|Other|APPROVED|05/12/2005|0|0|0|0|0|0
Boston Regional Office| 135305|801-67883|RAYLIGN ADVISORY, LLC|RAYLIGN ADVISORY, LLC|35 MASON STREET|4TH FLOOR|GREENWICH CT 06830|USA|||  ||GREGORY T. ROGERS|203 742-5450|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|05/30/2007|0|0|0|0|0|0
Boston Regional Office| 135349|801-64269|SUMMIT PARTNERS VC II, L.P.|SUMMIT PARTNERS VC II, L.P.|222 BERKELEY STREET|17TH FLOOR|BOSTON MA 02116|USA|||  ||ROBIN W. DEVEREUX|617-824-1606|Partnership|Other|APPROVED|05/12/2005|0|0|0|0|0|0
Boston Regional Office| 135360|801-64271|SUMMIT PARTNERS PE VII, L.P.|SUMMIT PARTNERS PE VII, L.P.|222 BERKELEY STREET||BOSTON MA 02116|USA|||  ||ROBIN W. DEVEREUX|617-824-1606|Partnership|Other|APPROVED|05/12/2005|0|0|0|0|0|0
Boston Regional Office| 135361|801-64272|SUMMIT PARTNERS PE VII, LLC|SUMMIT PARTNERS PE VII, LLC|222 BERKELEY STREET||BOSTON MA 02116|USA|||  ||ROBIN W. DEVEREUX|617-824-1606|Limited Liability Company|Other|APPROVED|05/12/2005|0|0|0|0|0|0
Boston Regional Office| 135371|801-64270|SUMMIT PARTNERS VC II, LLC|SUMMIT PARTNERS VC II, LLC|222 BERKELEY STREET||BOSTON MA 02116|USA|||  ||ROBIN W. DEVEREUX|617-824-1606|Limited Liability Company|Other|APPROVED|05/12/2005|0|0|0|0|0|0
Boston Regional Office| 135507|801-64329|LEXINGTON WEALTH MANAGEMENT, INC.|LEXINGTON WEALTH MANAGEMENT, INC.|1666 MASSACHUSETTS AVENUE||LEXINGTON MA 02420|USA|||  ||KRISTINE M. PORCARO|781-860-7745|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|06/10/2005|0|0|0|0|0|0
Boston Regional Office| 135552|801-64480|ACUMEN CAPITAL MANAGEMENT LLC|ACUMEN CAPITAL MANAGEMENT LLC|99 SUMMER ST.|STE. 105|BOSTON MA 02110|USA|||  ||AVI MEHTA|617-423-1901|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|06/30/2005|0|0|0|0|0|0
Boston Regional Office| 135664|801-64531|WINSLOW MANAGEMENT COMPANY, LLC|WINSLOW MANAGEMENT COMPANY, LLC|99 HIGH STREET|12TH FLOOR|BOSTON MA 02110|USA|||  ||ERIC GEORGE WOODBURY|617-788-1629|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|07/15/2005|0|0|0|0|0|0
Boston Regional Office| 135668|801-64339|ROUNDSTONE ADVISORS, LLC|ROUNDSTONE ADVISORS, LLC|289 GREAT ROAD|SUITE 304|ACTON MA 01720|USA|||  ||BASIL|978-635-3700|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|06/29/2005|0|0|0|0|0|0
Boston Regional Office| 135693|801-64402|SOUTHPAW ASSET MANAGEMENT, LP|SOUTHPAW ASSET MANAGEMENT, LP|FOUR GREENWICH OFFICE PARK||GREENWICH CT 06831|USA|||  ||ROBERT THOMPSON|203-862-6206|Partnership|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|07/07/2005|0|0|0|0|0|0
Boston Regional Office| 135743|801-64377|T2 ADVISERS, LLC|T2 ADVISERS, LLC|8 SOUND SHORE DRIVE|SUITE 255|GREENWICH CT 06830|USA|||  ||SAUL ROSENTHAL|203-661-6421|Limited Liability Company|Other|APPROVED|06/17/2005|0|0|0|0|0|0
Boston Regional Office| 135810|801-65436|JEFFERIES ASSET MANAGEMENT, LLC|JEFFERIES ASSET MANAGEMENT, LLC|THE METRO CENTER|ONE STATION PLACE, THREE NORTH|STAMFORD CT 06902|USA|||  ||MICHAEL S. SHEEHY|(203) 708-6507|Limited Liability Company|Other|APPROVED|01/20/2006|0|0|0|0|0|0
Boston Regional Office| 135822|801-68586|COPELAND CAPITAL MANAGEMENT, LLC|COPELAND CAPITAL MANAGEMENT, LLC|70 WALNUT STREET||WELLESLEY MA 02481|USA|||  ||ERIC C. BROWN|781-239-8111|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|11/19/2007|0|0|0|0|0|0
Boston Regional Office| 135864|801-64838|STEWARDSHIP INVESTMENT ADVISORS LLC|STEWARDSHIP INVESTMENT ADVISORS LLC|2 GREENWICH OFFICE PARK||GREENWICH CT 06831|USA|||  ||JOHN RUGGIERO|203-302-3390|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|11/29/2005|0|0|0|0|0|0
Boston Regional Office| 135903|801-68285|GMB CAPITAL MANAGEMENT, L.L.C.|GMB CAPITAL MANAGEMENT, L.L.C.|99 FLORENCE STREET|BLDG 50-2A|NEWTON MA 02467|USA|||  ||GABRIEL BITRAN|617-527-8655|Limited Liability Company|Portfolio management for investment companies|APPROVED|08/29/2007|0|0|0|0|0|0
Boston Regional Office| 135912|801-64418|NEWSOURCE ADVISORY, LLC|NEWSOURCE ADVISORY, LLC|28 MIDDLE STREET||KEENE NH 03431|USA|||  ||ANN DUFRESNE|603-357-9311|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/17/2005|0|0|0|0|0|0
Boston Regional Office| 135969|801-64729|TERCET CAPITAL, LLC|TERCET CAPITAL, LLC|37 THURBER BOULEVARD|SUITE 108|SMITHFIELD RI 02917|USA|||  ||ROBERT C. LAMB, JR.|401-349-2645|Limited Liability Company|Other|APPROVED|10/06/2005|0|0|0|0|0|0
Boston Regional Office| 135973|801-64448|SPM IV, L.L.C.|SPM IV, L.L.C.|2187 ATLANTIC STREET, 4TH FLOOR||STAMFORD CT 06902|USA|||  ||JENELLE SCANLON|203-351-2870|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/08/2005|0|0|0|0|0|0
Boston Regional Office| 135997|801-64415|AVIATOR FUND MANAGEMENT, L.P.|AVIATOR FUND MANAGEMENT, L.P.|300 MAIN STREET|7TH FLOOR, SUITE 706|STAMFORD CT 06901|USA|||  ||TONY TRAN|203-862-5705|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/13/2005|0|0|0|0|0|0
Boston Regional Office| 136081|801-64441|DWM INVESTMENT GROUP|DWM INVESTMENT GROUP|58 BOSTON STREET||GUILFORD CT 06437|USA|||  ||ELIZABETH D. EDEN|203-458-5220|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/22/2005|0|0|0|0|0|0
Boston Regional Office| 136172|801-65170|ARGENT FUNDS GROUP, LLC|ARGENT FUNDS GROUP, LLC|500 WEST PUTNAM AVENUE||GREENWICH CT 06830-6086|USA|||  ||HARRY GALLACK|919-869-8660|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/13/2006|0|0|0|0|0|0
Boston Regional Office| 136205|801-64638|CASSIDY RETIREMENT GROUP, INC.|CASSIDY RETIREMENT GROUP, INC.|66 COMMONWEALTH AVE||CONCORD MA 01742|USA|||  ||DANIEL CASSIDY|978-371-8029|Corporation|Pension consulting services|APPROVED|08/26/2005|0|0|0|0|0|0
Boston Regional Office| 136245|801-64518|LAPIDES ASSET MANAGEMENT, LLC|LAPIDES ASSET MANAGEMENT, LLC|500 WEST PUTNAM AVENUE|4TH FLOOR|GREENWICH CT 06830|USA|||  ||ANNE B. SELKOVITS|203-422-7202|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/15/2005|0|0|0|0|0|0
Boston Regional Office| 136335|801-64521|HUNTER CAPITAL ADVISORS, INC.|HUNTER CAPITAL ADVISORS, INC.|1000 FARMINGTON AVE|SUITE 103|WEST HARTFORD CT 06107|USA|||  ||TIMOTHY C. BURNS|860-236-8500|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|07/20/2005|0|0|0|0|0|0
Boston Regional Office| 136362|801-64517|SAGE ADVISORY GROUP, LLC|SAGE ADVISORY GROUP, LLC|543 MASSACHUSETTS AVENUE|UNIT 2|BOSTON MA 02118-1474|USA|||  ||BENJAMIN LEE GRANT|617-262-6660|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/22/2005|0|0|0|0|0|0
Boston Regional Office| 136372|801-64528|KELLY FINANCIAL GROUP|KELLY FINANCIAL GROUP, LLC|100 GREAT MEADOW ROAD|SUITE 103|WETHERSFIELD CT 06109|USA|||  ||R. GREGORY HAMMOND|860-258-2600|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/20/2005|0|0|0|0|0|0
Boston Regional Office| 136396|801-64564|MAXAM CAPITAL MANAGEMENT LLC|MAXAM CAPITAL MANAGEMENT LLC|16 THORNDAL CIRCLE 1ST FLOOR||DARIEN CT 06820|USA|||  ||APRIL E. BUKOFSER|203-851-3502|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|07/29/2005|0|0|0|0|0|0
Boston Regional Office| 136488|801-64599|TROY CAPITAL, LLC|TROY CAPITAL, LLC|201 TRESSER BOULEVARD||STAMFORD CT 06901|USA|||  ||ALEXANDER TROY|203-588-8208|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|08/26/2005|0|0|0|0|0|0
Boston Regional Office| 136540|801-64841|PILOTROCK INVESTMENT PARTNERS GP, LLC|PILOTROCK INVESTMENT PARTNERS GP, LLC|1700 EAST PUTNAM AVENUE||OLD GREENWICH CT 06870|USA|||  ||THOMAS HOBAN|203-698-8821|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/26/2005|0|0|0|0|0|0
Boston Regional Office| 136674|801-64723|AUREUS ASSET MANAGEMENT, LLC|AUREUS ASSET MANAGEMENT, LLC|ONE WINTHROP SQUARE||BOSTON MA 02110|USA|||  ||KAREN FIRESTONE|617.728.8900|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/03/2005|0|0|0|0|0|0
Boston Regional Office| 136707|801-67366|SOUTHRIDGE ASSET MANAGEMENT LLC|SOUTHRIDGE ASSET MANAGEMENT LLC|90 GROVE STREET||RIDGEFIELD CT 06877-4130|USA|||  ||MICHAEL BYL|(203) 431-8081|Limited Liability Company|Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|01/03/2007|0|0|0|0|0|0
Boston Regional Office| 136716|801-65564|DRAKE CAPITAL ADVISORS LLC|DRAKE CAPITAL ADVISORS LLC|ONE FAWCETT PLACE|SUITE 140|GREENWICH CT 06830-6553|USA|||  ||RAY GUSTIN|203-861-7500|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|01/26/2006|0|0|0|0|0|0
Boston Regional Office| 136727|801-64617|VENUS INVESTMENT PARTNERS, LLC|VENUS INVESTMENT PARTNERS, LLC|99 SUMMER STREET|SUITE #M100|BOSTON MA 02110|USA|||  ||AVI MEHTA|617-423-1901|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|08/12/2005|0|0|0|0|0|0
Boston Regional Office| 136755|801-65729|MARTELLO INVESTMENT MANAGEMENT L.P.|MARTELLO INVESTMENT MANAGEMENT L.P.|291 MAIN STREET SUITE 302||GREAT BARRINGTON MA 01230|USA|||  ||TIMOTHY UMBACH|413-644-3853|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/30/2006|0|0|0|0|0|0
Boston Regional Office| 136792|801-65135|GOODNOW INVESTMENT GROUP LLC|GOODNOW INVESTMENT GROUP LLC|9 OLD KING'S HIGHWAY SOUTH||DARIEN CT 06820|USA|||  ||PETER GAVEY|203-655-6272|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/13/2006|0|0|0|0|0|0
Boston Regional Office| 136951|801-65118|NOBLE PARTNERS, L.P.|NOBLE PARTNERS, L.P.|265 FRANKLIN STREET|21ST FLOOR|BOSTON MA 02110-3113|USA|||  ||CHRISTOPHER FUCHS|617-646-6540|Partnership|Other|APPROVED|01/26/2006|0|0|0|0|0|0
Boston Regional Office| 137110|801-65467|JD CAPITAL MANAGEMENT LLC|JD CAPITAL MANAGEMENT LLC|TWO GREENWICH PLAZA|2ND FLOOR|GREENWICH CT 06830|USA|||  ||STEPHEN E. ROGERS|203-485-8821|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/18/2006|0|0|0|0|0|0
Boston Regional Office| 137132|801-64935|TURNBERRY CAPITAL MANAGEMENT, L.P.|TURNBERRY CAPITAL MANAGEMENT, L.P.|325 GREENWICH AVENUE||GREENWICH CT 06830|USA|||  ||MICHAEL W. SRUBINSKI|(203) 861-2712|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/08/2005|0|0|0|0|0|0
Boston Regional Office| 137218|801-64753|THE COLONY GROUP OF NAPLES, LLC|JETA GROVE, LLC|TWO ATLANTIC AVENUE||BOSTON MA 02110|USA|||  ||VINCENT J. GRATCH|617 723-8200|Limited Liability Company|Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|10/07/2005|0|0|0|0|0|0
Boston Regional Office| 137342|801-64812|REYNDERS, MCVEIGH CAPITAL MANAGEMENT, LLC|REYNDERS, MCVEIGH CAPITAL MANAGEMENT, LLC|4 LIBERTY SQUARE|2ND FLOOR|BOSTON MA 02109|USA|||  ||CHARLTON REYNDERS, III|617-226-9999|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|11/21/2005|0|0|0|0|0|0
Boston Regional Office| 137352|801-66684|RCG ARDIS CAPITAL LLC|RCG ARDIS CAPITAL LLC|1 BEACON ST.|13TH FLOOR|BOSTON MA 02108|USA|599 LEXINGTON AVE|21ST FLOOR|NEW YORK NY 10022|USA|MARC BAUM|212-201-4804|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/07/2006|0|0|0|0|0|0
Boston Regional Office| 137523|801-65638|FEINGOLD O'KEEFFE CAPITAL, LLC|FEINGOLD O'KEEFFE CAPITAL, LLC|ONE EXETER PLAZA|699 BOYLSTON STREET, 3RD FLR|BOSTON MA 02116|USA|||  ||DOROTHY HELD|857-403-1266|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/27/2006|0|0|0|0|0|0
Boston Regional Office| 137577|801-68532|ARTHA CAPITAL MANAGEMENT, INC.|ARTHA CAPITAL MANAGEMENT, INC|300 FIRST STAMFORD PLACE|SUITE 440|STAMFORD CT 06902|USA|||  ||ADAM JAFFE|203.653.5330|Corporation|Other|APPROVED|11/13/2007|0|0|0|0|0|0
Boston Regional Office| 137631|801-64899|AARP FINANCIAL|AARP FINANCIAL INCORPORATED|TWO HIGHWOOD DRIVE|2ND FLOOR|TEWKSBURY MA 01876|USA|||  ||SUSAN KIRKPATRICK|978-614-7614|Corporation|Portfolio management for investment companies|APPROVED|11/15/2005|0|0|0|0|0|0
Boston Regional Office| 137649|801-66753|GLOBAL EQUITY ADVISORS, LLC|GLOBAL EQUITY ADVISORS, LLC|201 HILLSIDE ROAD|SUITE 200|CRANSTON RI 02920|USA|||  ||EDUARD HAMAMJIAN|401-351-4900|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|06/07/2006|0|0|0|0|0|0
Boston Regional Office| 137676|801-65680|"LITCHFIELD CAPITAL"|LITCHFIELD CAPITAL MANAGEMENT, LLC|24 VILLAGE GREEN DR, BLDG D||LITCHFIELD CT 06759|USA|||  ||PAUL BRIAN|860-567-1101|Limited Liability Company|Other, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/23/2006|0|0|0|0|0|0
Boston Regional Office| 137782|801-65255|PROLOGUE CAPITAL, L.P.|PROLOGUE CAPITAL, L.P.|12 HAVEMEYER PLACE||GREENWICH CT 06830|USA|||  ||JOHN SHEERAN|44 207 495 4636|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/26/2006|0|0|0|0|0|0
Boston Regional Office| 137786|801-65301|KILIMANJARO ADVISORS LLC|KILIMANJARO ADVISORS LLC|18 MARSHALL STREET|SUITE 112|NORWALK CT 06854|USA|||  ||MURRY STEGELMANN|203-956-6556|Limited Liability Company|Other|APPROVED|01/13/2006|0|0|0|0|0|0
Boston Regional Office| 137877|801-64976|MERRITT CAPITAL INVESTMENT ADVISORS LLC|MERRITT CAPITAL INVESTMENT ADVISORS LLC|9 OLD KINGS HIGHWAY SOUTH|SUITE 300|DARIEN CT 06820-4505|USA|||  ||RAMONA A. ADAMS|203-656-2677|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/29/2005|0|0|0|0|0|0
Boston Regional Office| 137941|801-65842|ADDISON CLARK MANAGEMENT, L.L.C.|ADDISON CLARK MANAGEMENT, L.L.C.|10 WRIGHT STREET|SUITE 100|WESTPORT CT 06880|USA|||  ||STEVEN ZUCKER|203-222-4004|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/30/2006|0|0|0|0|0|0
Boston Regional Office| 137959|801-68611|BLUESTONE WEALTH MANAGEMENT LLC|BLUESTONE WEALTH MANAGEMENT LLC|67 WINTER STREET||KEENE NH 03431|USA|||  ||ELIZABETH CATLIN|603-499-4737|Limited Liability Company|Portfolio management for individuals and/or small businesses, Other|APPROVED|12/04/2007|0|0|0|0|0|0
Boston Regional Office| 137964|801-66278|DRUM CAPITAL MANAGEMENT LLC|DRUM CAPITAL MANAGEMENT LLC|18 MARSHALL STREET|SUITE 330|SOUTH NORWALK CT 06854|USA|||  ||SCOTT E. VOLLMER|203-604-2622|Limited Liability Company|Other|APPROVED|02/28/2006|0|0|0|0|0|0
Boston Regional Office| 138039|801-65389|CONCENTRIC INVESTMENT MANAGEMENT LLC|CONCENTRIC INVESTMENT MANAGEMENT LLC|ONE INTERNATIONAL PLACE, SUITE 2401||BOSTON MA 02110|USA|||  ||CHRIS ARGYROPLE|617-526-8929|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/23/2006|0|0|0|0|0|0
Boston Regional Office| 138048|801-69060|SANDY RIVER INVESTMENT CONSULTING, LLC|SANDY RIVER INVESTMENT CONSULTING, LLC|874 SANDY RIVER ROAD||MOUNT VERNON ME 04352|USA|||  ||REX W. HOLSAPPLE|207-293-2173|Limited Liability Company|Financial planning services, Pension consulting services, Selection of other advisers, Other|APPROVED|04/23/2008|0|0|1|0|0|0
Boston Regional Office| 138051|801-65064|SCOY ASSET MANAGEMENT, LP|SCOY ASSET MANAGEMENT, LP|63 COPPS HILL ROAD||RIDGEFIELD CT 06877|USA|||  ||THOMAS O. TRILLO|203-431-7161|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/06/2006|0|0|0|0|0|0
Boston Regional Office| 138055|801-65065|RIDGEFIELD CAPITAL ASSET MANAGEMENT, LP|RIDGEFIELD CAPITAL ASSET MANAGEMENT, LP|63 COPPS HILL ROAD||RIDGEFIELD CT 06877|USA|||  ||THOMAS TRILLO|203-431-7161|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/05/2006|0|0|0|0|0|0
Boston Regional Office| 138137|801-65260|DIAMONDBACK CAPITAL MANAGEMENT, LLC|DIAMONDBACK CAPITAL MANAGEMENT, LLC|1 LANDMARK SQUARE|15TH FLOOR|STAMFORD CT 06901-2601|USA|||  ||MARK G. HADLOCK|203 399 1636|Limited Liability Company|Other|APPROVED|01/23/2006|0|0|0|0|0|0
Boston Regional Office| 138165|801-65028|WEALTHNOTES CAPITAL MANAGEMENT, LLC|STRUCTURED FUNDS ADVISORS, LLC|5 DANIEL COURT||WESTPORT CT 06880|USA|||  ||KEITH STYRCULA|917-612-1896|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/02/2006|0|0|0|0|0|0
Boston Regional Office| 138203|801-65736|JWM PARTNERS, LLC|JWM PARTNERS, LLC|ONE EAST WEAVER STREET||GREENWICH CT 06831-5172|USA|||  ||HELAINE ROSENBAUM DRYDEN|203-552-5461|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/30/2006|0|0|0|0|0|0
Boston Regional Office| 138221|801-65534|TELEOS MANAGEMENT, L.L.C.|TELEOS MANAGEMENT, L.L.C.|695 EAST MAIN STREET||STAMFORD CT 06901|USA|||  ||CHRISTOPHER STELLA|203 975 7410|Limited Liability Company|Other|APPROVED|01/24/2006|0|0|0|0|0|0
Boston Regional Office| 138233|801-65535|KAILAS CAPITAL, L.L.C.|KAILAS CAPITAL, L.L.C.|695 EAST MAIN STREET||STAMFORD CT 06901|USA|||  ||CHRISTOPHER STELLA|203 975 7410|Limited Liability Company|Other|APPROVED|01/18/2006|0|0|0|0|0|0
Boston Regional Office| 138235|801-65173|ARGENT MANAGEMENT CO. LLC|ARGENT MANAGEMENT CO. LLC|500 WEST PUTNAM AVENUE||GREENWICH CT 06830-6086|USA|||  ||HARRY GALLACK|919-869-8660|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/18/2006|0|0|0|0|0|0
Boston Regional Office| 138238|801-65172|ARGENT INTERNATIONAL MANAGEMENT COMPANY, LLC|ARGENT INTERNATIONAL MANAGEMENT COMPANY, LLC|500 WEST PUTNAM AVENUE||GREENWICH CT 06830-6086|USA|||  ||HARRY GALLACK|919-869-8660|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/18/2006|0|0|0|0|0|0
Boston Regional Office| 138242|801-64997|LUCID ASSET MANAGEMENT, LLC|LUCID ASSET MANAGEMENT, LLC|274 RIVERSIDE AVENUE|2ND FLOOR|WESTPORT CT 06880|USA|||  ||VICTOR T. CUNNINGHAM|203-222-8004|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|12/09/2005|0|0|0|0|0|0
Boston Regional Office| 138249|801-65171|ARGENT EUROPEAN MANAGEMENT CO. LLC|ARGENT EUROPEAN MANAGEMENT CO. LLC|500 WEST PUTNAM AVENUE||GREENWICH CT 06830-6086|USA|||  ||HARRY GALLACK|919-869-8660|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/13/2006|0|0|0|0|0|0
Boston Regional Office| 138258|801-65175|CORNERSTONE ACQUISITION & MANAGEMENT COMPANY LLC|CORNERSTONE ACQUISITION & MANAGEMENT COMPANY LLC|500 WEST PUTNAM AVENUE||GREENWICH CT 06830-6086|USA|||  ||HARRY GALLACK|919-869-8660|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/18/2006|0|0|0|0|0|0
Boston Regional Office| 138276|801-65010|STELLATION ASSET MANAGEMENT|STELLATION ASSET MANAGEMENT LLC|123 MAIN STREET||WESTPORT CT 06880|USA|130 BLOOR STREET WEST|SUITE 905|TORONTO  M5S 1N5|ONTARIO CANADA|B. MARK RIDEN|(416) 574-5156|Limited Liability Company|Selection of other advisers, Other|APPROVED|12/12/2005|0|0|0|0|0|0
Boston Regional Office| 138330|801-65095|QFS ASSET MANAGEMENT, L.P.|QFS ASSET MANAGEMENT, L.P.|10 GLENVILLE STREET||GREENWICH CT 06831|USA|||  ||DAVID L. ZIMMERMAN|203-983-5600|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/06/2006|0|0|0|0|0|0
Boston Regional Office| 138402|801-66009|TETRA CAPITAL MANAGEMENT, LLC|TETRA CAPITAL MANAGEMENT, LLC|ONE INTERNATIONAL PLACE|SUITE 2401|BOSTON MA 02110|USA|||  ||REBECCA ROGERS|(617) 526-8939|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/31/2006|0|1|0|0|0|0
Boston Regional Office| 138451|801-65163|HENDERSON CAPITAL MANAGEMENT, LLC|HENDERSON CAPITAL MANAGEMENT, LLC|ONE GATEWAY CENTER, SUITE 916||NEWTON MA 02458|USA|||  ||STEVEN FLAMMEY|781-207-1485|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|01/13/2006|0|0|0|0|0|0
Boston Regional Office| 138538|801-65234|MARBLE HARBOR INVESTMENT COUNSEL, LLC|MARBLE HARBOR INVESTMENT COUNSEL, LLC|101 FEDERAL STREET|SUITE 2210|BOSTON MA 02110|USA|||  ||PAUL R. DAVIS|617-956-6710|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/11/2006|0|0|0|0|0|0
Boston Regional Office| 138542|801-65083|SALTBOX CAPITAL, LLC|SALTBOX CAPITAL, LLC|50 FEDERAL STREET||BOSTON MA 02110|USA|||  ||JEN CHRISTIAN MURTIE|617-350-8999|Limited Liability Company|Other|APPROVED|01/10/2006|0|0|0|0|0|0
Boston Regional Office| 138552|801-65965|CAMBRIAN CAPITAL LIMITED PARTNERSHIP|CAMBRIAN CAPITAL LIMITED PARTNERSHIP|45 COOLIDGE POINT||MANCHESTER MA 01944|USA|||  ||KAREN DURANTE|978 526-7010|Partnership|Other|APPROVED|01/30/2006|0|0|0|0|0|0
Boston Regional Office| 138620|801-65505|OWENOKE MANAGEMENT, LLC|OWENOKE MANAGEMENT, LLC|50 WASHINGTON STREET, 7TH FLOOR||NORWALK CT 06854|USA|||  ||CELPHON CHAN|203 956-5050|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/23/2006|0|0|0|0|0|0
Boston Regional Office| 138707|801-67997|DAVIS FINANCIAL SERVICES, LLC|DAVIS FINANCIAL SERVICES, LLC|19A COVE ROAD  UNIT 1||ORLEANS MA 02653-0388|USA|P.O. BOX 388||ORLEANS MA 02653-0388|USA|DEBORAH ELRIE DAVIS|508-255-9800|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/06/2007|0|0|0|0|0|0
Boston Regional Office| 138752|801-65642|IMPALA ASSET MANAGEMENT, LLC|IMPALA ASSET MANAGEMENT, LLC|134 MAIN STREET||NEW CANAAN CT 06840|USA|||  ||CHARLES P SODERSTROM|203-972-4100|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/30/2006|0|0|0|0|0|0
Boston Regional Office| 138756|801-66395|PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.|PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.|60 STATE STREET||BOSTON MA 02109-1820|USA|||  ||JUSTIN HEARON|617-422-4681|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/09/2006|0|3|0|0|0|0
Boston Regional Office| 138817|801-65499|MALLET CAPITAL MANAGEMENT, LLC|MALLET CAPITAL MANAGEMENT, LLC|ONE LANDMARK SQUARE||STAMFORD CT 06901|USA|||  ||STEPHEN HOWARD LULLA|203 569-4433|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/23/2006|0|0|0|0|0|0
Boston Regional Office| 139000|801-65832|TRADEX GLOBAL ADVISORS, LLC|TRADEX GLOBAL ADVISORS, LLC|35 MASON STREET|4TH FLOOR|GREENWICH CT 06830|USA|||  ||RICHARD TRAVIA|203-863-1537|Limited Liability Company|Other|APPROVED|02/24/2006|0|0|0|0|0|0
Boston Regional Office| 139013|801-65694|TRILOGY CAPITAL, LLC|TRILOGY CAPITAL, LLC|2 PICKWICK PLAZA||GREENWICH CT 06830|USA|||  ||CAREN PENNINGTON|203-971-3465|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/27/2006|0|0|0|0|0|0
Boston Regional Office| 139015|801-65833|VINYA CAPITAL LP|VINYA CAPITAL LP|1055 WASHINGTON BOULEVARD|4TH FLOOR|STAMFORD CT 06901|USA|||  ||MICHAEL DESA|203-355-2800|Other (specify)|Other|APPROVED|01/30/2006|0|0|0|0|0|0
Boston Regional Office| 139021|801-65744|BREEDEN CAPITAL MANAGEMENT LLC|BREEDEN CAPITAL MANAGEMENT LLC|100 NORTHFIELD STREET||GREENWICH CT 06830|USA|||  ||NORMAN HARRISON|203-618-0065|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/26/2006|0|0|0|0|0|0
Boston Regional Office| 139030|801-65684|LM ISIS CAPITAL PARTNERS, LLC|LM ISIS CAPITAL PARTNERS, LLC|20 EAST ELM STREET|2ND FLOOR|GREENWICH CT 06830|USA|||  ||DARYA ISHAM|203-983-7564|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/23/2006|0|0|0|0|0|0
Boston Regional Office| 139068|801-65865|FLAG CAPITAL MANAGEMENT, LLC|FLAG CAPITAL MANAGEMENT, LLC|1266 EAST MAIN STREET|5TH FLOOR|STAMFORD CT 06902|USA|||  ||KAREN HANSEN|203-352-0470|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/30/2006|0|0|0|0|0|0
Boston Regional Office| 139079|801-66106|CAPITAL HOTEL MANAGEMENT (CHM)|CAPITAL HOTEL MANAGEMENT, LLC|548 CABOT STREET||BEVERLY MA 01915|USA|||  ||CELESTE LEDOUX|978-522-7004|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/08/2006|0|0|0|0|0|0
Boston Regional Office| 139270|801-66467|CASTLE POINT CAPITAL MANAGEMENT, LLC|CASTLE POINT CAPITAL MANAGEMENT, LLC|20 HORSENECK LANE||GREENWICH CT 06830|USA|||  ||TODD COMBS|203-862-3154|Limited Liability Company|Other|APPROVED|04/06/2006|0|0|0|0|0|0
Boston Regional Office| 139294|801-66185|JMH WEALTH MANAGEMENT, LLC|JMH WEALTH MANAGEMENT, LLC|45 LYME ROAD|SUITE 307|HANOVER NH 03755|USA|||  ||JEFFREY M. HARRIS|603.643.8899|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/27/2006|0|0|0|0|0|0
Boston Regional Office| 139488|801-69056|PELAGOS CAPITAL MANAGEMENT, LLC|PELAGOS CAPITAL MANAGEMENT, LLC|ONE INTERNATIONAL PLACE|14TH FLOOR|BOSTON MA 02110|USA|||  ||JOHN PICKART|617-310-6532|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters, Other|APPROVED-120|05/15/2008|0|0|0|0|0|0
Boston Regional Office| 139516|801-66462|VON KOHORN RESEARCH & ADVISORY, INC.|VON KOHORN RESEARCH & ADVISORY, INC.|225 MAIN STREET|SUITE 104|WESTPORT CT 06880|USA|||  ||KEN VON KOHORN|203 454 3200|Corporation|Portfolio management for individuals and/or small businesses, Other|APPROVED|04/17/2006|0|2|0|0|0|0
Boston Regional Office| 139570|801-66231|CHESWICK WRIGHT WEALTH MANAGEMENT LLC|CHESWICK WRIGHT WEALTH MANAGEMENT LLC|1020 BOSTON POST ROAD, SUITE 220||DARIEN CT 06820|USA|C/O WRIGHT INVESTORS' SERVICE|440 WHEELERS FARMS ROAD|MILFORD CT 06461-1847|USA|HELEN W. GEORGE|203-783-4400|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/15/2006|0|0|0|0|0|0
Boston Regional Office| 139588|801-66230|GOTTEX FUND MANAGEMENT, LTD.|GOTTEX FUND MANAGEMENT, LTD.|28 STATE STREET|40TH FLOOR|BOSTON MA 02109|USA|||  ||WADE C. BOYLAN|617 532 0205|Corporation|Other|APPROVED|03/13/2006|0|0|0|0|0|0
Boston Regional Office| 139590|801-66292|LYDIA CAPITAL, LLC|LYDIA CAPITAL, LLC|28 STATE STREET|11TH FLOOR|BOSTON MA 02109|USA|||  ||EVAN ANDERSEN|617-510-2624|Limited Liability Company|Other|APPROVED|02/24/2006|0|0|0|0|0|0
Boston Regional Office| 139595|801-68413|3D ASSET MANAGEMENT, INC.|3D ASSET MANAGEMENT, INC.|111 FOUNDERS PLAZA|SUITE 603|EAST HARTFORD CT 06108|USA|||  ||JOHN O'CONNOR|860-291-1998|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/01/2007|0|0|0|0|0|0
Boston Regional Office| 139675|801-68653|RAYLIGN INVESTMENTS LLC|RAYLIGN INVESTMENTS LLC|35 MASON STREET, 4TH FLOOR||GREENWICH CT 06830|USA|||  ||GREGORY ROGERS|203-742-5450|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|01/04/2008|0|0|0|0|0|0
Boston Regional Office| 139771|801-67731|MASON CAPITAL|CT MASON INC|50 CONGRESS ST.|SUITE 843|BOSTON MA 02109|USA|||  ||CATHERINE FADDIS|617-228-5190|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/16/2007|0|0|0|0|0|0
Boston Regional Office| 139834|801-66396|R&A CAPITAL MANAGEMENT, LLC|R&A CAPITAL MANAGEMENT, LLC|PINE TREE PLACE, SUITE 3A|360 ROUTE 101|BEDFORD NH 03110|USA|||  ||JOHN P. AUBIN|603-471-9909|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|03/14/2006|0|0|0|0|0|0
Boston Regional Office| 139843|801-66435|HIGHVIEW POINT PARTNERS, LLC|HIGHVIEW POINT PARTNERS, LLC|1055 WASHINGTON BOULEVARD||STAMFORD CT 06901|USA|||  ||VICTOR CHONG|203-391-6724|Limited Liability Company|Other|APPROVED|03/21/2006|0|0|0|0|0|0
Boston Regional Office| 139879|801-66549|ASSET STRATEGY RETIREMENT CONSULTANTS, LLC|ASSET STRATEGY RETIREMENT CONSULTANTS, LLC|5 COMMONWEALTH RD., SUITE 3A||NATICK MA 01760-1526|USA|||  ||KENT FITZPATRICK|781-235-4426|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|05/15/2006|0|0|0|0|0|0
Boston Regional Office| 140059|801-66535|BOSTON ADVISORS, LLC|BOSTON ADVISORS, LLC|ONE FEDERAL STREET||BOSTON MA 02110|USA|||  ||TANYA A. KERRIGAN|617-348-3131|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters, Portfolio management for individuals and/or small businesses|APPROVED|05/05/2006|0|0|0|0|0|0
Boston Regional Office| 140070|801-66474|FAIRVIEW VENTURE MANAGEMENT III LLC|FAIRVIEW VENTURE MANAGEMENT III LLC|75 ISHAM ROAD|SUITE 200|WEST HARTFORD CT 06107|USA|||  ||DOUGLAS BOAINS|860-674-8066|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/18/2006|0|0|0|0|0|0
Boston Regional Office| 140125|801-67084|FOUNDATION SERVICES LLC|FOUNDATION SERVICES LLC|640 WEST PUTNAM AVENUE 3RD FLOOR||GREENWICH CT 06830|USA|||  ||GEOFFREY PARKINSON|(203) 629-8552|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/10/2006|0|0|0|0|0|0
Boston Regional Office| 140165|801-68066|5TH STREET ADVISORS, LLC|5TH STREET ADVISORS, LLC|34 FIFTH STREET||STAMFORD CT 06905|USA|||  ||CESAR G. MANENT|203-327-1212|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|06/25/2007|0|0|0|0|0|0
Boston Regional Office| 140210|801-66710|RF&L WEALTH MANAGEMENT, LLC|RF&L WEALTH MANAGEMENT, LLC|137 SOUTH STREET|SUITE 6|BOSTON MA 02111|USA|||  ||MICHAEL J. TAYLOR|617.426.4900|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/17/2006|0|0|0|0|0|0
Boston Regional Office| 140239|801-66616|SAFIR CAPITAL, LLC|SAFIR CAPITAL, LLC|15 RIVER ROAD|SUITE 220|WILTON CT 06897|USA|||  ||RICHARD S. BASILE|(203) 423-0005|Limited Liability Company|Other|APPROVED|05/02/2006|0|0|0|0|0|0
Boston Regional Office| 140246|801-66636|CAMULOS CAPITAL LP|CAMULOS CAPITAL LP|3 LANDMARK SQUARE||STAMFORD CT 06901|USA|||  ||MAURA A. KING|203-658-0755|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/03/2006|0|0|0|0|0|0
Boston Regional Office| 140301|801-66596|SPM PRIME, L.L.C.|SPM PRIME, L.L.C.|2187 ATLANTIC STREET, 4TH FL|CLEARWATER HOUSE|STAMFORD CT 06902|USA|||  ||JENELLE SCANLON|203-351-2870|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/03/2006|0|0|0|0|0|0
Boston Regional Office| 140303|801-66790|HARRY S. BOWER, LLC|HARRY S. BOWER, LLC|39 BARRISTERS WALK||DENNIS MA 02638|USA|||  ||HARRY S. BOWER|800-942-6180|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/28/2006|0|0|0|0|0|0
Boston Regional Office| 140313|801-66609|FUELLING CAPITAL ASSET MANAGEMENT, LLC|FUELLING CAPITAL ASSET MANAGEMENT, LLC|8 FREEBODY STREET||NEWPORT RI 02842|USA|||  ||TIMOTHY VON FUELLING STRAUS|401-619-0090|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|05/16/2006|0|0|0|0|0|0
Boston Regional Office| 140377|801-66623|RIVERVIEW CAPITAL ADVISERS LLC|RIVERVIEW CAPITAL ADVISERS LLC|21 CUSTOM HOUSE STREET|SUITE 960|BOSTON MA 02110|USA|||  ||ALAN L. ARCADIPANE|617-423-0080|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|05/03/2006|0|0|0|0|0|0
Boston Regional Office| 140449|801-66643|JOHN R. FIESTA, LLC|JOHN R. FIESTA, LLC|770 BOYLSTON STREET|#9D|BOSTON MA 02199|USA|||  ||JOHN ROBERT FIESTA|617.262.0214|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/21/2006|0|0|0|0|0|0
Boston Regional Office| 140494|801-66656|COVALENT PARTNERS LLC|COVALENT PARTNERS LLC|255 WASHINGTON STREET|SUITE 300|NEWTON MA 02458|USA|||  ||WILLIAM C. STONE, JR|617-658-5508|Limited Liability Company|Other|APPROVED|05/08/2006|0|0|0|0|0|0
Boston Regional Office| 140508|801-66663|ALEXANDER CAPITAL ADVISORS, LLC|ALEXANDER CAPITAL ADVISORS, LLC|111 ELM STREET||NEW CANAAN CT 06840|USA|||  ||THOMAS PAOLOZZI|203-966-7707|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/01/2006|0|0|0|0|0|0
Boston Regional Office| 140518|801-66773|HEAD AND ASSOCIATES|HEAD AND ASSOCIATES, LLC|121 MIDDLE ST||PORTLAND ME 04101-4194|USA|||  ||JENNIFER S. MOGAVERO|207-773-5333|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|06/08/2006|0|0|0|0|0|0
Boston Regional Office| 140522|801-66717|TWIN FOCUS CAPITAL PARTNERS, LLC|TWIN FOCUS CAPITAL PARTNERS, LLC|SIXTY STATE STREET||BOSTON MA 02109|USA|||  ||PAUL KARGER|617-720-4500|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/23/2006|0|0|0|0|0|0
Boston Regional Office| 140577|801-69428|WAMA ACTUARIAL & CONSULTING, LLC|WAMA ACTUARIAL & CONSULTING, LLC|51 RIDGECREST RD.||GLASTONBURY CT 06033|USA|||  ||JAMES G. AUGER|860-306-9205|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED-120|07/21/2008|0|0|0|0|0|0
Boston Regional Office| 140614|801-67014|CAMMACK LARHETTE ADVISORS, LLC|CAMMACK LARHETTE ADVISORS, LLC|65 WILLIAM STREET|SUITE 100|WELLESLEY MA 02481|USA|||  ||MICHAEL CARTER|781-237-2291|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|07/14/2006|0|0|0|0|0|0
Boston Regional Office| 140621|801-66726|INDEPENDENCE INVESTMENTS LLC|INDEPENDENCE INVESTMENTS LLC|160 FEDERAL STREET|9TH FLOOR|BOSTON MA 02110|USA|||  ||PATRICIA A. THOMPSON|617-228-8686|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/22/2006|0|0|0|0|0|0
Boston Regional Office| 140675|801-66762|FIDUCIARY INVESTMENT ADVISORS, LLC|FIDUCIARY INVESTMENT ADVISORS, LLC|100 NORTHFIELD DRIVE||WINDSOR CT 06095|USA|||  ||MARK R. WETZEL|866-466-9412|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|06/07/2006|0|0|0|0|0|0
Boston Regional Office| 140781|801-66848|WHALEROCK POINT PARTNERS, LLC|WHALEROCK POINT PARTNERS, LLC|ONE TURKS HEAD PLACE|SUITE 1050|PROVIDENCE RI 02903-2205|USA|||  ||RICHARD E. CAVANAGH|401-228-7799|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/12/2006|0|0|0|0|0|0
Boston Regional Office| 140791|801-67776|SIMPLE CAPITAL|SIMPLE CAPITAL, LLC|ONE APPPLE HILL DR.|SUITE 316|NATICK MA 01760|USA|||  ||ORIOSTO MEDRANO|508-655-7948|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/17/2007|0|0|0|0|0|0
Boston Regional Office| 140799|801-66907|ENERGY INCOME PARTNERS|ENERGY INCOME PARTNERS LLC|49 RIVERSIDE AVENUE||WESTPORT CT 06880|USA|49 RIVERSIDE AVENUE||WESTPORT CT 06880|USA|JIM MURCHIE|203-349-8234|Limited Liability Company|Portfolio management for investment companies, Other|APPROVED|06/28/2006|0|0|0|0|0|0
Boston Regional Office| 140815|801-66843|COEUS CAPITAL MANAGEMENT LLC|COEUS CAPITAL MANAGEMENT LLC|9 GREENWICH OFFICE PARK||GREENWICH CT 06831|USA|||  ||JASON RIESEL|203-542-4750|Limited Liability Company|Other|APPROVED|09/28/2006|0|0|0|0|0|0
Boston Regional Office| 140952|801-66894|ANGLER MANAGEMENT, L.P.|ANGLER MANAGEMENT, L.P.|ONE GREENWICH OFFICE PARK|BLDG ONE SOUTH, 3RD FLOOR|GREENWICH CT 06831|USA|||  ||RICHARD A. KELLER|203-422-8240|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/12/2006|0|0|0|0|0|0
Boston Regional Office| 140972|801-66909|BRIGHT ASSET MANAGEMENT|BRIGHT ASSET MANAGEMENT LLC|70 ESSEX RD.||WESTBROOK CT 06498|USA|||  ||LARRY BRIGHT JR|860-399-2886|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|06/14/2006|0|0|0|0|0|0
Boston Regional Office| 141001|801-66948|BRIDGE CREEK CAPITAL MANAGEMENT LLC|BRIDGE CREEK CAPITAL MANAGEMENT LLC|2439 MEETINGHOUSE WAY||WEST BARNSTABLE MA 02668|USA|||  ||BARRY N. PASTER|508-362-9566|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/27/2006|0|0|0|0|0|0
Boston Regional Office| 141040|801-66947|DAVISSON INVESTMENT, LLC|DAVISSON INVESTMENT, LLC|235 HERITAGE #2||PORTSMOUTH NH 03801|USA|||  ||RICHARD PORTER DAVISSON|603-686-0342|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/26/2006|0|0|0|0|0|0
Boston Regional Office| 141137|801-67012|OAKMONT PARTNERS, LLC|OAKMONT PARTNERS, LLC|3 SCHOOL STREET||BOSTON MA 02108|USA|||  ||JOHN DESIMONE|617-227-3170|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Selection of other advisers|APPROVED|07/17/2006|0|0|0|0|0|0
Boston Regional Office| 141170|801-67067|NOBADEER CAPITAL MANAGEMENT, LLC|NOBADEER CAPITAL MANAGEMENT, LLC|147 COUNTY ROAD|SUITE 301B|BARRINGTON RI 02806|USA|||  ||TODD KENYON|401-694-1231|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|08/04/2006|0|0|0|0|0|0
Boston Regional Office| 141306|801-67048|BOSTON HILL ADVISORS, LLC|BOSTON HILL ADVISORS, LLC|100 ANDOVER BY-PASS ROAD|SUITE 301|NORTH ANDOVER MA 01845|USA|||  ||MICHAEL EDWARDS|603-591-3559|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|07/25/2006|0|0|0|0|0|0
Boston Regional Office| 141370|801-68065|CHANNEL FUNDS MANAGEMENT LLC|CHANNEL FUNDS MANAGEMENT LLC|150 FEDERAL STREET|STE 2800|BOSTON MA 02110|USA|||  ||ROBERT JEFFORDS|6177470115|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/05/2007|0|0|0|0|0|0
Boston Regional Office| 141395|801-67094|CEDAR RIDGE PARTNERS, LLC|CEDAR RIDGE PARTNERS, LLC|45 E. PUTNAM AVE., SUITE 124||GREENWICH CT 06830|USA|||  ||GUY J BENSTEAD|(415) 477-6740|Limited Liability Company|Portfolio management for investment companies, Other|APPROVED|08/16/2006|0|0|0|0|0|0
Boston Regional Office| 141412|801-67081|GLOBALIS INVESTMENTS, LLC|GLOBALIS INVESTMENTS, LLC|ONE INTERNATIONAL PLACE|SUITE 4402|BOSTON MA 02110|USA|||  ||SALLY WORRALL|212-231-1809|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/10/2006|0|9|0|0|0|0
Boston Regional Office| 141581|801-67144|SPM PRODUCTS, L.L.C.|SPM PRODUCTS, L.L.C.|CLEARWATER HOUSE, 2187 ATLANTIC STREET|4TH FLOOR|STAMFORD CT 06902|USA|||  ||JENELLE SCANLON|203-351-2870|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/20/2006|0|0|0|0|0|0
Boston Regional Office| 141632|801-67112|SWALLOW FARMS CAPITAL MANAGEMENT|WILLIAM FRANCIS LINDSEY|9 SWALLOW FARMS ROAD||AMHERST MA 01002|USA|||  ||WILLIAM FRANCIS LINDSEY|413-230-3405|Sole Proprietorship|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/05/2006|0|0|0|0|0|0
Boston Regional Office| 141766|801-67220|KARGER PARTNERS, LLC|KARGER PARTNERS, LLC|SIXTY STATE STREET||BOSTON MA 02109|USA|||  ||PAUL KARGER|617-720-4515|Limited Liability Company|Selection of other advisers|APPROVED|10/20/2006|0|0|0|0|0|0
Boston Regional Office| 141772|801-67147|ELLINGTON GLOBAL ASSET MANAGEMENT, LLC|ELLINGTON GLOBAL ASSET MANAGEMENT, LLC|53 FOREST AVENUE|SUITE 301|OLD GREENWICH CT 06870|USA|||  ||DAVID RICE|203-698-1200|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/05/2006|0|0|0|0|0|0
Boston Regional Office| 141836|801-67184|CROW POINT PARTNERS, LLC|CROW POINT PARTNERS, LLC|10 NEW DRIFTWAY|SUITE 203|SCITUATE MA 02066-4546|USA|||  ||PETER J. DECAPRIO|781-545-8900|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/19/2006|0|0|0|0|0|0
Boston Regional Office| 141899|801-67995|GRANITE STATE RETIREMENT PLANNING, INC.|GRANITE STATE RETIREMENT PLANNING, INC.|360 ROUTE 101|SUITE 1301|BEDFORD NH 03110|USA|||  ||DAN P. HAGLER|603-472-4447|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|06/14/2007|0|1|0|0|0|0
Boston Regional Office| 141975|801-67201|BURR & COMPANY, LLC|BURR & COMPANY, LLC|872 MAIN STREET||OSTERVILLE MA 02655|USA|P. O. BOX 19||OSTERVILLE MA 02655-0019|USA|JOHN B. WILLIAMS|508.428.1677|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|09/25/2006|0|0|0|0|0|0
Boston Regional Office| 142000|801-67219|MILLBROOK ADVISORS LLC|MILLBROOK ADVISORS LLC|67 RANGE ROAD||CUMBERLAND ME 04021|USA|||  ||DENISON GALLAUDET|2076150402|Limited Liability Company|Financial planning services|APPROVED|10/19/2006|0|0|0|0|0|0
Boston Regional Office| 142006|801-67278|ADAM & PARTNERS INVESTMENT ADVISORS, LLC|ADAM & PARTNERS INVESTMENT ADVISORS, LLC|1266 EAST MAIN STREET|7TH FLOOR|STAMFORD CT 06902|USA|||  ||STUART ADAM|203 539-6270|Limited Liability Company|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|11/13/2006|0|0|0|0|0|0
Boston Regional Office| 142413|801-68853|TOPOS LLC|TOPOS LLC|1 LANDMARK SQUARE|SUITE 828|STAMFORD CT 06901-2673|USA|||  ||JEFF RATHGEBER|203-569-7761|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/13/2008|0|0|0|0|0|0
Boston Regional Office| 142533|801-67344|GREENWICH ADVISORS, LLC|GREENWICH ADVISORS, LLC|330 RAILROAD AVENUE||GREENWICH CT 06830|USA|||  ||ANNE M. CARLEY|(203) 531-7064|Limited Liability Company|Portfolio management for investment companies|APPROVED|12/14/2006|0|0|0|0|0|0
Boston Regional Office| 142550|801-67436|ADMIRAL CAPITAL MANAGEMENT, LLC|ADMIRAL CAPITAL MANAGEMENT, LLC|41 W. PUTNAM AVE, SUITE 300||GREENWICH CT 06830|USA|||  ||ANNA POVINELLI|203 742 2114|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/05/2007|0|0|0|0|0|0
Boston Regional Office| 142820|801-68897|GREENWICH WEALTH MANAGEMENT, LLC|GREENWICH WEALTH MANAGEMENT LLC|45 EAST PUTNAM AVENUE|SUITE 115|GREENWICH CT 06830|USA|||  ||MICHAEL J. FREEBURG|203-618-0100|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|03/20/2008|0|4|0|0|0|0
Boston Regional Office| 142875|801-67456|WEALTH COUNSELLORS OF FIFTH AVENUE, LLC|WEALTH COUNSELLORS OF FIFTH AVENUE, LLC|2 ATLANTIC AVENUE||BOSTON MA 02110|USA|||  ||VINCENT J. GRATCH|617-896-2131|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|01/12/2007|0|0|0|0|0|0
Boston Regional Office| 143013|801-68052|PROSPECTOR PARTNERS ASSET MANAGEMENT, LLC|PROSPECTOR PARTNERS ASSET MANAGEMENT, LLC|370 CHURCH STREET||GUILFORD CT 06437|USA|||  ||PETER PERUGINI|203-458-1500|Limited Liability Company|Portfolio management for investment companies|APPROVED|06/20/2007|0|0|0|0|0|0
Boston Regional Office| 143217|801-67642|FAIRVIEW CONSTITUTION MANAGEMENT III, LLC|FAIRVIEW CONSTITUTION MANAGEMENT III, LLC|75 ISHAM ROAD|SUITE 200|WEST HARTFORD CT 06107|USA|||  ||DOUGLAS BOAINS|860-674-8066|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/11/2007|0|0|0|0|0|0
Boston Regional Office| 143224|801-67853|DWM ASSET MANAGEMENT, LLC|DWM ASSET MANAGEMENT, LLC|800 POST ROAD||DARIEN CT 06820|USA|||  ||JOY C. MYERS|203-655-5463|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/03/2007|0|1|0|0|0|0
Boston Regional Office| 143399|801-67639|BURL CAPITAL, LLC|BURL CAPITAL, LLC|ONE INTERNATIONAL PLACE SUITE 2401||BOSTON MA 02110|USA|||  ||KEVIN MCCLINTOCK|617-310-6160|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/13/2007|0|0|0|0|0|0
Boston Regional Office| 143440|801-69329|BELRAY ASSET MANAGEMENT, LLC|BELRAY ASSET MANAGEMENT, LLC|125 GREENWICH AVE||GREENWICH CT 06830|USA|||  ||GREGORY SKIDMORE|203-629-3300|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|06/19/2008|0|0|0|0|0|0
Boston Regional Office| 143495|801-67691|FAIRVIEW CERES PARTNERS, LLC|FAIRVIEW CERES PARTNERS, LLC|75 ISHAM ROAD|SUITE 200|WEST HARTFORD CT 06107|USA|||  ||DOUGLAS BOAINS|860-674-8066|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/23/2007|0|0|0|0|0|0
Boston Regional Office| 143599|801-69342|CLINTON INVESTMENT MANAGEMENT, LLC|CLINTON INVESTMENT MANAGEMENT, LLC|ONE DOCK STREET||STAMFORD CT 06902|USA|||  ||ANDREW CLINTON|(203) 276-6246|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|06/26/2008|0|0|0|0|0|0
Boston Regional Office| 143616|801-67738|PARAMETRIC RISK ADVISORS|PARAMETRIC RISK ADVISORS LLC|274 RIVERSIDE AVENUE|1ST FLOOR|WESTPORT CT 06880|USA|||  ||BRADLEY BERGGREN|203-227-1700|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/18/2007|0|0|0|0|0|0
Boston Regional Office| 143732|801-67924|PHOENIX ALTERNATIVE INVESTMENT ADVISERS, INC.|PHOENIX ALTERNATIVE INVESTMENT ADVISERS, INC.|56 PROSPECT STREET||HARTFORD CT 06115|USA|||  ||NANCY J. ENGBERG|860-403-5968|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/08/2007|0|0|0|0|0|0
Boston Regional Office| 143733|801-67875|BIGELOW INVESTMENT ADVISORS, LLC|BIGELOW INVESTMENT ADVISORS, LLC|4 MOULTON STREET||PORTLAND ME 04101|USA|||  ||KATHRYN DION|207-772-2900|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/03/2007|0|0|0|0|0|0
Boston Regional Office| 143750|801-67818|BIRCH HILL INVESTMENT ADVISORS LLC|BIRCH HILL INVESTMENT ADVISORS LLC|24 FEDERAL STREET  10TH FLOOR||BOSTON MA 02110|USA|||  ||THOMAS EDWARD REILLY JR|617-502-8303|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/23/2007|0|0|0|0|0|0
Boston Regional Office| 143873|801-68051|MICHAEL A. SCHREIBER & ASSOCIATES|SCHREIBER, MICHAEL ALAN|10 LAUREL AVE.|SUITE 350|WELLESLEY HILLS MA 02481|USA|||  ||MICHAELA HERLIHY|781-239-1180|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|06/21/2007|0|0|0|0|0|0
Boston Regional Office| 143880|801-67874|BALTER CAPITAL MANAGEMENT LLC|BALTER CAPITAL MANAGEMENT LLC|15 BROAD STREET|7TH FLOOR|BOSTON MA 02109|USA|||  ||VICTOR W. CHIANG|617-742-2212|Limited Liability Company|Financial planning services, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|04/30/2007|0|0|0|0|0|0
Boston Regional Office| 143935|801-68196|NSM CAPITAL MANAGEMENT LLC|NSM CAPITAL MANAGEMENT LLC|328 PEMBERWICK RD||GREENWICH CT 06831|USA|||  ||ROBERT S. SMITH|(203) 861-7080|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/09/2007|0|0|0|0|0|0
Boston Regional Office| 143961|801-69006|ANKYRA CAPITAL MANAGEMENT, LLC|ANKYRA CAPITAL MANAGEMENT, LLC|800 BOYLSTON STREET|24TH FLOOR|BOSTON MA 02199|USA|||  ||BRIAN HUNTER|617-450-9333|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|04/02/2008|0|0|0|0|0|0
Boston Regional Office| 143970|801-67941|GILMAN HILL ASSET MANAGEMENT, LLC|GILMAN HILL ASSET MANAGEMENT, LLC|257 RIVERSIDE AVENUE||WESTPORT CT 06880|USA|||  ||JENNY VAN LEEUWEN HARRINGTON|203-222-2278|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/05/2007|0|0|0|0|0|0
Boston Regional Office| 144364|801-68042|J.P. MARVEL INVESTMENT ADVISORS, INC.|J.P. MARVEL INVESTMENT ADVISORS, INC.|265 FRANKLIN STREET|SUITE 710|BOSTON MA 02110|USA|||  ||JOSEPH F. PATTON, JR.|(617) 342-5610|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|06/19/2007|0|0|0|0|0|0
Boston Regional Office| 144375|801-68083|PERENNIAL INVESTMENT PARTNERS (U.S.) INC.|PERENNIAL INVESTMENT PARTNERS (U.S.) INC.|1010 WASHINGTON BLVD.||STAMFORD CT 06901|USA|||  ||ANDREW CALDERWOOD|203-564-1991|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED-120|06/21/2007|0|0|0|0|0|0
Boston Regional Office| 144381|801-68073|LEVI FINANCIAL GROUP LLC|LEVI FINANCIAL GROUP LLC|150 FOREST STREET||STAMFORD CT 06901|USA|||  ||WALTER LEVI|203-961-0661|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/28/2007|0|0|0|0|0|0
Boston Regional Office| 144418|801-68439|RIVERSEDGE CONVERTIBLE PORTFOLIO ADVISORS, LLC|RIVERSEDGE CONVERTIBLE PORTFOLIO ADVISORS, LLC|22 RIVER ROAD||PLEASANT VALLEY CT 06063-0306|USA|22 RIVER ROAD|PO BOX 306|PLEASANT VALLEY CT 06063-0306|UNITED STATES|DAVID A. TYSON|860-539-7806|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/15/2007|0|0|0|0|0|0
Boston Regional Office| 144532|801-68328|ZEBRA FUND ADVISORS, LLC|ZEBRA FUND ADVISORS, LLC|612 WHEELERS FARMS ROAD||MILFORD CT 06460|USA|||  ||PETER A. SCHAFFER|203-878-3223|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/11/2007|0|0|0|0|0|0
Boston Regional Office| 144594|801-68177|O'SHAUGHNESSY ASSET MANAGEMENT, LLC|O'SHAUGHNESSY ASSET MANAGEMENT, LLC|6 SUBURBAN AVENUE||STAMFORD CT 06901-2012|USA|||  ||RAYMOND AMOROSO, III, ESQ.|203-975-3318|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/25/2007|0|0|0|0|0|0
Boston Regional Office| 144644|801-68202|METHOD ADVISORS, LLC|METHOD ADVISORS, LLC|192 SOUTH STREET|6TH FLOOR|BOSTON MA 02111|USA|||  ||ERIC STEWART|617-216-3590|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|08/08/2007|0|0|0|0|0|0
Boston Regional Office| 144738|801-68288|NANKING ROAD CAPITAL MANAGEMENT LLC|NANKING ROAD CAPITAL MANAGEMENT LLC|111 GILLETT STREET||HARTFORD CT 06105|USA|||  ||STEVEN R. CHAMPION|860-278-7888|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/20/2007|0|0|0|0|0|0
Boston Regional Office| 144740|801-68203|TAYLOR, COTTRILL LLC|TAYLOR, COTTRILL LLC|224 MAIN STREET||NEW LONDON NH 03257|USA|P.O. BOX 7||NEW LONDON NH 03257-0622|USA|MARTHA COTTRILL|603-526-7400|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/03/2007|0|0|0|0|0|0
Boston Regional Office| 144798|801-68292|PFE ADVISORS, INC.|PFE ADVISORS, INC.|144 TURNPIKE ROAD, SUITE 360||SOUTHBOROUGH MA 01772|USA|||  ||CARYN L. WESTMAN|949-999-8500|Corporation|Pension consulting services, Other|APPROVED|08/30/2007|0|0|0|0|0|0
Boston Regional Office| 144955|801-68447|JOSEPH BARRY CO., LLC|JOSEPH BARRY CO., LLC|128 UNION STREET|SUITE 5079|NEW BEDFORD MA 02740|USA|||  ||JOSEPH M. BARRY|888-992-8601|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/24/2007|0|0|0|0|0|0
Boston Regional Office| 144984|801-68361|WELLESLEY INVESTMENT PARTNERS, LLC|WELLESLEY INVESTMENT PARTNERS, LLC|75 CENTRAL STREET||WELLESLEY MA 02482|USA|||  ||GERALD R. MUELLER|781-431-1430|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|09/17/2007|0|0|0|0|0|0
Boston Regional Office| 145169|801-68445|CUBIC ASSET MANAGEMENT, LLC|CUBIC ASSET MANAGEMENT, LLC|131 DARTMOUTH STREET|5TH FLOOR|BOSTON MA 02116|USA|||  ||JAMES KAPLAN|617-456-1373|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/15/2007|0|0|0|0|0|0
Boston Regional Office| 145267|801-68442|THUNDERSTORM MUTUAL FUNDS LLC|THUNDERSTORM MUTUAL FUNDS LLC|101 FEDERAL STREET|SUITE 1900|BOSTON MA 02110|USA|||  ||JOHN DORFMAN|617-204-5654|Limited Liability Company|Portfolio management for investment companies|APPROVED|10/24/2007|0|0|0|0|0|0
Boston Regional Office| 145331|801-68444|DION MONEY MANAGEMENT LLC|DION MONEY MANAGEMENT LLC|25 MAIN STREET||WILLIAMSTOWN MA 01267|USA|P.O. BOX 387||WILLIAMSTOWN MA 01267|USA|MATTHEW D. SAUER|(413) 458-4700|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|09/01/2007|0|0|0|0|0|0
Boston Regional Office| 145372|801-68677|MIDDLECOVE CAPITAL, LLC|MIDDLECOVE CAPITAL, LLC|65 MAIN STREET||CENTERBROOK CT 06409|USA|||  ||NOAH MYERS|860-767-2591|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/23/2008|0|0|0|0|0|0
Boston Regional Office| 145450|801-68464|FILOMENO WEALTH MANAGEMENT, LLC|FILOMENO WEALTH MANAGEMENT, LLC|80 SOUTH MAIN STREET||WEST HARTFORD CT 06107|USA|||  ||MICHAEL A. TEDONE|860-760-7017|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|11/19/2007|0|0|0|0|0|0
Boston Regional Office| 145468|801-68570|12 METER MANAGEMENT, LP|12 METER MANAGEMENT, LP|15 LAFAYETTE COURT, 5A||GREENWICH CT 06830|USA|||  ||PETER ZURKOW|203-661-2220|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/15/2007|0|0|0|0|0|0
Boston Regional Office| 145479|801-68581|SPM CREDIT, L.L.C.|SPM CREDIT, L.L.C.|2187 ATLANTIC STREET|4TH FLOOR|STAMFORD CT 06902|USA|||  ||CHRISTOPHER RUSSELL|203-351-2870|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/07/2007|0|0|0|0|0|0
Boston Regional Office| 145508|801-68506|HANCOCK CAPITAL INVESTMENT MANAGEMENT LLC|HANCOCK CAPITAL INVESTMENT MANAGEMENT LLC|197 CLARENDON STREET|BCF-C02-16|BOSTON MA 02116|USA|||  ||CYNTHIA CAVANAUGH|617-572-4612|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/04/2007|0|22|1|0|0|0
Boston Regional Office| 145592|801-68701|GE COMMERCIAL FINANCE INVESTMENT ADVISORY SERVICES LLC|GE COMMERCIAL FINANCE INVESTMENT ADVISORY SERVICES LLC|201 MERRITT 7||NORWALK CT 06851|USA|||  ||JONATHAN PRESCOTT|203-956-4290|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/14/2008|0|1|0|0|0|0
Boston Regional Office| 145640|801-68712|YHB PENSION INVESTMENT SERVICES, LLC|YHB PENSION INVESTMENT SERVICES, LLC|231 FARMINGTON AVENUE||FARMINGTON CT 06032|USA|||  ||RANDY BLISS|860-284-6880|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|01/16/2008|0|0|0|0|0|0
Boston Regional Office| 145647|801-69072|ABSOLUTE RETURN CAPITAL, LLC|ABSOLUTE RETURN CAPITAL, LLC|111 HUNTINGTON AVENUE||BOSTON MA 02199|USA|||  ||ALAN K. HALFENGER|617-516-2318|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/10/2008|0|0|0|0|0|0
Boston Regional Office| 145650|801-69070|BROOKSIDE CAPITAL, LLC|BROOKSIDE CAPITAL, LLC|111 HUNTINGTON AVENUE||BOSTON MA 02199|USA|||  ||ALAN K. HALFENGER|617-516-2318|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/10/2008|0|0|0|0|0|0
Boston Regional Office| 145652|801-69071|BAIN CAPITAL VENTURE PARTNERS, LLC|BAIN CAPITAL VENTURE PARTNERS, LLC|111 HUNTINGTON AVENUE||BOSTON MA 02199|USA|||  ||ALAN K. HALFENGER|617-516-2318|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/10/2008|0|0|0|0|0|0
Boston Regional Office| 145653|801-69069|BAIN CAPITAL PARTNERS, LLC|BAIN CAPITAL PARTNERS, LLC|111 HUNTINGTON AVENUE||BOSTON MA 02199|USA|||  ||ALAN K. HALFENGER|617-516-2318|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/10/2008|0|0|0|0|0|0
Boston Regional Office| 145716|801-69180|SAMOSET ASSET MANAGEMENT COMPANY LLC|SAMOSET ASSET MANAGEMENT COMPANY LLC|1540 BOSTON POST ROAD, 2ND FLOOR, SUITE L||DARIEN CT 06820-5900|USA|||  ||PETER E. RUHLIN|203-202-9597|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED-120|05/21/2008|0|0|0|0|0|0
Boston Regional Office| 145762|801-68777|ALPHA EQUITY MANAGEMENT LLC|ALPHA EQUITY MANAGEMENT LLC|90 STATE HOUSE SQUARE|SUITE 1100|HARTFORD CT 06103|USA|||  ||PETER EGON DE SVASTICH|(860) 218-1520|Limited Liability Company|Portfolio management for investment companies, Other|APPROVED|12/21/2007|0|0|0|0|0|0
Boston Regional Office| 145830|801-68730|WHF INVESTMENT MANAGEMENT, LLC|WHF INVESTMENT MANAGEMENT, LLC|2 HEKMA ROAD||GREENWICH CT 06831-2817|USA|P.O. BOX 5060||GREENWICH CT 06831|USA|WILLIAM H. FOULK, JR.|203.661.3328|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|01/23/2008|0|0|0|0|0|0
Boston Regional Office| 145912|801-68716|MAPLE STONE CAPITAL|MAPLE STONE CAPITAL ADVISORS, LLC|68 SOUTHFIELD AVENUE, SUITE 100||STAMFORD CT 06902|USA|||  ||PATRICK MITCHELL|203-921-0355|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/25/2008|0|0|0|0|0|0
Boston Regional Office| 145988|801-68684|KANON BLOCH CARRE|KBC HOLDINGS LLC|150 GROSSMAN DRIVE||BRAINTREE MA 02184|USA|||  ||ROBERT MCCARTHY|781 849 0034|Limited Liability Partnership|Pension consulting services, Selection of other advisers|APPROVED|01/07/2008|0|0|0|0|0|0
Boston Regional Office| 146013|801-68769|PENSION ADVISORS GROUP, LLC|PENSION ADVISORS GROUP, LLC|70 ESSEX ROAD||WESTBROOK CT 06498|USA|||  ||LARRY L. BRIGHT JR.|860-399-2884|Limited Liability Company|Pension consulting services, Selection of other advisers, Other|APPROVED|02/12/2008|0|0|0|0|0|0
Boston Regional Office| 146040|801-68688|SHORELINE FINANCIAL ADVISORS, LLC|SHORELINE FINANCIAL ADVISORS, LLC|246 GOOSE LANE|SUITE 201|GUILFORD CT 06437|USA|||  ||BRENDAN T. SMITH|203-458-6800|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED-120|05/12/2008|0|0|0|0|0|0
Boston Regional Office| 146113|801-68874|DAVLIN FUND ADVISORS|DAVLIN FUND ADVISORS, LLC|44 RIVER ROAD|SUITE A|WAYLAND MA 01778-1829|USA|||  ||WILLIAM E. B. DAVLIN|508-276-1705|Limited Liability Company|Portfolio management for investment companies|APPROVED|02/20/2008|0|0|0|0|0|0
Boston Regional Office| 146119|801-68715|CLEARPATH WEALTH MANAGEMENT, LLC|CLEARPATH WEALTH MANAGEMENT, LLC|170 WESTMINSTER STREET|SUITE 301|PROVIDENCE RI 02903|USA|||  ||PATRICK CHURCHVILLE|(401) 455-3794 X 101|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|01/03/2008|0|0|0|0|0|0
Boston Regional Office| 146220|801-68817|TIMBER CREEK CAPITAL MANAGEMENT, LLC|TIMBER CREEK CAPITAL MANAGEMENT, LLC|44 SCHOOL STREET|SUITE 410|BOSTON MA 02108|USA|||  ||JOHN WILL THOMAS BRENNECKE|617-722-0855|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/14/2008|0|0|0|0|0|0
Boston Regional Office| 146270|801-68863|SOUTHPORT STATION FINANCIAL MANAGEMENT, LLC|SOUTHPORT STATION FINANCIAL MANAGEMENT, LLC|368 CENTER STREET||SOUTHPORT CT 06890|USA|||  ||MICHAEL S. JELORMINE, CPA/PFS|203-254-2333|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|02/28/2008|0|0|0|0|0|0
Boston Regional Office| 146308|801-68899|CAMBRIDGE FINANCIAL SERVICES GROUP, INC|CAMBRIDGE FINANCIAL SERVICES GROUP, INC|83 MASON STREET||GREENWICH CT 06830|USA|||  ||ERNEST A. LIEBRE|203-869-0033|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|03/11/2008|0|0|0|0|0|0
Boston Regional Office| 146325|801-68844|AURORA INVESTMENT MANAGERS, LLC|AURORA INVESTMENT MANAGERS, LLC|1416 PROVIDENCE HIGHWAY|SUITE 219|NORWOOD MA 02062|USA|||  ||SHAKEEL DEWJI|781-405-8888|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/11/2008|0|0|0|0|0|0
Boston Regional Office| 146425|801-68981|SUMMIT PARTNERS SD IV, L.P.|SUMMIT PARTNERS SD IV, L.P.|222 BERKELEY STREET||BOSTON MA 02116|USA|||  ||ROBIN W. DEVEREUX|617-824-1606|Partnership|Other|APPROVED|03/31/2008|0|0|0|0|0|0
Boston Regional Office| 146426|801-68956|ROGGE GLOBAL PARTNERS INC.|ROGGE GLOBAL PARTNERS INC.|1720 POST ROAD EAST||WESTPORT CT 06880|USA|||  ||SUKHJIVAN SINGH|00442078428444|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|03/18/2008|0|0|0|0|0|0
Boston Regional Office| 146432|801-68980|SUMMIT PARTNERS EUROPE, L.P.|SUMMIT PARTNERS EUROPE, L.P.|222 BERKELEY STREET||BOSTON MA 02116|USA|||  ||ROBIN W. DEVEREUX|617-824-1606|Other (specify)|Other|APPROVED|03/31/2008|0|0|0|0|0|0
Boston Regional Office| 146486|801-68962|SPOOR, T. RICHARD|SPOOR, T. RICHARD|184 MAIN STREET||LAKEVILLE CT 06039|USA|||  ||T. RICHARD SPOOR|860-435-1211|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/03/2008|0|0|0|0|0|0
Boston Regional Office| 146488|801-68881|SECURITIES FINANCE GLOBAL ADVISORS, LLC|SECURITIES FINANCE GLOBAL ADVISORS, LLC|175 FEDERAL ST.|11TH FLOOR|BOSTON MA 02110|USA|||  ||CHRISTOPHER W. THOME|617 204-4530|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/29/2008|0|0|0|0|0|0
Boston Regional Office| 146489|801-68959|GE EQUITY INVESTMENT MANAGER, LLC|GE EQUITY INVESTMENT MANAGER, LLC|201 MERRITT 7||NORWALK CT 06856|USA|||  ||BARBARA A. LANE|(203) 956-4365|Limited Liability Company|Other|APPROVED|04/14/2008|0|1|0|0|0|0
Boston Regional Office| 146501|801-68892|WEATHERVANE HILL ADVISORS, LLC|WEATHERVANE HILL ADVISORS, LLC|12 WEATHERVANE HILL||WESTPORT CT 06880-2328|USA|||  ||O'DONNELL,JOHN|203 222 8996|Limited Liability Company|Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED-120|02/29/2008|0|0|0|0|0|0
Boston Regional Office| 146519|801-68994|EAGLEEYE ASSET MANAGEMENT, LLC|EAGLEEYE ASSET MANAGEMENT, LLC|33 EAST BAY LANE||PLYMOUTH MA 02360|USA|||  ||JEFFREY LISKOV|508-801-1970|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED-120|04/09/2008|0|0|0|0|0|0
Boston Regional Office| 146552|801-68931|ELM STREET FINANCIAL GROUP, LLC|ELM STREET FINANCIAL GROUP, LLC|889 ELM STREET|SUITE 4B|MANCHESTER NH 03101|USA|||  ||TROY A NEILY|603-623-7300|Limited Liability Company|Financial planning services|APPROVED|04/02/2008|0|0|0|0|0|0
Boston Regional Office| 146601|801-69144|SAFE HAVEN ADVISORS, INC.|SAFE HAVEN ADVISORS, INC.|37 PARTRIDGE HILL ROAD||WESTON MA 02493|USA|||  ||JOSEPH MILLER BLEW|781-790-1776|Corporation|Portfolio management for investment companies, Selection of other advisers, Other|APPROVED|05/09/2008|0|0|0|0|0|0
Boston Regional Office| 146673|801-69028|F-SQUARED INVESTMENTS, LLC|F-SQUARED INVESTMENTS, LLC|70 WALNUT STREET||WELLESLEY MA 02481|USA|||  ||HOWARD B. PRESENT|781-237-3008|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|04/10/2008|0|0|0|0|0|0
Boston Regional Office| 146680|801-68921|THE FINANCIAL ADVISORS, LLC|THE FINANCIAL ADVISORS, LLC|15 RAILROAD SREET||ANDOVER MA 01810|USA|||  ||RICHARD L SUMBERG|978-475-3242|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|03/11/2008|0|0|0|0|0|0
Boston Regional Office| 146719|801-69022|DECCAN VALUE ADVISORS, L.P.|DECCAN VALUE ADVISORS, L.P.|15 VALLEY DRIVE, 2ND FLOOR||GREENWICH CT 06831|USA|||  ||JOHN MALIK|203-983-7200|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/03/2008|0|0|0|0|0|0
Boston Regional Office| 146725|801-69289|ATLANTIC CAPITAL STRATEGIES, INC.|ATLANTIC CAPITAL STRATEGIES, INC.|8 BIRCHWOOD DRIVE||BEDFORD MA 01730|USA|||  ||ROBERT B SEGAL|781-258-1099|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|06/12/2008|0|0|0|0|0|0
Boston Regional Office| 146807|801-69174|CHASSEUR CAPITAL MANAGEMENT, LLC|CHASSEUR CAPITAL MANAGEMENT, LLC|30 BUXTON FARM ROAD|SUITE 300|STAMFORD CT 06905|USA|||  ||ROSS TAYLOR|203-276-5348|Limited Liability Company|Other|APPROVED-120|05/13/2008|0|0|0|0|0|0
Boston Regional Office| 146816|801-69097|P & W GLOBAL ADVISORS|PW CAPITAL, LLC|101 FEDERAL STREET|STE. 1900|BOSTON MA 02110|USA|||  ||JONATHAN NORMAN WAKELY|617-478-4850|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|05/01/2008|0|0|0|0|0|0
Boston Regional Office| 146990|801-69413|WESTFIELD CAPITAL MANAGEMENT COMPANY, L.P.|WESTFIELD CAPITAL MANAGEMENT COMPANY, L.P.|ONE FINANCIAL CENTER||BOSTON MA 02111|USA|||  ||HELEN MCAULEY|617-428-7158|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/30/2008|0|0|1|0|0|0
Boston Regional Office| 147110|801-69154|EVENTIDE ASSET MANAGEMENT, LLC|EVENTIDE ASSET MANAGEMENT, LLC|2 FRANKLIN STREET||MEDFORD MA 02155|UNITED STATES OF AMERICA|||  ||ROBIN JOHN|617-686-3303|Limited Liability Company|Portfolio management for investment companies|APPROVED-120|05/21/2008|0|0|0|0|0|0
Boston Regional Office| 147122|801-69201|TEMPO FINANCIAL ADVISORS, LLC|TEMPO FINANCIAL ADVISORS, LLC|ONE APPLE HILL DRIVE||NATICK MA 01760|USA|||  ||DANIEL TRAUB|508-655-7827|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED-120|05/27/2008|0|0|0|0|0|0
Boston Regional Office| 147141|801-69168|TUCKERBROOK REGISTERED FUNDS, LLC|TUCKERBROOK REGISTERED FUNDS, LLC|30 DOAKS LANE||MARBLEHEAD MA 01945|USA|||  ||DAVID HAUSLER|781-476-6005|Limited Liability Company|Other|APPROVED-120|05/21/2008|0|0|0|0|0|0
Boston Regional Office| 147233|801-69204|TETREM CAPITAL MANAGEMENT LP|TETREM CAPITAL MANAGEMENT LP|TWO INTERNATIONAL PLACE|23RD FLOOR|BOSTON MA 02110|USA|||  ||WILLIAM  NICHOLAS|617-648-0720|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED-120|07/08/2008|0|0|0|0|0|0
Boston Regional Office| 147248|801-69249|CONSTITUTION CAPITAL PARTNERS, LLC|CONSTITUTION CAPITAL PARTNERS, LLC|300 BRICKSTON SQUARE||ANDOVER MA 01810|U.S.A.|||  ||JOHN J. GUINEE|978-749-9600|Limited Liability Company|Other|APPROVED-120|06/03/2008|0|0|0|0|0|0
Boston Regional Office| 147306|801-69253|TAYLOR INVESTMENT COUNSELORS LLC|TAYLOR INVESTMENT COUNSELORS LLC|50 FEDERAL STREET||BOSTON MA 02110-2509|USA|||  ||DEBORAH A STEWART|617-482-2222|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/24/2008|0|0|0|0|0|0
Boston Regional Office| 147348|801-69383|GREENWICH CREEK CAPITAL MANAGEMENT, LLC|GREENWICH CREEK CAPITAL MANAGEMENT, LLC|8 SOUND SHORE DRIVE||GREENWICH CT 06830|USA|||  ||SAUL PADILLA|203-219-3110|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED-120|07/30/2008|0|0|0|0|0|0
Boston Regional Office| 147358|801-69237|IRON PEAK CAPITAL MANAGEMENT LLC|IRON PEAK CAPITAL MANAGEMENT LLC|55 POST RD. W, STE 310||WESTPORT CT 06880|USA|||  ||GERALD L. ROBERTS JR|203-221-5367|Limited Liability Company|Other, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|06/20/2008|0|0|0|0|0|0
Boston Regional Office| 147425|801-69285|DUFF CAPITAL ADVISORS LP|DUFF CAPITAL ADVISORS LP|100 FIELD POINT ROAD||GREENWICH CT 06830|USA|||  ||CHARLES LERNER|2037425229|Partnership|Other|APPROVED|06/19/2008|0|0|0|0|0|0
Boston Regional Office| 147429|801-69255|KVO CAPITAL MANAGEMENT, LLC|KVO CAPITAL MANAGEMENT, LLC|44 S. MAIN STREET|BOX 17|HANOVER NH 03755|USA|||  ||KERNAN V. OBERTING|603-643-0500|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED-120|06/12/2008|0|0|0|0|0|0
Chicago Regional Office|     61|801-19699|B. C. ZIEGLER AND COMPANY|B. C. ZIEGLER AND COMPANY|200 SOUTH WACKER DRIVE|SUITE 2000|CHICAGO IL 60606|USA|||  ||ELIZABETH A WATKINS|312/596-1627|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|09/06/1983|0|6|1|0|0|0
Chicago Regional Office|    120|801-61903|BUTLER, WICK & CO., INC.|BUTLER, WICK & CO., INC.|700 CITY CENTRE ONE BUILDING||YOUNGSTOWN OH 44503-1811|USA|||  ||FRANKLIN SEATON BENNETT JR|(330) 744-4351|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|04/10/2003|0|10|0|0|0|0
Chicago Regional Office|    205|801-67588|DAVID A. NOYES & COMPANY|DAVID A. NOYES & COMPANY|209 S. LASALLE STREET|12TH FLOOR|CHICAGO IL 60604-1203|USA|||  ||ANDREW J. WYKRETOWICZ|312-606-4627|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|07/23/2007|0|30|0|0|0|1
Chicago Regional Office|    250|801-3297|EDWARD JONES|EDWARD D. JONES & CO., L.P.|12555 MANCHESTER RD||ST. LOUIS MO 63131|USA|||  ||POLIN HO|(314) 515-2623|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|10/24/1963|0|38|7|0|0|0
Chicago Regional Office|    421|801-54905|WOODBURY FINANCIAL SERVICES, INC.|WOODBURY FINANCIAL SERVICES, INC.|500 BIELENBERG DRIVE||WOODBURY MN 55125|USA|P.O. BOX 64284||ST. PAUL MN 55164-0284|U.S.A.|MARK K. EIDE|651-738-4273|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|09/19/1997|0|36|22|0|0|0
Chicago Regional Office|    453|801-23120|J.J.B. HILLIARD, W.L. LYONS, LLC|J.J.B. HILLIARD, W.L. LYONS, LLC|500 W. JEFFERSON STREET||LOUISVILLE KY 40202|USA|||  ||KAPLAN, ELIZABETH|502-588-1719|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|12/03/1984|1|14|1|0|0|0
Chicago Regional Office|    628|801-63623|FIFTH THIRD SECURITIES, INC.|FIFTH THIRD SECURITIES, INC.|34 FOUNTAIN SQUARE PLAZA|MD 10AT5G|CINCINNATI OH 45263|USA|38 FOUNTAIN SQUARE|MD 10AT5G|CINCINNATI OH 45263|USA|JARRETT A. JACOBS|(513) 534-7421|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|11/17/2004|0|17|0|0|0|0
Chicago Regional Office|    728|801-7395|ROTHSCHILD INVESTMENT CORPORATION|ROTHSCHILD INVESTMENT CORPORATION|311 SOUTH WACKER DRIVE|SUITE 6500|CHICAGO IL 60606|USA|||  ||BRADLEY  DRAKE|312-983-8956|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|05/30/1971|0|9|0|0|0|0
Chicago Regional Office|    793|801-10746|STIFEL, NICOLAUS & COMPANY, INCORPORATED|STIFEL, NICOLAUS & COMPANY, INCORPORATED|ONE FINANCIAL PLAZA 501 N BROADWAY||ST LOUIS MO 63102|USA|||  ||MAUREEN FISTER|314-342-2110|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|05/07/1975|1|75|2|0|0|2
Chicago Regional Office|    875|801-64233|WAYNE HUMMER INVESTMENTS L.L.C.|WAYNE HUMMER INVESTMENTS L.L.C.|222 S. RIVERSIDE PLAZA|SUITE 2800|CHICAGO IL 60606|USA|PO BOX 750||CHICAGO IL 60606-0750|USA|ELLIOTT SILVER|312-431-1700|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|05/20/2005|0|2|0|0|0|0
Chicago Regional Office|   1037|801-10334|ALEXANDER INVESTMENT SERVICES CO.|ALEXANDER INVESTMENT SERVICES CO.|BARKLEY BUILDING, SUITE 303|12700 SHELBYVILLE ROAD|LOUISVILLE KY 40243|USA|||  ||L. ANDREW HANLEIN|502-459-4414|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|11/07/1974|0|4|0|0|0|0
Chicago Regional Office|   1075|801-8074|AMERICAN UNITED LIFE INSURANCE COMPANY|AMERICAN UNITED LIFE INSURANCE COMPANY|ONE AMERICAN SQUARE||INDIANAPOLIS IN 46282|USA|P.O. BOX 368||INDIANAPOLIS IN 46282|USA|RICHARD M. ELLERY|317-285-1530|Corporation|Portfolio management for investment companies, Pension consulting services, Other|APPROVED|12/09/1971|0|4|0|0|0|0
Chicago Regional Office|   1137|801-54949|PRINCOR FINANCIAL SERVICES CORPORATION|PRINCOR FINANCIAL SERVICES CORPORATION|711 HIGH STREET||DES MOINES IA 50392-0200|USA|||  ||TRACI WELDON|515-247-0601|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|10/10/1997|0|1|0|0|0|0
Chicago Regional Office|   1252|801-688|WILLIAM BLAIR & COMPANY L.L.C.|WILLIAM BLAIR & COMPANY L.L.C.|222 W ADAMS ST||CHICAGO IL 60606|USA|||  ||NAYRA CALDERON-NAJERA|312-364-8847|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|12/24/1947|0|23|0|0|0|0
Chicago Regional Office|   1459|801-67527|CITY SECURITIES CORPORATION|CITY SECURITIES CORPORATION|30 SOUTH MERIDIAN STREET|SUITE 600|INDIANAPOLIS IN 46204-3573|USA|||  ||JENNIFER M. HAAS|317-808-7133|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|02/05/2007|0|15|0|0|0|0
Chicago Regional Office|   1697|801-13157|DUPREE & COMPANY, INC.|DUPREE & COMPANY, INC.|125 SOUTH MILL ST STE 100||LEXINGTON KY 40507|USA|||  ||DRAGOO, MICHELLE M|859 254 7741|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/04/1977|0|0|0|0|0|0
Chicago Regional Office|   2225|801-54935|SII INVESTMENTS, INC.|SII INVESTMENTS, INC.|5555 GRANDE MARKET DRIVE||APPLETON WI 54913-8403|USA|||  ||ALICE M HITTLE|800-426-5975|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Market timing services, Other|APPROVED|10/08/1997|0|15|0|0|0|0
Chicago Regional Office|   2580|801-8102|LINCOLN LIFE|THE LINCOLN NATIONAL LIFE INSURANCE COMPANY|1300 S CLINTON STREET||FORT WAYNE IN 46802|USA|P.O. BOX 1110||FORT WAYNE IN 46801|USA|NATE WAGLEY|(260)455-1246|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/11/1971|0|21|0|0|0|0
Chicago Regional Office|   2764|801-45315|MESIROW FINANCIAL, INC.|MESIROW FINANCIAL, INC.|350 N. CLARK ST||CHICAGO IL 60610|USA|||  ||BRIAN FRANC|(312) 595-6072|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|12/21/1993|0|13|0|0|0|0
Chicago Regional Office|   2881|801-8095|NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC|NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC|611 EAST WISCONSIN AVE||MILWAUKEE WI 53202-4797|USA|||  ||JEFFREY B. WILLIAMS|414-665-1924|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|12/10/1971|1|31|3|0|0|0
Chicago Regional Office|   2882|801-46585|ING FINANCIAL PARTNERS, INC|ING FINANCIAL PARTNERS, INC|909 LOCUST STREET||DES MOINES IA 50309|USA|||  ||CHRISTOPHER COKINIS|515-698-7376|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|07/11/1994|1|35|2|0|0|0
Chicago Regional Office|   2997|801-49498|PECAUT & CO.|PECAUT & CO.|401 DOUGLAS STE 415||SIOUX CITY IA 51101|USA|||  ||COREY J. WRENN|712-252-3268|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters, Other|APPROVED|06/23/1995|0|0|0|0|0|0
Chicago Regional Office|   3215|801-27061|ROMANO BROTHERS AND COMPANY|ROMANO BROTHERS AND COMPANY|ONE ROTARY CENTER|STE 1300|EVANSTON IL 60201|USA|||  ||MICHAEL J MAREK|847-866-7700|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/23/1986|0|0|0|0|0|0
Chicago Regional Office|   3441|801-68175|SMITH MOORE & CO.|SMITH MOORE & CO.|7777 BONHOMME AVE., SUITE 2400||CLAYTON MO 63105|USA|||  ||THOMAS A GONSALVES|314-727-9073|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/08/2007|0|5|0|0|0|0
Chicago Regional Office|   3487|801-8184|STATE FARM INVESTMENT MANAGEMENT CORP.|STATE FARM INVESTMENT MANAGEMENT CORP.|THREE STATE FARM PLAZA SOUTH, N-1||BLOOMINGTON IL 61791-0001|USA|||  ||DAVID GRIZZLE|309-766-2558|Corporation|Financial planning services, Portfolio management for investment companies|APPROVED|12/14/1971|0|3|0|0|0|0
Chicago Regional Office|   3978|801-42530|LINCOLN FINANCIAL ADVISORS CORPORATION|LINCOLN FINANCIAL ADVISORS CORPORATION|1300 SOUTH CLINTON STREET|SUITE 150|FORT WAYNE IN 46802|USA|P.O. BOX 2239||FORT WAYNE IN 46801-2239|USA|TRINA MILLS|260-455-2562|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|10/15/1992|22|72|16|0|0|0
Chicago Regional Office|   4173|801-56819|ONEAMERICA SECURITIES, INC.|ONEAMERICA SECURITIES, INC.|ONE AMERICAN SQUARE||INDIANAPOLIS IN 46282|USA|ONE AMERICAN SQUARE||INDIANAPOLIS IN 46282|USA|PEGGY BENNETT|317-285-2750|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|09/13/1999|0|4|0|0|0|0
Chicago Regional Office|   5308|801-7655|EQUITRUST INVESTMENT MANAGEMENT SERVICES, INC.|EQUITRUST INVESTMENT MANAGEMENT SERVICES, INC.|5400 UNIVERSITY AVE||WEST DES MOINES IA 50266-5997|USA|||  ||ROJOHN, KRISTI|515/226-6028|Corporation|Financial planning services, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/11/1971|0|0|0|0|0|0
Chicago Regional Office|   5478|801-9678|CAPITAL ANALYSTS, INCORPORATED|CAPITAL ANALYSTS, INCORPORATED|303 BROADWAY|SUITE 1500|CINCINNATI OH 45202|USA|||  ||KEVIN R. ZEMANN|513-362-8670|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|12/17/1973|0|9|4|0|0|0
Chicago Regional Office|   5611|801-12999|HORWITZ & ASSOCIATES, INC.|HORWITZ & ASSOCIATES, INC.|2610 LAKE COOK RD.|SUITE 190|RIVERWOODS IL 60015|USA|||  ||GERALD A. HORWITZ|224-632-4700|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/25/1977|0|0|0|0|0|0
Chicago Regional Office|   5979|801-62066|H&R BLOCK FINANCIAL ADVISORS, INC.|H&R BLOCK FINANCIAL ADVISORS, INC.|719 GRISWOLD|SUITE 1700|DETROIT MI 48226|USA|||  ||CHRIS KINNEY|(313) 628-1732|Corporation|Financial planning services, Selection of other advisers, Other|APPROVED|06/24/2003|0|55|0|0|0|0
Chicago Regional Office|   6363|801-28543|AMERIPRISE FINANCIAL SERVICES, INC.|AMERIPRISE FINANCIAL SERVICES, INC.|50611 AMERIPRISE FINANCIAL CENTER||MINNEAPOLIS MN 55474|USA|||  ||PAT CAMPBELL|612-671-2496|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters, Other|APPROVED|12/05/1986|270|126|0|0|0|0
Chicago Regional Office|   6564|801-66533|SF INVESTMENT ADVISERS|SF INVESTMENTS, INC.|799 CENTRAL AVENUE|SUITE 350|HIGHLAND PARK IL 60035|USA|||  ||DANNY SHAPIRO|847-926-5711|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/28/2006|0|3|0|0|0|0
Chicago Regional Office|   6751|801-11036|PLANNERS FINANCIAL SERVICES, INC.|PLANNERS FINANCIAL SERVICES, INC.|7710 COMPUTER AVE|STE 100|MINNEAPOLIS MN 55435|USA|||  ||KEATING, JAMES L|952-835-9000|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/10/1975|0|0|0|0|0|0
Chicago Regional Office|   6905|801-68779|FELTL AND COMPANY|FELTL & COMPANY|225 SOUTH SIXTH STREET|SUITE 4200|MINNEAPOLIS MN 55402|USA|||  ||MITCHELL J. EDWARDS|(612) 492-8882|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|02/06/2008|0|3|0|0|0|0
Chicago Regional Office|   7294|801-62856|GREGORY J. SCHWARTZ & CO., INC.|GREGORY J. SCHWARTZ & CO., INC.|3707 W. MAPLE||BLOOMFIELD HILLS MI 48301|USA|||  ||LAURA POWERS|248-644-2701|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|03/15/2004|0|0|0|0|0|0
Chicago Regional Office|   7365|801-39365|WRP INVESTMENTS, INC.|WRP INVESTMENTS, INC.|4407 BELMONT AVE||YOUNGSTOWN OH 44505|USA|||  ||WILLIAM PINTARIC, JR|330-759-2023|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Market timing services|APPROVED|07/17/1991|0|2|9|0|0|0
Chicago Regional Office|   7477|801-68309|DOUGHERTY & COMPANY LLC|DOUGHERTY & COMPANY LLC|90 SOUTH SEVENTH STREET|SUITE 4300|MINNEAPOLIS MN 55402-4108|USA|||  ||PAMELA K. ZIERMANN|612-376-4021|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|09/24/2007|0|18|1|0|0|0
Chicago Regional Office|   7524|801-67742|FIRST KENTUCKY SECURITIES CORP|FIRST KENTUCKY SECURITIES CORPORATION|305 ANN STREET|SUITE 400|FRANKFORT KY 40601|USA|||  ||FREDERICK J. KRAMER|502.875.4611|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/03/2007|0|0|0|0|0|0
Chicago Regional Office|   7927|801-60444|NORTHERN TRUST SECURITIES, INC|NORTHERN TRUST SECURITIES, INC.|50 S. LASALLE||CHICAGO IL 60603-0001|USA|||  ||DEBRA MAIRS|312-444-5140|Corporation|Portfolio management for individuals and/or small businesses, Other|APPROVED|08/08/2001|0|3|0|0|0|0
Chicago Regional Office|   7995|801-69266|AUSDAL FINANCIAL PARTNERS, INC.|AUSDAL FINANCIAL PARTNERS, INC.|220 NORTH MAIN STREET|SUITE 400|DAVENPORT IA 52801|USA|||  ||ROBERT B AUSDAL JR|563-326-2064|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Market timing services|APPROVED|06/05/2008|0|0|0|0|0|0
Chicago Regional Office|   8158|801-7571|ROBERT W. BAIRD & CO. INCORPORATED|ROBERT W. BAIRD & CO. INCORPORATED|777 E. WISCONSIN AVE||MILWAUKEE WI 53202|USA|||  ||CHARLES M. WEBER|414-298-2474|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|07/14/1971|1|44|0|0|0|0
Chicago Regional Office|   8478|801-63564|THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.|THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.|9000 KEYSTONE CROSSING|SUITE 740|INDIANAPOLIS IN 46240|USA|||  ||LYNETTE HERD|317-581-4003|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|10/14/2004|0|5|0|0|0|0
Chicago Regional Office|   8485|801-62143|PWMCO, LLC|PWMCO, LLC|311 S. WACKER DRIVE|SUITE 6000|CHICAGO IL 60606|USA|||  ||TED HANS|312-922-0355|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/01/2003|0|0|0|0|0|0
Chicago Regional Office|  10046|801-39329|WHN INVESTOR SERVICES, INC.|WHN INVESTOR SERVICES, INC.|300 N. CORPORATE DR.|SUITE 215|BROOKFIELD WI 53045|USA|||  ||WILLIAM H. NIEWOEHNER|262/792-9001|Corporation|Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|07/26/1991|0|0|0|0|0|0
Chicago Regional Office|  10078|801-62113|WATERSTONE FINANCIAL GROUP, INC.|WATERSTONE FINANCIAL GROUP, INC.|500 PARK BLVD.|SUITE 800|ITASCA IL 60143|USA|||  ||JOSEPH LUKOWSKI|630-250-7000|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Market timing services, Other|APPROVED|06/20/2003|0|10|0|0|0|0
Chicago Regional Office|  10105|801-44573|OGILVIE SECURITY ADVISORS CORP|OGILVIE SECURITY ADVISORS CORPORATION|71 S. WACKER DRIVE ,SUITE 3025||CHICAGO IL 60606|USA|||  ||GREGG POWELL|312-335-5476|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|09/01/1993|0|3|0|0|0|0
Chicago Regional Office|  10416|801-16872|BORTHWICK ASSOCIATES, INC.|BORTHWICK ASSOCIATES, INC.|120 S LASALLE STREET #1440||CHICAGO IL 60603-3424|USA|||  ||THOMAS FLAIG|312-630-0180|Corporation|Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|03/01/1982|0|0|0|0|0|0
Chicago Regional Office|  11025|801-57434|WACHOVIA SECURITIES FINANCIAL NETWORK, LLC|WACHOVIA SECURITIES FINANCIAL NETWORK, LLC|ONE NORTH JEFFERSON AVENUE||ST. LOUIS MO 63103|USA|||  ||DAVID FISCHER-LODIKE|314-955-6987|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|04/03/2000|2|103|6|0|0|0
Chicago Regional Office|  11173|801-69260|NATIONWIDE SECURITIES, INC.|NATIONWIDE SECURITIES, LLC|5525 PARK CENTER CIRCLE||DUBLIN OH 43017|USA|||  ||ELAINE DUFFUS|302-453-3884|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED-120|07/09/2008|0|18|0|0|0|0
Chicago Regional Office|  13609|801-62277|BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC.|BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.|701 TAMA ST.,|BLDG B|MARION IA 52302|USA|||  ||RANDY WILCOX|319-447-5700|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/27/2003|0|11|6|0|0|1
Chicago Regional Office|  13941|801-60099|CUNA BROKERAGE SERVICES, INC.|CUNA BROKERAGE SERVICES, INC.|2000 HERITAGE WAY||WAVERLY IA 50677|USA|||  ||TIMOTHY S. HALEVAN|319-483-3241|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/23/2001|0|4|0|0|0|0
Chicago Regional Office|  13985|801-68432|GOOGINS & ANTON, INC.|GOOGINS & ANTON, INC.|6417 UNIVERSITY AVENUE||MIDDLETON WI 53562|USA|||  ||TRACEY ANTON|608 836-3229|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|11/06/2007|0|0|0|0|0|0
Chicago Regional Office|  14143|801-62788|SYCAMORE FINANCIAL GROUP|SYCAMORE FINANCIAL GROUP, INC.|2713 ROCKFORD LANE||KOKOMO IN 46904|USA|P.O. BOX 4058||KOKOMO IN 46904|USA|ANITA L. FAULKNER|765-455-1554|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/27/2004|0|3|0|0|0|0
Chicago Regional Office|  15296|801-45152|SECURIAN FINANCIAL SERVICES, INC.|SECURIAN FINANCIAL SERVICES, INC.|400 ROBERT STREET, NORTH||ST. PAUL MN 55101-2098|USA|||  ||SARAH S. MONKE|651-665-3544|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|11/17/1993|2|12|0|0|0|0
Chicago Regional Office|  15340|801-45573|PRIMEVEST FINANCIAL SERVICES, INC.|PRIMEVEST FINANCIAL SERVICES, INC.|400 FIRST ST SOUTH STE 300||ST CLOUD MN 56301-3600|USA|P.O. BOX 283||ST. CLOUD MN 56302|USA|JANE LAWLESS|800-245-0467|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|01/05/1994|8|18|1|0|0|0
Chicago Regional Office|  15764|801-61232|MTL EQUITY PRODUCTS, INC.|MTL EQUITY PRODUCTS, INC.|1200 JORIE BLVD.||OAK BROOK IL 60523|USA|||  ||LORI PAJEAU|800-323-7320|Corporation|Financial planning services, Selection of other advisers, Other|APPROVED|06/10/2002|0|0|0|0|0|0
Chicago Regional Office|  16443|801-56410|INVESTMENT CENTERS OF AMERICA, INC.|INVESTMENT CENTERS OF AMERICA, INC.|5555 GRANDE MARKET DRIVE||APPLETON WI 54913|USA|||  ||ALICE M HITTLE|866-275-4422|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Market timing services, Other|APPROVED|04/26/1999|0|9|0|0|0|0
Chicago Regional Office|  16517|801-64655|M&I FINANCIAL ADVISORS, INC.|M&I FINANCIAL ADVISORS, INC.|111 EAST KILBOURN AVENUE SUITE 200||MILWAUKEE WI 53202|USA|||  ||CHERYL A. DOWSETT|414-298-3448|Corporation|Financial planning services, Selection of other advisers|APPROVED|09/15/2005|0|1|1|0|0|0
Chicago Regional Office|  16741|801-56275|FINTEGRA FINANCIAL SOLUTIONS|FINTEGRA, LLC|6120 EARLE BROWN DRIVE|SUITE 550|MINNEAPOLIS MN 55430|USA|||  ||KEVIN J LARSON|763-585-0503|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/11/1999|1|3|0|0|0|0
Chicago Regional Office|  16986|801-58015|THE HUNTINGTON INVESTMENT COMPANY|THE HUNTINGTON INVESTMENT COMPANY|41 SOUTH HIGH STREET||COLUMBUS OH 43215|USA|||  ||THOMAS ROBERT PECK|614.480.3532|Corporation|Selection of other advisers|APPROVED|10/06/2000|0|12|1|0|0|0
Chicago Regional Office|  17073|801-62967|UMB FINANCIAL SERVICES, INC.|UMB FINANCIAL SERVICES, INC.|1010 GRAND BLVD., 2ND FL.||KANSAS CITY MO 64106|USA|||  ||JEFFREY MAXWELL|816-860-8790|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/09/2004|0|0|0|0|0|0
Chicago Regional Office|  17079|801-64897|COMERICA SECURITIES|COMERICA SECURITIES,INC.|201 W. FORT STREET||DETROIT MI 48226|USA|||  ||LISA A WALKER|313-222-7402|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|12/06/2005|0|7|1|0|0|0
Chicago Regional Office|  17140|801-66509|COMMERCE BROKERAGE SERVICES, INC|COMMERCE BROKERAGE SERVICES, INC.|8000 FORSYTH|SUITE 1200|ST. LOUIS MO 63105|USA|||  ||ROBERT M. CARR JR.|314-746-8588|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/18/2006|0|3|0|0|0|0
Chicago Regional Office|  17490|801-50015|NATCITY INVESTMENTS, INC.|NATCITY INVESTMENTS, INC.|1965 EAST SIXTH STREET|8TH FLOOR|CLEVELAND OH 44114|USA|||  ||SILVIO PAUL FABRIZI|216-222-2451|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|10/03/1995|0|13|0|0|0|0
Chicago Regional Office|  17643|801-29570|MACK INVESTMENT SECURITIES, INC.|MACK INVESTMENT SECURITIES, INC.|1939 WAUKEGAN RD|STE 300|GLENVIEW IL 60025|USA|||  ||MACK, STEPHEN W|847-657-6600|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Publication of periodicals or newsletters, Market timing services|APPROVED|05/28/1987|0|0|0|0|0|0
Chicago Regional Office|  17868|801-68122|U.S. BANCORP INVESTMENTS, INC.|U.S. BANCORP INVESTMENTS, INC.|60 LIVINGSTON AVENUE|EP-MN-WN3C|SAINT PAUL MN 55107|UNITED STATES|||  ||JOHN C. BJORK|612-303-4048|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/23/2007|0|12|2|0|0|0
Chicago Regional Office|  18313|801-28827|SUSSEX FINANCIAL GROUP, INC|SUSSEX FINANCIAL GROUP, INC.|155 N. PFINGSTEN ROAD|STE 370|DEERFIELD IL 60015|USA|||  ||KRISTIN DORGAN|847-498-5722|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/20/1987|0|0|2|0|0|0
Chicago Regional Office|  18322|801-34246|BECKER, BURKE ASSOCIATES, INC.|BECKER, BURKE ASSOCIATES, INC.|221 NORTH LASALLE STREET|SUITE 1000|CHICAGO IL 60601-1206|USA|||  ||POHL, HOWARD HERBERT|312-782-5665|Corporation|Pension consulting services, Selection of other advisers|APPROVED|04/14/1989|0|0|0|0|0|0
Chicago Regional Office|  18387|801-29618|THRIVENT INVESTMENT MANAGEMENT INC.|THRIVENT INVESTMENT MANAGEMENT INC.|625 FOURTH AVENUE SOUTH||MINNEAPOLIS MN 55415|USA|||  ||JENNIFER RECHLITZ RELIEN|612-844-8648|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|05/18/1987|0|6|0|0|0|0
Chicago Regional Office|  19258|801-29185|HARBOUR INVESTMENTS, INC.|HARBOUR INVESTMENTS, INC.|ONE ODANA COURT||MADISON WI 53719|USA|||  ||O'LEARY, RICHARD A.|(608) 274-7744 X3017|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|04/10/1987|1|1|0|0|0|0
Chicago Regional Office|  19616|801-37967|WACHOVIA SECURITIES, LLC|WACHOVIA SECURITIES, LLC|ONE NORTH JEFFERSON AVENUE||ST. LOUIS MO 63103|USA|||  ||DAVID FISCHER-LODIKE|314-955-6987|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|10/05/1990|159|391|12|0|0|0
Chicago Regional Office|  19775|801-30068|RT JONES CAPITAL EQUITIES INC|RT JONES CAPITAL EQUITIES INC|8151 CLAYTON RD|SUITE 200|ST LOUIS MO 63117|USA|||  ||JANE DAVIDSON|314-783-5000|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/24/1987|0|1|0|0|0|0
Chicago Regional Office|  19935|801-31247|CAPITAL MANAGEMENT CONSULTANTS, INC.|CAPITAL MANAGEMENT CONSULTANTS, INC.|3400 DUNDEE RD., STE 200||NORTHBROOK IL 60062|USA|||  ||MARC M. DAVIS|847-498-8899|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|01/04/1988|0|0|0|0|0|0
Chicago Regional Office|  20373|801-60584|LASALLE FINANCIAL SERVICES, INC.|LASALLE FINANCIAL SERVICES, INC.|135 SOUTH LASALLE STREET|SUITE 2111|CHICAGO IL 60603|USA|||  ||ANTHONY PECORA|312-992-7286|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|09/20/2001|0|18|0|0|0|0
Chicago Regional Office|  21313|801-60206|HART CAPITAL MANAGEMENT|ARBOR RESEARCH & TRADING, INC.|1000 HART ROAD|SUITE 210|BARRINGTON IL 60010|USA|||  ||RICHARD L. CHAMBERS|847-304-0450|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/20/2001|0|0|0|0|0|0
Chicago Regional Office|  21572|801-54006|MARQUETTE ASSOCIATES, INC.|MARQUETTE ASSOCIATES, INC.|180 NORTH LASALLE STREET|SUITE 3500|CHICAGO IL 60601|USA|||  ||MARY PETTIGREE|312-527-5500|Corporation|Pension consulting services, Selection of other advisers|APPROVED|03/25/1997|0|0|0|0|0|0
Chicago Regional Office|  21602|801-33882|MARCO CONSULTING GROUP, INC.|MARCO CONSULTING GROUP, INC.|550 WEST WASHINGTON|9TH FLOOR|CHICAGO IL 60661|USA|||  ||KINCZEWSKI, GREG A.|312/612-8452|Corporation|Pension consulting services, Selection of other advisers, Other|APPROVED|02/13/1989|0|0|0|0|0|0
Chicago Regional Office|  21786|801-67749|FIRST MIDWEST SECURITIES, INC.|FIRST MIDWEST SECURITIES, INC.|207 W.JEFFERSON STREET|SUITE 102|BLOOMINGTON IL 61701|USA|||  ||TRISHA COX|309.820.7444|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|05/10/2007|1|2|0|0|0|0
Chicago Regional Office|  21923|801-31746|WEDGEWOOD PARTNERS, INC.|WEDGEWOOD PARTNERS, INC.|9909 CLAYTON RD, SUITE 103||ST LOUIS MO 63124|USA|||  ||GUERRERIO, ANTHONY LAWRENCE|314-567-6407|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|04/01/1988|0|0|0|0|0|0
Chicago Regional Office|  22011|801-53844|JAG ADVISORS|J.A. GLYNN & CO.|9841 CLAYTON ROAD||ST. LOUIS MO 63124-1603|USA|||  ||CHARLES E. DODSON|314-997-1277|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/11/1997|0|2|0|0|0|0
Chicago Regional Office|  22449|801-62329|CUTTER & COMPANY, INC.|CUTTER AND COMPANY BROKERAGE, INC.|15415 CLAYTON ROAD||BALLWIN MO 63011|USA|||  ||DEBORAH CASTIGLIONI|636-537-8770|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|09/08/2003|0|0|0|0|0|0
Chicago Regional Office|  22589|801-62434|CRI SECURITIES, LLC|CRI SECURITIES, LLC|400 ROBERT STREET NORTH||ST.PAUL MN 55101|USA|||  ||SARAH MONKE|651-665-3544|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|11/07/2003|0|11|0|0|0|0
Chicago Regional Office|  22590|801-32530|GREGORY ZENT & SWANSON, INC.|GREGORY ZENT AND SWANSON. INC.|4011 W. JEFFERSON BLVD STE 225||FORT WAYNE IN 46804|USA|||  ||TAMMY J. TRAMMEL|260-432-3763|Corporation|Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|07/28/1988|0|5|0|0|0|0
Chicago Regional Office|  23714|801-39223|FREEDOM INVESTORS CORP.|FREEDOM INVESTORS CORP.|333 BISHOPS WAY, STE 122||BROOKFIELD WI 53005|USA|||  ||AMY SIESENNOP|262-436-8730|Corporation|Financial planning services, Portfolio management for investment companies|APPROVED|07/02/1991|1|3|0|0|0|0
Chicago Regional Office|  25388|801-17285|HOBERT & SVOBODA, INC.|HOBERT & SVOBODA, INC.|350 BISHOPS WAY||BROOKFIELD WI 53005|USA|||  ||BJELLAND ROBERT|262-782-8900|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|06/14/1982|0|0|0|0|0|0
Chicago Regional Office|  25545|801-67034|FEIC FINANCIAL INC.|FEIC FINANCIAL INC.|147 FEDERAL PLAZA WEST||YOUNGSTOWN OH 44503|USA|||  ||DANIEL J. ROSSI|330-746-0203|Other (specify)|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|08/28/2006|0|0|0|0|0|0
Chicago Regional Office|  25574|801-36407|CHASE INVESTMENT SERVICES CORP.|CHASE INVESTMENT SERVICES CORP.|300 SOUTH RIVERSIDE PLAZA|11TH FLOOR|CHICAGO IL 60606-2003|USA|1 CHASE MANHATTAN PLAZA|FLOOR 26|NEW YORK NY 10005-1401|USA|MARYANN LAMENDOLA|212-552-6991|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|04/20/1990|0|152|3|0|0|0
Chicago Regional Office|  26104|801-67045|THE GARBACZ GROUP INC.|THE GARBACZ GROUP INC.|655 CRAIG ROAD|SUITE 104|ST. LOUIS MO 63141|USA|||  ||JOSEPH GARBACZ|314-991-1303|Corporation|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|07/28/2006|0|0|0|0|0|0
Chicago Regional Office|  27108|801-37383|BUTTONWOOD PARTNERS, INC.|BUTTONWOOD PARTNERS, INC.|701 DEMING WAY|SUITE 100|MADISON WI 53717|USA|||  ||TAMI STRANG|608/827-6400|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|09/06/1990|0|3|0|0|0|0
Chicago Regional Office|  27314|801-56365|MANAGERS INVESTMENT GROUP LLC|MANAGERS INVESTMENT GROUP LLC|333 W. WACKER DRIVE|SUITE 1200|CHICAGO IL 60606|USA|||  ||DAVID MICHAEL COLE|312-424-1202|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/30/1999|0|3|0|0|0|0
Chicago Regional Office|  27913|801-38116|L.M. KOHN & COMPANY|L.M. KOHN & COMPANY|9810 MONTGOMERY ROAD||CINCINNATI OH 45242-6414|USA|||  ||LARRY M. KOHN|513-792-0301 X204|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/18/1991|0|2|0|0|0|0
Chicago Regional Office|  28218|801-43561|CENTURY SECURITIES ASSOCIATES INC|CENTURY SECURITIES ASSOCIATES, INC.|501 N BROADWAY||ST LOUIS MO 63102|USA|||  ||MAUREEN FISTER|314-342-2110|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|03/19/1993|0|2|1|0|0|0
Chicago Regional Office|  28289|801-68763|WORLD TREND FINANCIAL PLANNING SERVICES, LTD.|WORLD TREND FINANCIAL PLANNING SERVICES, LTD.|210 2ND STREET SE SUITE 400||CEDAR RAPIDS IA 52401|USA|||  ||SANDRA KUDA|319-364-3041|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/14/2008|0|2|0|0|0|0
Chicago Regional Office|  29087|801-56328|WORLD EQUITY GROUP, INC.|WORLD EQUITY GROUP, INC.|1650 N. ARLINGTON HEIGHTS RD.|SUITE 100|ARLINGTON HEIGHTS IL 60004|USA|||  ||KRISTY HOPKINS|847-342-1700|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/26/1999|0|3|0|0|0|0
Chicago Regional Office|  29433|801-19074|HEARTLAND ADVISORS, INC.|HEARTLAND ADVISORS, INC.|789 N WATER STREET, SUITE 500||MILWAUKEE WI 53202|USA|||  ||NICOLE BEST|414-977-8748|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/23/1983|0|3|2|0|0|0
Chicago Regional Office|  29449|801-55072|FELDMAN, INGARDONA & CO|FELDMAN, INGARDONA & CO.|2001 BUTTERFIELD RD|STE 170|DOWNERS GROVE IL 60515|USA|||  ||WILLIAM M. FELDMAN|630-663-1800|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|12/01/1997|0|0|0|0|0|0
Chicago Regional Office|  30465|801-41221|BURNLEY ASSOCIATES, INC.|BURNLEY ASSOCIATES, INC.|421 BAYBERRY LANE||NAPERVILLE IL 60563-2823|USA|||  ||RICHARD L. BOGGS|(630) 355-7699|Corporation|Pension consulting services|APPROVED|04/07/1992|0|0|0|0|0|0
Chicago Regional Office|  31256|801-67475|SAFEGUARD SECURITIES, INC.|SAFEGUARD SECURITIES, INC.|2000 AUBURN DRIVE|SUITE 300|CLEVELAND OH 44122|USA|||  ||DAVID KUHR|216-825-4000|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|01/19/2007|0|0|0|0|0|0
Chicago Regional Office|  31299|801-69324|BANCNORTH INVESTMENT GROUP, INC.|BANCNORTH INVESTMENT GROUP, INC.|400 FIRST  ST. SOUTH|SUITE 300|ST. CLOUD MN 56301|USA|||  ||JANE LAWLESS|320-656-4051|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|07/01/2008|0|21|1|0|0|0
Chicago Regional Office|  33065|801-48092|ACCESS FINANCIAL GROUP, INC.|ACCESS FINANCIAL GROUP, INC.|118 N. CLINTON STREET|SUITE 450|CHICAGO IL 60661|USA|||  ||CHRISTOPHER CHIGAS|312-655-8233|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/30/1994|0|9|0|0|0|0
Chicago Regional Office|  35545|801-67983|ADVANCED EQUITIES, INC.|ADVANCED EQUITIES, INC.|311 SOUTH WACKER|SUITE 1650|CHICAGO IL 60606|USA|||  ||KEITH BECK|(312) 377-4984|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/20/2007|0|4|2|0|0|0
Chicago Regional Office|  35919|801-16127|CHARTER CAPITAL MANAGEMENT, INC|CHARTER CAPITAL MANAGEMENT, INC.|125 S. 84TH STREET|SUITE 140|MILWAUKEE WI 53214|USA|||  ||JOEL T. HASSLER|414-257-3700|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|05/01/1981|0|0|0|0|0|0
Chicago Regional Office|  36405|801-64177|CAPITAL SECURITIES OF AMERICA, INC.|CAPITAL SECURITIES OF AMERICA, INC.|150 GRAND TRUNK AVE||HARTVILLE OH 44632|USA|||  ||TRACY WISWALL|901-251-1330|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/28/2005|0|7|0|0|0|0
Chicago Regional Office|  36451|801-68927|GREAT AMERICAN ADVISORS, INC.|GREAT AMERICAN ADVISORS, INC.|525 VINE STREET|21ST FLOOR|CINCINNATI OH 45202|USA|P.O. BOX 357||CINCINNATI OH 45201-0357|USA|JAMES L. HENDERSON|513-412-1391|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/01/2008|0|1|0|0|0|0
Chicago Regional Office|  36509|801-57178|HEWITT FINANCIAL SERVICES LLC|HEWITT FINANCIAL SERVICES LLC|100 HALF DAY ROAD||LINCOLNSHIRE IL 60069|USA|||  ||PETER E. ROSS|847-295-5000|Limited Liability Company|Pension consulting services, Selection of other advisers|APPROVED|02/18/2000|0|0|0|0|0|0
Chicago Regional Office|  36527|801-60035|LEONARD AND COMPANY|LEONARD FINANCIAL CORPORATION|1450 W. LONG LAKE ROAD|SUITE 150|TROY MI 48098|USA|||  ||JEFFREY PLOPA|248-952-5858|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|03/08/2001|0|11|0|0|0|0
Chicago Regional Office|  38357|801-57242|LARSONALLEN FINANCIAL|LARSONALLEN FINANCIAL, LLC|220 SOUTH 6TH STREET, STE 300||MINNEAPOLIS MN 55402-4505|USA|||  ||HALLADA, ANTONY REED|612-376-4529|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|02/23/2000|0|1|0|0|0|0
Chicago Regional Office|  38535|801-64722|MOLONEY SECURITIES CO., INC.|MOLONEY SECURITIES CO., INC.|13537 BARRETT PARKWAY DRIVE|SUITE 300|MANCHESTER MO 63021|USA|||  ||MICHAEL CAMPBELL|314-909-0600|Corporation|Portfolio management for individuals and/or small businesses, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|10/18/2005|0|3|0|0|0|0
Chicago Regional Office|  39437|801-65995|SORSBY FINANCIAL CORP|SORSBY FINANCIAL CORP.|676 N MICHIGAN AVE STE 3140||CHICAGO IL 60611-2848|USA|||  ||LINDA BURNEY|312-751-0469|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|02/01/2006|0|3|0|0|0|0
Chicago Regional Office|  39805|801-54810|CLAYMORE SECURITIES, INC.|CLAYMORE SECURITIES, INC.|2455 CORPORATE WEST DRIVE||LISLE IL 60532|USA|||  ||ANNE STEELE KOCHEVAR|630-505-3743|Corporation|Portfolio management for investment companies, Other|APPROVED|08/26/1997|0|0|0|0|0|0
Chicago Regional Office|  39806|801-62940|EQUITAS AMERICA, LLC|EQUITAS AMERICA, LLC|38505 COUNTRY CLUB DRIVE|SUITE 110|FARMINGTON HILLS MI 48331|USA|||  ||KIMBERLY LIDDELL|248-848-7500|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|04/19/2004|0|1|0|0|0|0
Chicago Regional Office|  40258|801-68610|NORTHLAND ASSET MANAGEMENT|NORTHLAND SECURITIES, INC.|45 SOUTH 7TH STREET|SUITE 2500|MINNEAPOLIS MN 55402|USA|||  ||JANIE PEDERSEN|612-851-5924|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|01/02/2008|0|2|0|0|0|0
Chicago Regional Office|  42060|801-61392|OBERWEIS SECURITIES, INC.|OBERWEIS SECURITIES, INC.|3333 WARRENVILLE ROAD|SUITE 500|LISLE IL 60532|USA|||  ||PATRICK B. JOYCE|630-577-2380|Corporation|Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|08/16/2002|0|1|0|0|0|0
Chicago Regional Office|  42727|801-56636|DISCIPLINED FINANCIAL SERVICES, INC|DISCIPLINED FINANCIAL SERVICES, INC.|19575 JANACEK COURT|SUITE 105|BROOKFIELD WI 53045|USA|||  ||EUGENE P. SZAJ|262/784-6650|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Other|APPROVED|06/23/1999|0|0|0|0|0|0
Chicago Regional Office|  42847|801-64516|POLAR INVESTMENT COUNSEL, INC.|POLAR INVESTMENT COUNSEL, INC.|19547 210TH AVE NE||THIEF RIVER FALLS MN 56701|USA|||  ||MIKE JORDAN|218-681-7344|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Market timing services|APPROVED|07/28/2005|0|0|0|0|0|0
Chicago Regional Office|  44181|801-57407|NATIONS FINANCIAL GROUP, INC.|NATIONS FINANCIAL GROUP, INC.|4000 RIVER RIDGE DRIVE NE||CEDAR RAPIDS IA 52402-7534|USA|||  ||R. SCOTT BENNETT|319 393-9541|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/03/2000|0|4|0|0|0|0
Chicago Regional Office|  44225|801-66693|WOLF FINANCIAL MANAGEMENT, LLC|WOLF FINANCIAL MANAGEMENT, LLC|2100 CLEARWATER DRIVE||OAK BROOK IL 60523-1927|USA|||  ||DARRELL M. PEPPLE|(630) 545-4747|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|05/30/2006|0|0|0|0|0|0
Chicago Regional Office|  44402|801-55588|GOELZER INVESTMENT MANAGEMENT|GOELZER INVESTMENT MANAGEMENT, INC.|111 MONUMENT CIRCLE, SUITE 500||INDIANAPOLIS IN 46204-2990|USA|||  ||GREGORY W. GOELZER|317-264-2600|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/30/1998|0|1|0|0|0|0
Chicago Regional Office|  45309|801-55574|CLEARY GULL INC.|CLEARY GULL INC.|100 EAST WISCONSIN AVE||MILWAUKEE WI 53202|USA|||  ||WILLIAM H. BRAUN|414-291-4524|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|05/01/1998|0|28|3|0|0|0
Chicago Regional Office|  47487|801-45055|LANDAAS & COMPANY|LANDAAS & COMPANY|411 E WISCONSIN AVE||MILWAUKEE WI 53202|USA|||  ||JEAN C. BALEY|414/223-1099|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|10/25/1993|0|0|0|0|0|0
Chicago Regional Office|  47781|801-56672|ACTIVA ASSET MANAGEMENT, LLC|ACTIVA ASSET MANAGEMENT, LLC|2905 LUCERNE SE|SUITE 200|GRAND RAPIDS MI 49546|USA|||  ||ALLAN D. ENGEL|616-588-5384|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/13/1999|1|0|0|0|0|0
Chicago Regional Office| 103717|801-58101|NRP FINANCIAL, INC.|NRP FINANCIAL, INC.|209 N. MAIN|P.O. BOX 998|BRYAN OH 43506|USA|||  ||JEFFREY V. GERY|419-636-4677|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|11/09/2000|0|1|0|0|0|0
Chicago Regional Office| 103857|801-68276|USA FINANCIAL SECURITIES CORPORATION|USA FINANCIAL SECURITIES CORPORATION|6020 EAST FULTON STREET||ADA MI 49301|USA|||  ||ANDREA MCGREW|1-888-407-8198, EXT 410|Corporation|Financial planning services|APPROVED|08/24/2007|0|1|0|0|0|0
Chicago Regional Office| 104541|801-27598|GRATRY & CO|GRATRY & CO|20600 CHAGRIN BLVD|SUITE 320|SHAKER HTS. OH 44122-5334|USA|||  ||GRATRY, JEROME|216-283-8423|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/15/1986|0|0|0|0|0|0
Chicago Regional Office| 104562|801-55558|FILBRANDT INVESTMENT ADVISERS INCORPORATED|FILBRANDT INVESTMENT ADVISERS INCORPORATED|8401 GREENWAY BLVD||MIDDLETON WI 53562|USA|||  ||FILBRANDT, PATRICIA J|608/836-3600|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/13/1998|0|0|0|0|0|0
Chicago Regional Office| 104579|801-56272|AMERICAN INVESTMENT ADVISORS INC|AMERICAN INVESTMENT ADVISORS INC|3330 UNIVERSITY AVE STE 120||MADISON WI 53705-2167|USA|||  ||BULLOCK, WILLIAM A|608-238-3500|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|02/17/1999|0|0|0|0|0|0
Chicago Regional Office| 104593|801-53180|DELOITTE INVESTMENT ADVISORS LLC|DELOITTE INVESTMENT ADVISORS LLC|250 EAST FIFTH STREET, SUITE 1900||CINCINNATI OH 45202|USA|||  ||JOHN L MCDANIEL|513-784-7104|Limited Liability Company|Financial planning services, Pension consulting services|APPROVED|11/15/1996|0|3|3|0|0|0
Chicago Regional Office| 104595|801-51052|COLUMBUS INVESTMENT ADVISORY INC.|COLUMBUS INVESTMENT ADVISORY INC.|615 COPELAND MILL ROAD,SUITE 1D||WESTERVILLE OH 43081-8904|USA|||  ||SCHLATER, JOHN L.|614-882-1502|Corporation|Portfolio management for individuals and/or small businesses, Other|APPROVED|02/09/1996|0|0|0|0|0|0
Chicago Regional Office| 104604|801-16639|CHRISTIAN BROTHERS INVESTMENT SERVICES, INC.|CHRISTIAN BROTHERS INVESTMENT SERVICES, INC.|1200 JORIE BLVD|SUITE 210|OAK BROOK IL 60523-2262|USA|||  ||DAVID L. SKELDING|630-571-2182|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|12/22/1981|0|0|0|0|0|0
Chicago Regional Office| 104624|801-16175|SHEA JOHN A INVESTMENT ADVISOR|SHEA JOHN A INVESTMENT ADVISOR|53 W JACKSON BLVD||CHICAGO IL 60604|USA|||  ||SHEA, JOHN A|312-663-9320|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/06/1981|0|0|0|0|0|0
Chicago Regional Office| 104626|801-14147|NUVEEN ASSET MANAGEMENT|NUVEEN ASSET MANAGEMENT|333 WEST WACKER DRIVE||CHICAGO IL 60606|USA|||  ||MARY E. KEEFE|312-917-7868|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|11/02/1978|0|0|0|0|0|0
Chicago Regional Office| 104631|801-51126|FORETHOUGHT INVESTMENT MANAGEMENT INC|FORETHOUGHT INVESTMENT MANAGEMENT INC|ONE FORETHOUGHT CENTER||BATESVILE IN 47006|USA|||  ||DIXON, WALTER T.|812.933-6843|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/13/1996|0|0|0|0|0|0
Chicago Regional Office| 104633|801-36433|WHITNELL & CO|WHITNELL & CO|701 HARGER ROAD|SUITE 190|OAK BROOK IL 60523-1489|USA|||  ||DOYLE, MARK J.|630-575-2400|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/27/1990|0|0|0|0|0|0
Chicago Regional Office| 104634|801-10809|KIRR, MARBACH & COMPANY, LLC|KIRR, MARBACH & COMPANY, LLC|621 WASHINGTON STREET||COLUMBUS IN 47201|USA|P.O. BOX 1729||COLUMBUS IN 47202-1729|USA|MICKEY KIM|812-376-9444|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/02/1975|0|0|0|0|0|0
Chicago Regional Office| 104635|801-9895|DEAN INVESTMENTS|DEAN INVESTMENT ASSOCIATES, LLC|2200 KETTERING TOWER||DAYTON OH 45423|USA|||  ||DEBRA E. RINDLER|800-327-3656|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|01/01/1975|0|5|0|0|0|0
Chicago Regional Office| 104640|801-30218|KEYSTONE FINANCIAL PLANNING INC|KEYSTONE FINANCIAL PLANNING INC|7261 ENGLE ROAD #308||MIDDLEBURG HEIGHTS OH 44130|USA|||  ||LINDA A.BOROWIAK|440-234-6323|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|08/14/1987|0|0|0|0|0|0
Chicago Regional Office| 104650|801-11184|FIFTH THIRD ASSET MANAGEMENT, INC.|FIFTH THIRD ASSET MANAGEMENT, INC.|38 FOUNTAIN SQUARE PLAZA|MD 1090BD|CINCINNATI OH 45263|USA|||  ||JAMES A. MAUTINO|513-534-7452|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|11/28/1975|0|0|0|0|0|0
Chicago Regional Office| 104655|801-19434|JLB & ASSOCIATES INC|JLB & ASSOCIATES INC|44670 ANN ARBOR RD, STE 190||PLYMOUTH MI 48170|USA|||  ||BASHAW, JAMES EDWARD|734/454-9191|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies|APPROVED|07/27/1983|0|0|0|0|0|0
Chicago Regional Office| 104662|801-31572|DILLON & ASSOCIATES INC|DILLON & ASSOCIATES INC|2585 SPRING ARBOR ROAD||JACKSON MI 49203|USA|P.O. BOX 1347||JACKSON MI 49204|USA|ERIC GRASSE|517-796-7090|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/04/1988|0|0|0|0|0|0
Chicago Regional Office| 104666|801-31356|YOLLES-SAMRAH WEALTH MANAGEMENT, LLC|YOLLES-SAMRAH WEALTH MANAGEMENT, LLC|33 BLOOMFIELD HILLS PARKWAY|SUITE 200|BLOOMFIELD HILLS MI 48304|USA|||  ||ATKINSON, TIM|248-502-1212|Limited Liability Company|Other, Portfolio management for individuals and/or small businesses|APPROVED|01/28/1988|0|0|0|0|0|0
Chicago Regional Office| 104681|801-34183|CORTLAND ASSOCIATES INC|CORTLAND ASSOCIATES INC|8000 MARYLAND AVENUE, SUITE 730||ST. LOUIS MO 63105|USA|||  ||PODLESNY, THOMAS RAYMOND|314-726-6164|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/20/1989|0|0|0|0|0|0
Chicago Regional Office| 104683|801-3475|NORRIS PERNE & FRENCH LLP|NORRIS PERNE & FRENCH LLP|40 PEARL ST., NW, SUITE 300||GRAND RAPIDS MI 49503-3026|USA|||  ||COVELL, DEANNA|616-459-3421|Limited Liability Partnership|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters, Other|APPROVED|01/30/1984|0|0|0|0|0|0
Chicago Regional Office| 104689|801-28037|BUSH O'DONNELL INVESTMENT ADVISORS, INC|BUSH O'DONNELL INVESTMENT ADVISORS, INC|101 S HANLEY RD, STE 1260||ST LOUIS MO 63105|USA|||  ||REED, MARK J|314-727-4555|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/29/1986|0|0|0|0|0|0
Chicago Regional Office| 104693|801-32773|SCHWARTZ INVESTMENT COUNSEL INC|SCHWARTZ INVESTMENT COUNSEL INC|3707 W MAPLE RD, SUITE 100||BLOOMFIELD HILLS MI 48301|USA|||  ||RENAUD, BECKY S.|2486448500|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/29/1988|0|0|0|0|0|0
Chicago Regional Office| 104701|801-16815|P. J. SCHMIDT INVESTMENT MANAGEMENT, INC|P. J. SCHMIDT INVESTMENT MANAGEMENT, INC|W62 N570 WASHINGTON AVENUE||CEDARBURG WI 53012|USA|POB 148||CEDARBURG WI 53012|USA|SCHMIDT, PHILLIP J|262-377-0484|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|01/20/1982|0|0|0|0|0|0
Chicago Regional Office| 104705|801-60083|COMMERCE INVESTMENT ADVISORS, INC.|COMMERCE INVESTMENT ADVISORS, INC.|922 WALNUT STREET, 4TH FL.||KANSAS CITY MO 64106|USA|||  ||ANGELA MARIE DEW|(816) 234-2630|Corporation|Portfolio management for investment companies|APPROVED|04/03/2001|0|1|0|0|0|0
Chicago Regional Office| 104708|801-34937|CLUNE & ASSOCIATES|CLUNE & ASSOCIATES|444 N MICHIGAN AVENUE STE 3450||CHICAGO IL 60611|USA|||  ||DOMINICK J. VETRANO|312-644-5040|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|08/04/1989|0|0|0|0|0|0
Chicago Regional Office| 104724|801-5445|INVESTORS MANAGEMENT SERVICES INC|INVESTORS MANAGEMENT SERVICES INC|21012 MACK AVE.||GROSSE POINTE MI 48236|USA|||  ||WIGGINS, KIMBERLY|248-642-1020|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/05/1969|0|0|0|0|0|0
Chicago Regional Office| 104727|801-34723|MONETA GROUP INVESTMENT ADVISORS, LLC|MONETA GROUP INVESTMENT ADVISORS, LLC|100 SOUTH BRENTWOOD, SUITE 500||CLAYTON MO 63105|USA|||  ||SHEEHAN, JOSEPH A.|314-726-2300|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/30/1989|0|1|0|0|0|0
Chicago Regional Office| 104735|801-10193|BRUCE & CO INC|BRUCE & CO INC|20 N. WACKER  DRIVE STE 2414||CHICAGO IL 60606|USA|||  ||BRUCE, ROBERT JEFFREY|312-236-9160|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/18/1974|0|0|0|0|0|0
Chicago Regional Office| 104751|801-34818|ZAZOVE ASSOCIATES LLC|ZAZOVE ASSOCIATES LLC|1033 SKOKIE BLVD., SUITE 310||NORTHBROOK IL 60062|USA|||  ||KLEIMAN, STEVEN MICHAEL|(847)239-7100|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/18/1989|0|0|0|0|0|0
Chicago Regional Office| 104753|801-4158|FIDUCIARY COUNSELLING INC|FIDUCIARY COUNSELLING INC|2000 WELLS FARGO PLACE|30 EAST 7TH STREET|ST PAUL MN 55101-4930|USA|||  ||SUSANNE STEWART SMITH|651-215-4436|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|12/07/1966|0|0|0|0|0|0
Chicago Regional Office| 104754|801-9529|SIGMA INVESTMENT COUNSELORS|SIGMA INVESTMENT COUNSELORS, INC.|26261 EVERGREEN STE 455||SOUTHFIELD MI 48076|USA|||  ||KOTLARZ, CHERYL A.|248.223.0122|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/10/1973|0|3|0|0|0|0
Chicago Regional Office| 104764|801-18060|COZAD ASSET MANAGEMENT INC|COZAD ASSET MANAGEMENT INC|2501 GALEN DRIVE||CHAMPAIGN IL 61821|USA|P. O. BOX 3669||CHAMPAIGN IL 61826-3669|USA|CRIS HEINRICH|217.356-8363|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|12/07/1982|0|0|0|0|0|0
Chicago Regional Office| 104771|801-20351|ROMAN BUTLER FULLERTON & CO|ROMAN BUTLER FULLERTON & CO|11500 OLIVE ST STE 106||ST LOUIS MO 63141|USA|||  ||PAUL T. FULLERTON|314-997-1652|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/01/1984|0|0|0|0|0|0
Chicago Regional Office| 104819|801-13754|ARNOLD INVESTMENT COUNSEL INC|ARNOLD INVESTMENT COUNSEL INC|700 N WATER ST||MILWAUKEE WI 53202|USA|||  ||LILLI GUST|414/271-2726|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Publication of periodicals or newsletters|APPROVED|04/17/1978|0|0|0|0|0|0
Chicago Regional Office| 104828|801-27267|PHOENIX ASSET MANAGEMENT INC|PHOENIX ASSET MANAGEMENT INC|1750 S BRENTWOOD BLVD STE 853||ST. LOUIS MO 63144|USA|||  ||MAININI, ROBERT W|314-961-0014|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/20/1986|0|0|0|0|0|0
Chicago Regional Office| 104833|801-29112|MARQUETTE ASSET MANAGEMENT|MARQUETTE ASSET MANAGEMENT, INC.|60 SOUTH SIXTH STREET STE 3700||MINNEAPOLIS MN 55402|USA|||  ||GULLIKSON, JEAN K.|612-661-3783|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/06/1987|0|0|0|0|0|0
Chicago Regional Office| 104838|801-22367|WALTER & KEENAN FINANICAL CONSULTING CO|WALTER & KEENAN FINANCIAL CONSULTING CO|423 SYCAMORE ST STE 101||NILES MI 49120|USA|||  ||KEENAN JAMES F|269-684-3248|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|10/19/1984|0|0|0|0|0|0
Chicago Regional Office| 104847|801-18210|JUNDT ASSOCIATES INC|JUNDT ASSOCIATES INC|301 CARLSON PARKWAY|SUITE 120|MINNETONKA MN 55305|USA|||  ||GERALD MICHAEL FITTERER|952-541-0677|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Other|APPROVED|12/30/1982|0|0|0|0|0|0
Chicago Regional Office| 104867|801-29203|ARCADIA INVESTMENT MANAGEMENT CORP|ARCADIA INVESTMENT MANAGEMENT CORP|259 EAST MICHIGAN AVE, STE 308||KALAMAZOO MI 49007|USA|||  ||MARTIN, DORSEY|269/349-0800|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/20/1987|0|0|0|0|0|0
Chicago Regional Office| 104868|801-28213|RANDOLPH CO INC|RANDOLPH CO INC|8255 SPOOKY HOLLOW RD||CINCINNATI OH 45242|USA|||  ||RANDOLPH CARTER F|[513]891-7144|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/08/1986|0|0|0|0|0|0
Chicago Regional Office| 104873|801-17936|STRATEGIC ASSET MANAGEMNET, INC.|STRATEGIC ASSET MANAGEMENT, INC.|3518 RIVERSIDE DRIVE SUITE 106||COLUMBUS OH 43221|USA|||  ||GEORGE JULIE A|614-451-0200|Corporation|Portfolio management for individuals and/or small businesses, Market timing services|APPROVED|11/19/1982|0|0|0|0|0|0
Chicago Regional Office| 104875|801-36104|EXCHANGE CAPITAL MANAGEMENT INC|EXCHANGE CAPITAL MANAGEMENT INC|303 DETROIT STREET SUITE 203||ANN ARBOR MI 48104|USA|||  ||REID, MICHAEL R|(734)761-6500|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/21/1990|0|0|0|0|0|0
Chicago Regional Office| 104926|801-50488|MODERN PORTFOLIO MANAGEMNT INC|MODERN PORTFOLIO MANAGEMENT INC|7429 INTERNATIONAL DRIVE||HOLLAND OH 43528|USA|||  ||JENNIFER ROGERS|(419)861-1400|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/17/1995|0|0|0|0|0|0
Chicago Regional Office| 104936|801-32202|STEWARD CAPITAL MANAGEMENT|STEWARD CAPITAL MANAGEMENT, INC.|355 S. OLD WOODWARD AVE, STE 200||BIRMINGHAM MI 48009|USA|||  ||SARAFA, HAITHEM K|248-647-5990|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|06/30/1988|0|0|0|0|0|0
Chicago Regional Office| 104941|801-22150|BRODE MANAGEMENT GROUP LTD|BRODE MANAGEMENT GROUP LTD|49 ESTATE DR||GLENCOE IL 60022-1205|USA|||  ||BRODE, CHRISTINE BELINDA|847-242-0494|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|08/16/1984|0|0|0|0|0|0
Chicago Regional Office| 104946|801-34376|CINCINNATI ASSET MANAGEMENT INC|CINCINNATI ASSET MANAGEMENT INC|4350 GLENDALE MILFORD RD, STE 160||CINCINNATI OH 45242-3700|USA|||  ||MENCER, CHARLES DAVID|513-554-8500|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/05/1989|0|0|0|0|0|0
Chicago Regional Office| 104964|801-25156|DEERFIELD FINANCIAL ADVISORS, INC.|DEERFIELD FINANCIAL ADVISORS, INC.|8440 WOODFIELD CROSSING|SUITE 360|INDIANAPOLIS IN 46240|USA|||  ||SUSAN M. STEEL|317-469-2455|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/05/1985|0|0|0|0|0|0
Chicago Regional Office| 104975|801-14843|NORTHERN CAPITAL MANAGEMENT LLC|NORTHERN CAPITAL MANAGEMENT LLC|8010 EXCELSIOR DRIVE|SUITE 300|MADISON WI 53717|USA|||  ||OPLINGER, JILL K.|(608) 831-8115|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/20/1979|0|0|0|0|0|0
Chicago Regional Office| 104976|801-21695|WCMI|WCM, INC.|100 NORTH SIXTH STREET|SUITE 620B|MINNEAPOLIS MN 55403|USA|||  ||HANSON, ROSE MARIE|612-341-2218|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|07/13/1984|0|0|0|0|0|0
Chicago Regional Office| 104984|801-28820|BARD ASSOCIATES INC|BARD ASSOCIATES INC|135 S LASALLE ST STE 3700||CHICAGO IL 60603|USA|||  ||JOHNSON,TIMOTHY BARD|312-782-9600|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|02/06/1987|0|0|0|0|0|0
Chicago Regional Office| 104987|801-27280|LEAVITT CAPITAL MANAGEMENT INC|LEAVITT FINANCIAL CONSULTANTS INC|3000 DUNDEE RD STE 101||NORTHBROOK IL 60062|USA|||  ||PIECUCH, DONNA A|847-205-1300|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|07/03/1986|0|0|0|0|0|0
Chicago Regional Office| 104994|801-17827|KEELEY ASSET MANAGEMENT CORP|KEELEY ASSET MANAGEMENT CORP|401 S LASALLE ST., STE 1201||CHICAGO IL 60605|USA|||  ||KURINSKY, ROBERT|312-786-5000|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/14/1982|0|3|0|0|0|0
Chicago Regional Office| 104995|801-36665|ATWOOD & PALMER, INC.|ATWOOD & PALMER, INC.|4520 MADISON AVENUE|SUITE 200|KANSAS CITY MO 64111-3541|USA|||  ||BURCH, TERESA|816-931-2266|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/29/1990|0|0|0|0|0|0
Chicago Regional Office| 104998|801-31877|HUNTLEIGH BYRNE INVESTMENT ADVISORS INC|HUNTLEIGH BYRNE INVESTMENT ADVISORS INC|7800 FORSYTH BLVD.||ST LOUIS MO 63105|USA|||  ||BYRNE, ROBERT E|314-236-2235|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/21/1988|0|1|0|0|0|0
Chicago Regional Office| 105005|801-15837|BARRINGTON CAPITAL MANAGEMENT INC|BARRINGTON CAPITAL MANAGEMENT INC|470 MILLER ROAD||BARRINGTON IL 60010|USA|||  ||KIMBERLY PAGANO|847-304-9160|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Market timing services|APPROVED|02/12/1981|0|1|0|0|0|0
Chicago Regional Office| 105010|801-35808|CAPITAL MANAGEMENT ASSOCIATES INC|CAPITAL MANAGEMENT ASSOCIATES INC|7900 XERXES AVE. S, STE 500||MINNEAPOLIS MN 55431-1120|USA|||  ||MELISSA GLENNIE|952-746-1110|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|01/02/1990|0|0|0|0|0|0
Chicago Regional Office| 105028|801-22888|PERKINS CAPITAL MANAGEMENT INC|PERKINS CAPITAL MANAGEMENT INC|730 EAST LAKE STREET||WAYZATA MN 55391-1769|USA|||  ||SCHMIDT, LISA R|952-473-8367|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/05/1984|0|0|0|0|0|0
Chicago Regional Office| 105038|801-30209|FOCUS FINANCIAL ADVISORS, INC.|FOCUS FINANCIAL ADVISORS, INC.|6870 ROTE ROAD|SUITE 101|ROCKFORD IL 61107-2690|USA|||  ||WHITMAN, MARTHA|815-633-8844|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|12/03/1987|0|0|0|0|0|0
Chicago Regional Office| 105044|801-23547|AMERICAN SUPERIOR COMPANY|AMERICAN SUPERIOR CO|2405 GLENVIEW ROAD||GLENVIEW IL 60025-2712|USA|||  ||LIEBMAN, ALAN J|847-657-6800|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|02/22/1985|0|0|0|0|0|0
Chicago Regional Office| 105065|801-21988|STEELE INVESTMENT COUNSEL, LTD.|STEELE INVESTMENT COUNSEL, LTD.|138 SOUTH HIGH STREET||DUBLIN OH 43017-2154|USA|||  ||MATTHEW R. FREIBURGER, CPA|614-793-8890|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/10/1984|0|0|0|0|0|0
Chicago Regional Office| 105123|801-14659|BAXTER CAPITAL MANAGEMENT INC|BAXTER CAPITAL MANAGEMENT INC|9247 NORTH MERIDIAN STREET STE. 218||INDIANAPOLIS IN 46260|USA|||  ||EVERETT, SARAH A.|317-706-0041|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/11/1979|0|0|0|0|0|0
Chicago Regional Office| 105128|801-36331|WYNN CAPITAL MANAGEMENT INC.|WYNN CAPITAL MANAGEMENT INC.|411 EAST WISCONSIN AVENUE|SUITE 320|MILWAUKEE WI 53202|USA|||  ||COLLIER, KAREN A.|414-276-9966|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/02/1990|0|0|0|0|0|0
Chicago Regional Office| 105133|801-35543|DOVER PARTNERS INC|DOVER PARTNERS INC|3033 S. KETTERING BLVD.|SUITE 320|DAYTON OH 45439-1948|USA|||  ||MOIX, JENNIFER|937-643-2837|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|11/24/1989|0|0|0|0|0|0
Chicago Regional Office| 105143|801-19769|COORDINATED FINANCIAL PLANNING CORP|COORDINATED FINANCIAL PLANNING CORP|4555 LAKE FOREST DRIVE #560||CINCINNATI OH 45242|USA|||  ||STEPHEN H. PERRIN|513/769-3131|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|09/19/1983|0|0|0|0|0|0
Chicago Regional Office| 105150|801-16821|FRIEDLANDER & CO INC|FRIEDLANDER & CO INC|322 E. MICHIGAN STREET STE. 250||MILWAUKEE WI 53202|USA|||  ||FRIEDLANDER III, THEODORE|414-273-0308|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|02/12/1982|0|0|0|0|0|0
Chicago Regional Office| 105154|801-25182|PERRY CAPITAL MANAGEMENT INC|PERRY CAPITAL MANAGEMENT INC|ONE PARK PLAZA|11270 W. PARK PLACE, SUITE 1050|MILWAUKEE WI 53224|USA|||  ||WILLIAM M. PERRY|414-359-1000|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|09/06/1985|0|0|0|0|0|0
Chicago Regional Office| 105157|801-15073|ANDERSON HOAGLAND & CO|ANDERSON HOAGLAND & CO|8112 MARYLAND AVE., STE 270||ST LOUIS MO 63105-3700|USA|||  ||ANDERSON, DAVID C.|314-726-2107|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|03/04/1980|0|0|0|0|0|0
Chicago Regional Office| 105160|801-14017|SADOFF INVESTMENT MANAGEMENT LLC|SADOFF INVESTMENT MANAGEMENT LLC|250 W. COVENTRY CT #109||MILWAUKEE WI 53217|USA|||  ||SADOFF, MICHAEL ALLEN|414-352-8460|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|09/08/1978|0|0|0|0|0|0
Chicago Regional Office| 105166|801-27507|CALTON JOHN L|CALTON JOHN LOWELL|680 BRECONSHIRE LANE||CORALVILLE IA 52241|USA|P.O. BOX 5667||CORALVILLE IA 52241|USA|CALTON, JOHN L|319-358-9410|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|07/24/1986|0|0|0|0|0|0
Chicago Regional Office| 105176|801-7942|SENTRY INVESTMENT MANAGEMENT INC|SENTRY INVESTMENT MANAGEMENT, L.L.C.|1800 N POINT DRIVE||STEVENS POINT WI 54481|USA|||  ||PHILLIPS, SUSAN ELLEN|715-346-6383|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/14/1971|0|0|0|0|0|0
Chicago Regional Office| 105177|801-11378|GREENLEAF CAPITAL MANAGEMENT CORP.|GREENLEAF CAPITAL MANAGEMENT CORP.|20600 CHAGRIN BLVD|803 TOWER EAST|SHAKER HEIGHTS OH 44122|USA|||  ||VILYUS, MARY ANNE|216-752-8900|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/05/1976|0|0|0|0|0|0
Chicago Regional Office| 105181|801-35786|MPI INVESTMENT MANAGEMENT INC|MPI INVESTMENT MANAGEMENT INC|15 SALT CREEK LANE|SUITE 404|HINSDALE IL 60521|USA|||  ||PEQUET, DAVID W.|630-325-6900|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/01/1990|0|2|0|0|0|0
Chicago Regional Office| 105182|801-35773|OPTIMUM INVESTMENT ADVISORS, LLC|OPTIMUM INVESTMENT ADVISORS, LLC|100 SOUTH WACKER DRIVE|SUITE 2100|CHICAGO IL 60606|USA|||  ||TAYLOR, JOYCE|312-456-3325|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|12/28/1989|0|0|1|0|0|0
Chicago Regional Office| 105185|801-36261|COMMONWEALTH REALTY ADVISORS INC|COMMONWEALTH REALTY ADVISORS INC|20 SOUTH CLARK STREET, STE. 3000||CHICAGO IL 60603|USA|||  ||KIRINCICH, MARK R.|312-629-0136|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Other|APPROVED|03/23/1990|0|0|0|0|0|0
Chicago Regional Office| 105190|801-16781|FUTURE FINANCES INC|FUTURE FINANCES INC|100 NORTHWOODS BLVD. STE "B"||COLUMBUS OH 43235|USA|||  ||LARSEN, MAX THEISEN|614-888-7526|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|01/27/1982|0|0|0|0|0|0
Chicago Regional Office| 105197|801-30842|SVA WEALTH MANAGEMENT, INC.|SVA WEALTH MANAGEMENT, INC.|1221 JOHN Q HAMMONS DRIVE||MADISON WI 53717-2912|USA|P.O. BOX 44966||MADISON WI 53744-4966|USA|KURT KRUMHOLZ|608-826-2163|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/06/1987|0|0|0|0|0|0
Chicago Regional Office| 105200|801-14700|TODD INVESTMENT ADVISORS, INC.|TODD INVESTMENT ADVISORS, INC.|101 SOUTH 5TH STREET|SUITE 3160|LOUISVILLE KY 40202|USA|||  ||SCOTT JR., CURTISS M.|502-585-3121|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters, Other|APPROVED|05/31/1979|0|0|0|0|0|0
Chicago Regional Office| 105209|801-25520|OPTIQUE CAPITAL MANAGEMENT, INC.|OPTIQUE CAPITAL MANAGEMENT, INC.|555 MAIN ST.  SUITE 440||RACINE WI 53403|USA|||  ||MARY DAVIS|2626192873|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/18/1985|0|0|0|0|0|0
Chicago Regional Office| 105245|801-29095|TEALWOOD MANAGEMENT INC|TEALWOOD ASSET MANAGEMENT INC|1225 IDS CENTER|80 SO. EIGHTH STREET|MINNEAPOLIS MN 55402|USA|||  ||HALBERT, JODI LYNN|612-341-1159|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/18/1987|0|0|0|0|0|0
Chicago Regional Office| 105246|801-31953|RODMAN CAPITAL MANAGEMENT|RODMAN DAVID LAWRENCE|1630 S. UNION AVE||ALLIANCE OH 44601|USA|||  ||RODMAN, DAVID L.|330-821-4530|Sole Proprietorship|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/02/1988|0|0|0|0|0|0
Chicago Regional Office| 105248|801-23465|JENTNER FINANCIAL GROUP|THE JENTNER CORPORATION|COMMONWEALTH SQUARE|302 N. CLEVELAND-MASSILLON RD|AKRON OH 44333-9303|USA|||  ||JENTNER, BRUCE|330-668-1000|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Publication of periodicals or newsletters|APPROVED|02/22/1985|0|0|0|0|0|0
Chicago Regional Office| 105264|801-11987|SCHULHOFF & CO INC|SCHULHOFF & CO INC|9370 MAIN STREET|SUITE D|CINCINNATI OH 45242-7621|USA|||  ||SCHULHOFF, HENRY LOUIS|(513) 241-2900|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|09/07/1976|0|0|0|0|0|0
Chicago Regional Office| 105271|801-23853|VINTAGE FINANCIAL SERVICES LLC|VINTAGE FINANCIAL SERVICES LLC|101 NORTH MAIN ST. SUITE 800||ANN ARBOR MI 48104|USA|||  ||FRANKLIN S. MOORE|734-668-4040|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/08/1985|0|0|0|0|0|0
Chicago Regional Office| 105275|801-21037|INNIS INVESTMENTS|INNIS CHARLES THOMAS|331 SUNNY ACRES DRIVE||CINCINNATI OH 45255|USA|||  ||INNIS CHARLES THOMAS|513-232-2913|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|06/07/1984|0|0|0|0|0|0
Chicago Regional Office| 105277|801-446|ALLEGIANT ASSET MANAGEMENT COMPANY|ALLEGIANT ASSET MANAGEMENT COMPANY|200 PUBLIC SQUARE, 5TH FLOOR LOC 10-86-PS-04||CLEVELAND OH 44114|USA|||  ||JAQUELINE HUMMEL|216-222-2967|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/01/1940|0|0|0|0|0|0
Chicago Regional Office| 105279|801-28534|WINDSOR GROUP LTD|WINDSOR GROUP LTD|500 E. 96TH STREET, SUITE 450||INDIANAPOLIS IN 46240|USA|||  ||ULSAS, MATTHEW|317-848-3005|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|12/12/1986|0|0|0|0|0|0
Chicago Regional Office| 105303|801-20692|OXFORD FINANCIAL GROUP, LTD|OXFORD FINANCIAL GROUP, LTD|11711 N MERIDIAN STREET|SUITE 600|CARMEL IN 46032|USA|P. O. BOX 80238||INDIANAPOLIS IN 46280|USA|SUSAN E. MITCHELL, CFP|317-805-5089|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|02/07/1984|0|0|0|0|0|0
Chicago Regional Office| 105307|801-29336|CLEARWATER MANAGEMENT COMPANY, INC.|CLEARWATER MANAGEMENT COMPANY, INC.|30 EAST 7TH STREET, SUITE 2000||ST PAUL MN 55101|USA|||  ||SMITH, SUSANNE STEWART|651-215-4436|Corporation|Portfolio management for investment companies, Selection of other advisers, Other|APPROVED|04/27/1987|0|0|0|0|0|0
Chicago Regional Office| 105327|801-15741|WEATHERFIELD CAPITAL MANAGEMENT|WEATHERFIELD CAPITAL RESOURCES|2249 S. BRENTWOOD BLVD|SUITE 2|ST. LOUIS MO 63144|USA|||  ||BRIDGES JAMES FRANCIS|314-503-8491|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/05/1981|0|0|0|0|0|0
Chicago Regional Office| 105328|801-35397|GREENPORT FINANCIAL ADVISERS INC.|GREENPORT FINANCIAL ADVISERS INC|6215 FRANK AVENUE NW||NORTH CANTON OH 44720|USA|||  ||HARDESTY, JUSTIN B|(330) 433-1800|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Other|APPROVED|10/27/1989|0|0|0|0|0|0
Chicago Regional Office| 105330|801-30680|TIA, TRUST INVESTMENT ADVISORS, TRUST & INVESTMENT ADVISORS|TRUST & INVESTMENTADVISERS INC|8440 WOODFIELD CROSSING BLVD.|SUITE 100|INDIANAPOLIS IN 46240|USA|||  ||PRUGH, G MICHAEL|317-253-2000|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/15/1987|0|0|0|0|0|0
Chicago Regional Office| 105337|801-22431|GARDEY FINANCIAL ADVISORS LLC|GARDEY FINANCIAL ADVISORS LLC|100 HARROW LANE||SAGINAW MI 48638|USA|||  ||CIOLEK, ASHLEY M.|989-791-3880|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|10/24/1984|0|0|0|0|0|0
Chicago Regional Office| 105344|801-35591|HEXIMER INVESTMENT MANAGEMENT INC|HEXIMER INVESTMENT MANAGEMENT INC|7263 SAWMILL ROAD||DUBLIN OH 43016|USA|||  ||HEXIMER WENDELL L|614-760-9100|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/27/1989|0|0|0|0|0|0
Chicago Regional Office| 105363|801-24450|LANCZ ALAN B & ASSOCIATES INC|LANCZ ALAN B & ASSOCIATES INC|2400 N REYNOLDS RD||TOLEDO OH 43615|USA|||  ||JOSH WEINSTEIN|419-536-5200|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|06/11/1985|0|0|0|0|0|0
Chicago Regional Office| 105367|801-21477|MONETTA FINANCIAL SERVICES INC|MONETTA FINANCIAL SERVICES INC|1776-A SOUTH NAPERVILLE ROAD, SUITE 100||WHEATON IL 60187-8133|USA|||  ||DE NICOLO, MARIA C|630-462-9800|Corporation|Portfolio management for investment companies|APPROVED|06/28/1984|0|2|0|0|0|0
Chicago Regional Office| 105369|801-18378|WEALTH PLANNING CORP|WEALTH PLANNING CORP|3801 SHARON PARK LANE, SUITE 125||CINCINNATI OH 45241|USA|||  ||C. MICHAEL JOHNSON|(513) 733-1750|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/18/1983|0|0|0|0|0|0
Chicago Regional Office| 105370|801-8809|THE CLIFTON GROUP INVESTMENT MANAGEMENT COMPANY|THE CLIFTON GROUP INVESTMENT MANAGEMENT COMPANY|3600 MINNESOTA DRIVE|SUITE 325|EDINA MN 55435|USA|||  ||ZIERMANN PAMELA K|[612]376-4021|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|08/31/1972|0|2|1|0|0|0
Chicago Regional Office| 105374|801-20567|JJP CAPITAL MANAGEMENT, INC.|JJP CAPITAL MANAGEMENT, INC.|112 SOUTH COLLEGE AVENUE||COLUMBIA MO 65201|USA|112 SOUTH COLLEGE AVENUE||COLUMBIA MO 65201|USA|PASCUCCI JOHN JOSEPH|573-442-2763|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/05/1984|0|0|0|0|0|0
Chicago Regional Office| 105376|801-17430|WB CAPITAL MANAGEMENT INC.|WB CAPITAL MANAGEMENT INC.|1415 28TH STREET|SUITE 200|WEST DES MOINES IA 50266-1461|USA|||  ||AMY MITCHELL|515-224-2720|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters, Other|APPROVED|08/05/1982|0|0|0|0|0|0
Chicago Regional Office| 105381|801-32896|MARTIN INVESTMENT MANAGEMENT, LLC|MARTIN INVESTMENT MANAGEMENT, LLC|1007 CHURCH STREET|SUITE 530|EVANSTON IL 60201-5981|USA|P. O. BOX 618||WINNETKA IL 60093-0618|USA|MARTIN, PATRICK ALBERT|847-424-9124|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|09/16/1988|0|0|0|0|0|0
Chicago Regional Office| 105412|801-8868|PEARL MANAGEMENT COMPANY|PEARL MANAGEMENT COMPANY|OCTAGON PLACE 2610 PARK AVE||MUSCATINE IA 52761|USA|PO BOX 209||MUSCATINE IA 52761|USA|CHERRIER, PEGGY ANN|563-288-2773|Corporation|Portfolio management for investment companies|APPROVED|09/27/1972|0|0|0|0|0|0
Chicago Regional Office| 105423|801-27876|LOWRY HILL INVESTMENT ADVISORS INC|LOWRY HILL INVESTMENT ADVISORS INC|90 SOUTH SEVENTH STREET|SUITE 5300|MINNEAPOLIS MN 55402|USA|||  ||ERIC HOLMAN|612-316-2024|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|10/17/1986|0|0|0|0|0|0
Chicago Regional Office| 105428|801-20893|SPERO-SMITH INVESTMENT ADVISERS, INC.|SPERO-SMITH INVESTMENT ADVISERS, INC.|3601 GREEN ROAD, SUITE 102||CLEVELAND OH 44122-5719|USA|||  ||JEFFREY N. MALBASA|216-464-6266|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|04/04/1984|0|0|0|0|0|0
Chicago Regional Office| 105432|801-28444|GENEVA CAPITAL MANAGEMENT LTD|GENEVA CAPITAL MANAGEMENT LTD|250 E WISCONSIN AVENUE, SUITE 1050||MILWAUKEE WI 53202|USA|||  ||KRIS AMBORN|414-224-6002|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|12/04/1986|0|0|0|0|0|0
Chicago Regional Office| 105435|801-11335|NORTHERN OAK CAPITAL MANAGEMENT, INC.|NORTHERN OAK CAPITAL MANAGEMENT, INC.|250 EAST WISCONSIN AVE|SUITE 1200|MILWAUKEE WI 53202|USA|||  ||DAVID P. BECKER|414-278-0590|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/13/1976|0|0|0|0|0|0
Chicago Regional Office| 105439|801-33659|ACCREDITED INVESTORS INC|ACCREDITED INVESTORS INC|5200 WEST 73RD STREET||EDINA MN 55439-2204|USA|||  ||LEVIN, ROSS|952-841-2222|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|01/09/1989|0|0|0|0|0|0
Chicago Regional Office| 105440|801-31747|DATATEX INVESTMENT SERVICES INC|DATATEX INVESTMENT SERVICES INC|7800 FORSYTH AVE|SEVENTH FLOOR|CLAYTON MO 63105|USA|||  ||O'CONNELL, CHRISTOPHER C.|314 236 8888|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|04/01/1988|0|1|0|0|0|0
Chicago Regional Office| 105443|801-21675|EIDELMAN CAPITAL MANAGEMENT|EIDELMAN CAPITAL MANAGEMENT|225 S. MERAMEC AVE. STE 722||ST LOUIS MO 63105|USA|||  ||BERTMAN, ROBERT|314-727-9686|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|07/16/1984|0|0|0|0|0|0
Chicago Regional Office| 105470|801-32097|PARLAN FINANCIAL CORP|PARLAN FINANCIAL CORP|5942 RENAISSANCE PLACE STE. C||TOLEDO OH 43623|USA|||  ||BOLANIS, HELYN|419-885-1130|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/20/1988|0|0|0|0|0|0
Chicago Regional Office| 105471|801-35657|OBERWEIS ASSET MANAGEMENT INC|OBERWEIS ASSET MANAGEMENT INC|3333 WARRENVILLE ROAD|SUITE 500|LISLE IL 60532|USA|||  ||JOYCE, PATRICK B.|630-577-2380|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/04/1990|0|1|0|0|0|0
Chicago Regional Office| 105472|801-33761|FINANCIAL ADVISORY CORPORATION|FINANCIAL ADVISORY CORPORATION|126 OTTAWA N.W. STE. 301||GRAND RAPIDS MI 49503|USA|||  ||FILSON, LORAN JAY|616-235-5260|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/27/1989|0|0|0|0|0|0
Chicago Regional Office| 105474|801-34674|THE BARCLAY GROUP, INC.|BARCLAY GROUP INC|330 N WABASH AVE|#2620|CHICAGO IL 60611|USA|||  ||FISCHETTI, GEORGEANNA|312-464-8100|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/22/1989|0|0|0|0|0|0
Chicago Regional Office| 105480|801-15473|HEITMAN CAPITAL MANAGEMENT LLC|HEITMAN CAPITAL MANAGEMENT LLC|191 N. WACKER DRIVE|SUITE 2500|CHICAGO IL 60606-1615|USA|||  ||MC CARTHY, THOMAS D.|(312) 541-6744|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters, Other|APPROVED|09/03/1980|2|0|0|0|0|0
Chicago Regional Office| 105483|801-26953|HEITMAN ENDOWMENT ADVISORS, L.P.|HEITMAN ENDOWMENT ADVISORS, L.P.|191 N. WACKER DRIVE|SUITE 2500|CHICAGO IL 60606-1615|USA|||  ||MCCARTHY, THOMAS DONOVAN|312/541-6744|Partnership|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|05/15/1986|2|0|0|0|0|0
Chicago Regional Office| 105492|801-25730|HEITMAN INSTITUTIONAL ADVISORS|HEITMAN INSTITUTIONAL ADVISORS|191 N. WACKER DRIVE|SUITE 2500|CHICAGO IL 60606-1615|USA|||  ||MCCARTHY, THOMAS DONOVAN|312-541-6744|Partnership|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|05/15/1986|2|0|0|0|0|0
Chicago Regional Office| 105495|801-24721|RACHOR INVESTMENT ADVISORY SERVICES, LLC|RACHOR INVESTMENT ADVISORY SERVICES, LLC|4488 W. BRISTOL ROAD, 3RD FLOOR||FLINT MI 48507|USA|P. O. BOX 320100||FLINT MI 48532|U.S.A.|LAURIE P. DASKY|810-732-7777|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|07/08/1985|0|1|0|0|0|0
Chicago Regional Office| 105511|801-18176|ST LOUIS FINANCIAL PLANNERS INC|ST LOUIS FINANCIAL PLANNERS INC|1415 ELBRIDGE PAYNE ROAD, STE 140||CHESTERFIELD MO 63017|USA|||  ||HOFER, DEBRA M.|636-532-3900|Corporation|Financial planning services, Publication of periodicals or newsletters|APPROVED|01/17/1983|0|0|0|0|0|0
Chicago Regional Office| 105528|801-32441|SCHUCHARD CAPITAL MANAGEMENT INC|SCHUCHARD CAPITAL MANAGEMENT INC|44853 MARIGOLD DR.||STERLING HEIGHTS MI 48314-1226|USA|||  ||SCHUCHARD MICHAEL ROBERT|(586) 323-9565|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/15/1988|0|0|0|0|0|0
Chicago Regional Office| 105534|801-35331|ALPHA ADVISORS, INC|ALPHA ADVISORS, INC|70 WEST MADISON|SUITE 5300|CHICAGO IL 60602-4379|USA|||  ||LUCEY, LAWRENCE HAYDN|312-263-7673|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|10/02/1989|0|0|0|0|0|0
Chicago Regional Office| 105554|801-17911|MARTIN J D & CO|MARTIN J D & CO|615 GRISWOLD STREET|STE 408|DETROIT MI 48226-3979|USA|||  ||BACKMAN, MICHAEL|313-961-1117|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/17/1982|0|0|0|0|0|0
Chicago Regional Office| 105580|801-31561|NICHOLSON CAPITAL MANAGEMENT, INC.|NICHOLSON CAPITAL MANAGEMENT, INC.|1656 WASHINGTON|SUITE 100|KANSAS CITY MO 64108-1130|USA|||  ||NICHOLSON, JENNIFER D|816-931-5757|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/04/1988|0|0|0|0|0|0
Chicago Regional Office| 105589|801-26687|SCOFIELD & COMPANY, LLC|SCOFIELD & COMPANY, LLC|4040 EMBASSY PARKWAY|SUITE 350|AKRON OH 44333|USA|||  ||SMARGIASSO, HEATH J|330 668 2616|Limited Liability Company|Portfolio management for individuals and/or small businesses, Security ratings or pricing services, Other|APPROVED|04/04/1986|0|0|0|0|0|0
Chicago Regional Office| 105594|801-30958|PRINCIPAL FINANCIAL ADVISORS, INC.|PRINCIPAL FINANCIAL ADVISORS, INC.|711 HIGH ST||DES MOINES IA 50392-3480|USA|P.O. BOX 9397||DES MOINES IA 50306-9397|USA|WELDON, TRACI|515-247-0601|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|03/11/1988|0|0|0|0|0|0
Chicago Regional Office| 105596|801-17219|ENNIS KNUPP & ASSOCIATES INC|ENNIS KNUPP & ASSOCIATES INC|10 S RIVERSIDE PLAZA|STE 1600|CHICAGO IL 60606|USA|||  ||PATEJUNAS, DOUG|(312) 715-3308|Corporation|Pension consulting services, Selection of other advisers|APPROVED|05/21/1982|0|0|0|0|0|0
Chicago Regional Office| 105609|801-6618|JAY A. FISHMAN, LTD|FISHMAN JAY A LTD|101 WEST BIG BEAVER ROAD|SUITE 1125|TROY MI 48084-4108|USA|||  ||SARAH L. OLSON-ROSENBAUM|248-740-9400|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/31/1970|0|0|0|0|0|0
Chicago Regional Office| 105622|801-31878|BLACK CAPITAL MANAGEMENT, LLC|BLACK CAPITAL MANAGEMENT, LLC|11400 S. ALLEY JACKSON RD||GRAIN VALLEY MO 64029|USA|PO BOX 1931||LEE'S SUMMIT MO 64063|USA|BLACK, TERRY PAUL|816 525-9300|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|04/21/1988|0|0|0|0|0|0
Chicago Regional Office| 105624|801-23954|FAIRLANE INVESTMENT ADVISORS INC|FAIRLANE INVESTMENT ADVISORS INC|3 PARKLANE BLVD., SUITE 104 WEST||DEARBORN MI 48126|USA|||  ||PERRI, JAMES H|313-593-3925|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/08/1985|0|0|0|0|0|0
Chicago Regional Office| 105631|801-9613|MERCER INVESTMENT CONSULTING, INC.|MERCER INVESTMENT CONSULTING, INC.|10 SOUTH WACKER DRIVE|SUITE 1700|CHICAGO IL 60606|USA|||  ||MARTIN JOEL WOLIN|(617) 450-6559|Corporation|Pension consulting services, Selection of other advisers|APPROVED|11/08/1973|0|1|4|0|0|0
Chicago Regional Office| 105635|801-4083|HIPKE INVESTMENT CO.|HIPKE EDWARD MALCOLM|1200 W SIERRA LA 101 N||MEQUON WI 53092|USA|||  ||HIPKE, EDWARD MALCOLM|262-241-9277|Sole Proprietorship|Portfolio management for individuals and/or small businesses, Other|APPROVED|09/19/1966|0|0|0|0|0|0
Chicago Regional Office| 105636|801-22646|RICHARDS & TIERNEY INC|RICHARDS & TIERNEY INC|111 WEST JACKSON BLVD SUITE 1411||CHICAGO IL 60604|USA|||  ||MARY E. KEEFE|312-917-7868|Corporation|Pension consulting services, Other|APPROVED|11/02/1984|0|0|0|0|0|0
Chicago Regional Office| 105641|801-8144|PRINCIPAL MANAGEMENT CORP|PRINCIPAL MANAGEMENT CORP|680 8TH STREET||DES MOINES IA 50392-2080|USA|THE PRINCIPAL FINANCIAL GROUP|711 HIGH STREET|DES MOINES IA 50392-0200|USA|ERNEST H. GILLUM|(515) 246-7372|Corporation|Portfolio management for investment companies, Selection of other advisers|APPROVED|12/14/1971|0|0|0|0|0|0
Chicago Regional Office| 105644|801-20406|GENWORTH FINANCIAL ADVISERS CORPORATION|GENWORTH FINANCIAL ADVISERS CORPORATION|200 NORTH MARTINGALE ROAD||SCHAUMBURG IL 60173-2096|USA|||  ||GIGI FUHRY|847-330-7906|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/13/1984|1|3|1|0|0|0
Chicago Regional Office| 105648|801-21209|LIFETIME PLANNING PINNACLE ADVISORS, INC|LIFETIME PLANNING PINNACLE ADVISORS, INC|6 WEST 3RD ST.|SUITE 100|MANSFIELD OH 44902|USA|||  ||HENDERSON, JENNIFER|419-526-5226|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/09/1984|0|1|0|0|0|0
Chicago Regional Office| 105653|801-34764|BEDEL FINANCIAL CONSULTING INC|BEDEL FINANCIAL CONSULTING INC|9190 PRIORITY WAY|W DRIVE SUITE 120|INDIANAPOLIS IN 46240|USA|||  ||BEDEL, ELAINE E|317-843-1358|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/06/1989|0|0|0|0|0|0
Chicago Regional Office| 105662|801-7941|ON INVESTMENT MANAGEMENT CO|ON INVESTMENT MANAGEMENT CO|ONE FINANCIAL WAY||CINCINNATI OH 45242|USA|P.O. BOX 371||CINCINNATI OH 45201-0371|USA|TURNER, BARBARA ANN|1-513-794-6658|Corporation|Financial planning services, Selection of other advisers, Other|APPROVED|11/14/1971|0|7|2|0|0|0
Chicago Regional Office| 105663|801-19825|LOTSOFF CAPITAL MANAGEMENT|LOTSOFF CAPITAL MANAGEMENT|20 N. CLARK STREET|34TH FLOOR|CHICAGO IL 60602-4109|USA|||  ||LYDA ITURRALDE|312-368-1442|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/07/1983|0|0|0|0|0|0
Chicago Regional Office| 105664|801-25433|TRUEPOINT, INC.|TRUEPOINT, INC.|4901 HUNT ROAD, SUITE 200||CINCINNATI OH 45242|USA|||  ||CARROLL, JANEL|513-792-6648|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|10/25/1985|0|0|0|0|0|0
Chicago Regional Office| 105665|801-35528|KENNEY INVESTMENTS INC|KENNEY INVESTMENTS INC|ONE NORTHFIELD PLAZA, SUITE 505||NORTHFIELD IL 60093|USA|||  ||KENNEY, GREG H|847-441-2642|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|11/17/1989|0|0|0|0|0|0
Chicago Regional Office| 105668|801-570|HEBER FUGER WENDIN INC|HEBER FUGER WENDIN INC|36700  WOODWARD AVENUE|SUITE 201|BLOOMFIELD MI 48304-3984|USA|||  ||BARNES, HEIDI B|(248) 258-6866|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|11/01/1940|0|0|0|0|0|0
Chicago Regional Office| 105674|801-33554|HARTLAND & CO|HARTLAND & CO|1100 SUPERIOR AVE EAST, SUITE 1616||CLEVELAND OH 44114|USA|||  ||CHRISTINE C. STERRETT|216-621-1090|Corporation|Pension consulting services, Other|APPROVED|12/29/1988|0|0|0|0|0|0
Chicago Regional Office| 105675|801-36323|MMA CAPITAL MANAGEMENT|MENNO INSURANCE SERVICE INC|1110 N MAIN ST||GOSHEN IN 46528|USA|P.O. BOX 483||GOSHEN IN 46527|USA|ZIMMERMAN, PHILIP R|574-533-9511|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|04/02/1990|0|0|0|0|0|0
Chicago Regional Office| 105689|801-28513|KABAREC FINANCIAL ADVISORS LTD|KABAREC FINANCIAL ADVISORS LTD|220 N. SMITH ST.|SUITE 220|PALATINE IL 60067|USA|||  ||HACKBARTH, KIRK|847-934-7777|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|12/05/1986|0|0|0|0|0|0
Chicago Regional Office| 105709|801-14008|PROFESSIONAL INVESTMENT MANAGEMENT INC|PROFESSIONAL INVESTMENT MANAGEMENT INC|2000 W HENDERSON RD|SUITE 150|COLUMBUS OH 43220-2466|USA|||  ||COWGILL DOUGLAS EUGENE|(614)777-2100|Corporation|Pension consulting services, Other|APPROVED|07/27/1978|0|7|0|0|0|0
Chicago Regional Office| 105725|801-16350|SIT INVESTMENT ASSOCIATES, INC|SIT INVESTMENT ASSOCIATES, INC|3300 IDS CENTER|80 SOUTH EIGHTH STREET|MINNEAPOLIS MN 55402|USA|||  ||RASMUSSEN, PAUL EDWARD|612-332-3223|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/18/1981|0|0|0|0|0|0
Chicago Regional Office| 105735|801-8846|LEGACY CAPITAL PARTNERS, INC.|LEGACY CAPITAL PARTNERS, INC.|1200 NORTH MAYFAIR ROAD|SUITE 360|MILWAUKEE WI 53226-3282|USA|||  ||BRIGMAN, JEFFRY|414-271-1664|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|09/21/1972|0|0|0|0|0|0
Chicago Regional Office| 105747|801-28377|SUMMIT INVESTMENT PARTNERS, INC.|SUMMIT INVESTMENT PARTNERS, INC.|312 WALNUT STREET, SUITE 2500||CINCINNATI OH 45202-4025|USA|||  ||LABMEIER, JOHN FRANCIS|513-632-1400|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/03/1986|0|0|0|0|0|0
Chicago Regional Office| 105752|801-13695|FFP INVESTMENT ADVISORS INC|FFP INVESTMENT ADVISORS INC|RIVERVIEW OFFICE TOWER, SUITE 185|8009 34TH AVENUE SOUTH|BLOOMINGTON MN 55425|USA|||  ||WITTER, KEITH ALLEN|952-854-9678|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Market timing services|APPROVED|03/09/1978|0|11|0|0|0|0
Chicago Regional Office| 105753|801-5182|WILSON, KEMP & ASSOCIATES, INC.|WILSON, KEMP & ASSOCIATES, INC.|400 RENAISSANCE CENTER|SUITE 2155|DETROIT MI 48243-1676|USA|||  ||VAN FAUSSIEN, MARK EDWARD|(313)259-6210|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/06/1968|0|0|1|0|0|0
Chicago Regional Office| 105757|801-18439|DRIEHAUS CAPITAL MANAGEMENT LLC|DRIEHAUS CAPITAL MANAGEMENT LLC|25 EAST ERIE STREET||CHICAGO IL 60611-2703|USA|||  ||MARY H. WEISS|312-587-3800|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/11/1983|0|0|0|0|0|0
Chicago Regional Office| 105758|801-29688|CALAMOS ADVISORS LLC|CALAMOS ADVISORS LLC|2020 CALAMOS COURT||NAPERVILLE IL 60563-2787|USA|||  ||RANDALL, WALTER R. (JR.)|630-245-1033|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/29/1987|1|2|0|0|0|0
Chicago Regional Office| 105768|801-32604|VAN CLEEF ASSET MANAGEMENT INC|VAN CLEEF ASSET MANAGEMENT INC|3201 ENTERPRISE PKWY|SUITE 140|BEACHWOOD OH 44122|USA|||  ||BURKE, MARTIN J.|216-464-0253|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/05/1988|0|1|0|0|0|0
Chicago Regional Office| 105778|801-8174|AMERICAN CENTURY INVESTMENT MANAGEMENT INC|AMERICAN CENTURY INVESTMENT MANAGEMENT INC|4500 MAIN STREET||KANSAS CITY MO 64111-7709|USA|P.O. BOX 410141||KANSAS CITY MO 64141-0141|USA|OTIS H. COWAN|816-340-3335|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/14/1971|1|1|2|0|0|0
Chicago Regional Office| 105780|801-33358|NORTHERN TRUST INVESTMENTS, NATIONAL ASSOCIATION.|NORTHERN TRUST INVESTMENTS, NATIONAL ASSOCIATION.|181 W. MADISON ST.||CHICAGO IL 60602-4562|USA|||  ||SUSAN J. HILL|312-557-3032|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|11/25/1988|0|0|1|0|0|0
Chicago Regional Office| 105793|801-31743|STERLING CAPITAL MANAGEMENT INC|STERLING CAPITAL MANAGEMENT INC|12300 OLD TESSON RD STE 100C||ST.LOUIS MO 63128-2228|USA|||  ||LAUBER,JANICE C|314-843-9999|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/01/1988|0|0|0|0|0|0
Chicago Regional Office| 105794|801-9839|MEEDER ASSET MANAGEMENT, INC|MEEDER ASSET MANAGEMENT, INC|6125 MEMORIAL DRIVE||DUBLIN OH 43017|USA|P. O. BOX 7177||DUBLIN OH 43017|USA|ROBERT S. MEEDER, JR.|614-766-7000|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/16/1974|0|0|0|0|0|0
Chicago Regional Office| 105814|801-26160|WALLER FINANCIAL PLANNING GROUP INC|WALLER FINANCIAL PLANNING GROUP INC|941 CHATHAM LANE|SUITE 212|COLUMBUS OH 43221|USA|||  ||SURGOINE, TODD ALLAN|(614)457-7026|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|12/31/1985|0|0|0|0|0|0
Chicago Regional Office| 105815|801-17956|PARKER CARLSON & JOHNSON|PARKER CARLSON & JOHNSON|120 WEST THIRD STREET|SUITE 300|DAYTON OH 45402|USA|||  ||HENRY, JILL|937-223-0600|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|12/03/1982|0|0|0|0|0|0
Chicago Regional Office| 105821|801-36789|LYNCH FINANCIAL GROUP|LYNCH FINANCIAL GROUP LLC|5880 SAWMILL RD|SUITE 204|DUBLIN OH 43017|USA|||  ||LYNCH, JOHN CHARLES|614-791-8884|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|07/19/1990|0|0|0|0|0|0
Chicago Regional Office| 105822|801-33482|BLAIR WILLIAM LEVERAGED CAPITAL MANAGEMENT LP|BLAIR WILLIAM LEVERAGED CAPITAL MANAGEMENT LP|222 WEST ADAMS ST||CHICAGO IL 60606|USA|||  ||SMIRL, RICHARD|312-364-8921|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/12/1988|0|1|0|0|0|0
Chicago Regional Office| 105826|801-30686|LEUTHOLD WEEDEN CAPITAL MANAGEMENT|THE LEUTHOLD GROUP, LLC|33 SOUTH SIXTH STREET|SUITE 4600|MINNEAPOLIS MN 55402|USA|||  ||ROGER A. PETERS|612-332-9141|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|10/16/1987|0|0|0|0|0|0
Chicago Regional Office| 105834|801-15323|KENNEDY CAPITAL MANAGEMENT|KENNEDY CAPITAL MANAGEMENT, INC.|10829 OLIVE BLVD||ST LOUIS MO 63141-7739|USA|||  ||MARILYN K. LAMMERT|314-432-0400|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/17/1980|0|0|0|0|0|0
Chicago Regional Office| 105879|801-14828|DANA INVESTMENT ADVISORS INC|DANA INVESTMENT ADVISORS INC|15800 W. BLUEMOUND RD. SUITE 250||BROOKFIELD WI 53005|USA|P.O. BOX 1067||BROOKFIELD WI 53008-1067|USA|MICHAEL C. STEWART|262-782-8658|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/21/1979|0|1|0|0|0|0
Chicago Regional Office| 105894|801-35752|ARTHUR M. COHEN & ASSOCIATES LLC|ARTHUR M. COHEN & ASSOCIATES LLC|1033 SKOKIE BOULEVARD|STE 200|NORTHBROOK IL 60062|USA|||  ||COHEN, ARTHUR MARK|847-480-2990|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|01/12/1990|0|0|0|0|0|0
Chicago Regional Office| 105895|801-35836|LJPR, LLC|LJPR, LLC|4555 INVESTMENT DRIVE|SUITE 304|TROY MI 48098|USA|||  ||BRIAN ROEHL|248-641-7400|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Other|APPROVED|02/09/1990|0|0|0|0|0|0
Chicago Regional Office| 105901|801-30171|HOLT-SMITH ADVISORS|HOLT SMITH & YATES ADVISORS INC|2810 CROSSROADS DRIVE|SUITE #4900|MADISON WI 53718|USA|||  ||KORTH, BETH A.|608-249-4488|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/07/1987|0|0|0|0|0|0
Chicago Regional Office| 105902|801-40745|THOR INVESTMENT MANAGEMENT INC|THOR INVESTMENT MANAGEMENT INC|7346 BEECHMONT AVE.||CINCINNATI OH 45230|USA|||  ||LUKE, GREGORY CHARLES|513-271-6777|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|02/13/1992|0|0|0|0|0|0
Chicago Regional Office| 105904|801-33446|PAYNE WEALTH PARTNERS, INC.|PAYNE WEALTH PARTNERS, INC.|7144 EAST VIRGINIA STREET||EVANSVILLE IN 47715|USA|||  ||PAYNE, T. TAYLOR|812-477-6221|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|12/09/1988|0|0|0|0|0|0
Chicago Regional Office| 105913|801-41815|WALL & ASSOCIATES|MONEY MATTERS FINANCIAL GROUP INC|1182 LAKESIDE LANE||CAROL STREAM IL 60188|USA|||  ||WALL, DAVID J|630-213-8885|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|06/25/1992|0|0|0|0|0|0
Chicago Regional Office| 105916|801-50177|RENAISSANCE INVESTMENT MANAGEMENT|THE RENAISSANCE GROUP LLC|THE BALDWIN CENTER, SUITE 1200|625 EDEN PARK DRIVE|CINCINNATI OH 45202|USA|||  ||PATTON, KEVIN J.|513-723-4582|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/26/1995|0|0|0|0|0|0
Chicago Regional Office| 105944|801-269|INVESTMENT COUNSEL INC|INVESTMENT COUNSEL INC|7457 MECAD BLVD.||CLARKSTON MI 48348|USA|P.O. BOX 1440||CLARKSTON MI 48347|USA|WALKER, CHRIS WILLIAM|248-625-7897|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/01/1940|0|0|0|0|0|0
Chicago Regional Office| 105949|801-24133|FORWARD UNIPLAN ADVISORS, INC.|FORWARD UNIPLAN ADVISORS, INC.|22939 WEST OVERSON ROAD||UNION GROVE WI 53182|USA|||  ||IMPERIALE, RICHARD P|262-534-3000|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/14/1985|0|1|0|0|0|0
Chicago Regional Office| 105950|801-33485|VANTAGE FINANCIAL GROUP, INC.|VANTAGE FINANCIAL GROUP, INC.|6200 ROCKSIDE ROAD|SUITE 100|CLEVELAND OH 44131|USA|||  ||ALAN RITVO|216-642-8146|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/16/1988|0|0|0|0|0|0
Chicago Regional Office| 105960|801-18140|MEMBERS CAPITAL ADVISORS, INC.|MEMBERS CAPITAL ADVISORS, INC.|5910 MINERAL POINT RD||MADISON WI 53705|USA|||  ||FISHER, DIANE|608-231-7533|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|01/04/1983|0|0|0|0|0|0
Chicago Regional Office| 105973|801-17514|SIMMONS FINANCIAL MANAGEMENT INC|SIMMONS FINANCIAL MANAGEMENT INC|250 E WISCONSIN AVE|18TH FLOOR|MILWAUKEE WI 53202|USA|||  ||SIMMONS, MICHAEL DAWES|414-271-1856|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|08/09/1982|0|0|0|0|0|0
Chicago Regional Office| 105974|801-34323|MENDEL MONEY MANAGEMENT INC|MENDEL MONEY MANAGEMENT INC|1200 SHERMER RD STE 312||NORTHBROOK IL 60062|USA|||  ||STAMER, ELIZABETH|847/564-0970|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/24/1989|0|0|0|0|0|0
Chicago Regional Office| 105979|801-45443|BOND TECH INC|BOND TECH INC|524 SNOWGLEN DRIVE||ENGLEWOOD OH 45322|USA|P.O. BOX 192||ENGLEWOOD OH 45322|USA|COX, ROGER ALLEN|937-836-3991|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|12/16/1993|0|0|0|0|0|0
Chicago Regional Office| 105990|801-12642|DAVID VAUGHAN INVESTMENTS INC|DAVID VAUGHAN INVESTMENTS INC|5823 N FOREST PARK DRIVE||PEORIA IL 61614-3559|USA|||  ||SINCLAIR, JAMES D|309-685-0033|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|03/17/1977|0|0|0|0|0|0
Chicago Regional Office| 105994|801-26109|THE RETIREMENT CORPORATION OF AMERICA|RETIREMENT CAPITAL ADVISORS,INC.|11500 NORTHLAKE DRIVE|SUITE 100|CINCINNATI OH 45249|USA|||  ||DANIEL C. KILEY|513-769-4040|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|12/31/1985|0|0|0|0|0|0
Chicago Regional Office| 106022|801-40802|PENSION CONSULTING SERVICES INC|PENSION CONSULTING SERVICES INC|1696 GEORGETOWN ROAD|SUITE L|HUDSON OH 44236|USA|||  ||KLINE, LARRY L|330-342-8070|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|02/14/1992|0|0|0|0|0|0
Chicago Regional Office| 106037|801-33642|ROBERT GORDON & ASSOCIATES INC|GORDON ROBERT & ASSOCIATES INC|1201 VETERANS PARKWAY STE A||SPRINGFIELD IL 62704|USA|||  ||ROBERT A GORDON|217-698-4844|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/26/1989|0|0|0|0|0|0
Chicago Regional Office| 106040|801-32812|FIRST FINANCIAL ADVISORS INC|FIRST FINANCIAL ADVISORS INC|950 W NORTON AVE|SUITE 415|MUSKEGON MI 49441|USA|||  ||TIMOTHY CHARLES ERICKSON|231-733-4084|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/08/1988|0|0|0|0|0|0
Chicago Regional Office| 106052|801-39816|SPEECE THORSON CAPITAL GROUP INC|SPEECE THORSON CAPITAL GROUP INC|225 SOUTH 6TH STREET|SUITE 2575|MINNEAPOLIS MN 55402|USA|||  ||HAEG, JUDY|612-338-4649|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/08/1992|0|0|0|0|0|0
Chicago Regional Office| 106063|801-42852|LIBERTY CAPITAL MANAGEMENT INC|LIBERTY CAPITAL MANAGEMENT INC|255 S OLD WOODWARD AVENUE|STE 204|BIRMINGHAM MI 48009|USA|||  ||BROWN, CHARLES W|248-258-9290|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/08/1992|0|0|0|0|0|0
Chicago Regional Office| 106065|801-21385|SIT INVESTMENT FIXED INCOME ADVISORS, INC.|SIT INVESTMENT FIXED INCOME ADVISORS, INC.|3300 IDS CENTER|80 SOUTH EIGHTH STREET|MINNEAPOLIS MN 55402|USA|||  ||RASMUSSEN, PAUL EDWARD|612-332-3223|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/06/1984|0|0|0|0|0|0
Chicago Regional Office| 106068|801-44691|FINANCIAL MANAGEMENT GROUP INC|FINANCIAL MANAGEMENT GROUP INC|10979 REED HARTMAN HWY|SUITE 209|CINCINNATI OH 45242|USA|||  ||ROBERT WASSEL|513-984-6696|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|09/09/1993|0|0|0|0|0|0
Chicago Regional Office| 106074|801-24178|LUTHER DEARBORN INVESTMENT ADVISORY INC|LUTHER DEARBORN INVESTMENT ADVISORY INC|5 REVERE DRIVE|STE 200|NORTHBROOK IL 60062|USA|||  ||DEARBORN JR, LUTHER|847-205-5333|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|05/14/1985|0|0|0|0|0|0
Chicago Regional Office| 106090|801-51685|VECTOR WEALTH MANAGEMENT, LLC|VECTOR WEALTH MANAGEMENT, LLC|43 MAIN ST SE|STE 236|MINNEAPOLIS MN 55414|USA|||  ||RICCI, JR. MICHAEL A|612-378-7560|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/12/1996|0|0|0|0|0|0
Chicago Regional Office| 106102|801-44808|WFA ASSET MANAGEMENT CORP|WFA ASSET MANAGEMENT CORP|5129 W FRANKLIN DR|P.O. BOX 320400|FRANKLIN WI 53132|USA|||  ||ENEA, NICHOLAS|414-421-8282|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|10/27/1993|0|0|0|0|0|0
Chicago Regional Office| 106103|801-41250|ROLF ADLER GROUP INC|ROLF ADLER GROUP INC|420 BARDMORE CIRCLE||AURORA OH 44202|USA|||  ||ADLER, STEVEN MARTIN|330-562-8969|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|05/07/1992|0|0|0|0|0|0
Chicago Regional Office| 106107|801-47277|ATLAS CAPITAL MANAGEMENT CORP|ATLAS CAPITAL MANAGEMENT CORP|11130 COLDWATER ROAD|SUITE 104|FT WAYNE IN 46845-1270|USA|||  ||JACOBS, JERRY L.|260-637-2857|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|08/19/1994|0|0|0|0|0|0
Chicago Regional Office| 106131|801-48479|DONALDSON CAPITAL MANAGEMENT LLC|DONALDSON CAPITAL MANAGEMENT LLC|20 NORTHWEST FIRST STREET|FIFTH FLOOR|EVANSVILLE IN 47708|USA|||  ||HULL, MICHAEL D|812/421-3200|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|02/10/1995|0|0|0|0|0|0
Chicago Regional Office| 106139|801-36951|BAHL & GAYNOR INC|BAHL & GAYNOR INC|212 EAST 3RD STREET|SUITE 200|CINCINNATI OH 45202|USA|||  ||BAHL, WILLIAM F.|513-287-6100|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|07/13/1990|0|0|2|0|0|0
Chicago Regional Office| 106145|801-52887|KLOPP INVESTMENT MANAGEMENT LLC|KLOPP INVESTMENT MANAGEMENT LLC|1801 EAST NINTH STREET|SUITE 1040|CLEVELAND OH 44114-3103|USA|||  ||KLOPP, JOHN S.|216-566-1100|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/03/1996|0|0|0|0|0|0
Chicago Regional Office| 106152|801-49217|BLOOM ASSET MANAGEMENT, INC.|BLOOM ASSET MANAGEMENT, INC.|31275 NORTHWESTERN HWY|SUITE 145|FARMINGTON HILLS MI 48334-2531|USA|||  ||BLOOM, KENNETH J|248-932-5200|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|05/22/1995|0|0|0|0|0|0
Chicago Regional Office| 106160|801-52668|MITCHELL VAUGHT & TAYLOR INC|MITCHELL VAUGHT & TAYLOR INC|53 W. JACKSON SUITE 905||CHICAGO IL 60604|USA|||  ||WOODS, DANIELLE|312-922-1717|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|08/12/1996|0|0|0|0|0|0
Chicago Regional Office| 106162|801-41031|BRAND ASSET MANAGEMENT GROUP, INC.|BRAND ASSET MANAGEMENT GROUP, INC.|16640 CHESTERFIELD GROVE RD|STE 100|CHESTERFIELD MO 63005|USA|||  ||DOLNIAK, CYNTHIA L.|636-532-7333|Corporation|Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|03/16/1992|0|0|0|0|0|0
Chicago Regional Office| 106165|801-41896|THOMAS WHITE ASSET MANAGEMENT|THOMAS WHITE INTERNATIONAL LTD|440 S LASALLE STREET, SUITE 3900||CHICAGO IL 60605|USA|||  ||COOK, DIANE|312-663-8300|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|07/24/1992|0|0|0|0|0|0
Chicago Regional Office| 106172|801-47928|HORIZON CASH MANAGEMENT LLC|HORIZON CASH MANAGEMENT LLC|325 WEST HURON, SUITE 808||CHICAGO IL 60610|USA|||  ||PAULINE MODJESKI|312-335-8500|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|12/30/1994|0|0|0|0|0|0
Chicago Regional Office| 106179|801-36915|GREAT LAKES ADVISORS, INC.|GREAT LAKES ADVISORS, INC.|123 NORTH WACKER DRIVE|SUITE 2350|CHICAGO IL 60606-1735|USA|||  ||CALKINS, EDWARD J|312-553-3715|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/05/1990|0|0|0|0|0|0
Chicago Regional Office| 106189|801-46878|VICTORY CAPITAL MANAGEMENT INC.|VICTORY CAPITAL MANAGEMENT INC.|127 PUBLIC SQUARE, 20TH FLOOR||CLEVELAND OH 44114-1306|USA|||  ||ZEIGER, RICHARD G|(216) 689-4126|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|05/10/1994|0|0|0|0|0|0
Chicago Regional Office| 106193|801-46599|FRONT BARNETT ASSOCIATES LLC|FRONT BARNETT ASSOCIATES LLC|70 W. MADISON STREET|SUITE 4920|CHICAGO IL 60602|USA|||  ||LAHEY, PHILIP F|312 641 9004|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/13/1994|0|0|0|0|0|0
Chicago Regional Office| 106201|801-53815|SECURITY CAPITAL RESEARCH & MANAGEMENT INCORPORATED|SECURITY CAPITAL RESEARCH & MANAGEMENT INCORPORATED|10 SOUTH DEARBORN STREET|SUITE 1400|CHICAGO IL 60603|USA|||  ||NINA D. METTELMAN|212-648-1772|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/10/1997|3|14|11|0|0|0
Chicago Regional Office| 106209|801-37818|THE GLASS FREEDMAN COMPANY|THE GLASS FREEDMAN COMPANY|30400 TELEGRAPH RD|SUITE 435|BINGHAM FARMS MI 48025|USA|||  ||GLASS, HERBERT N|(248) 647-2212|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|11/29/1990|0|0|0|0|0|0
Chicago Regional Office| 106212|801-48691|STONE LEVY LLC|STONE LEVY LLC|630 DUNDEE ROAD|STE 220|NORTHBROOK IL 60062|USA|||  ||GATTI, THOMAS A.|847-562-4510|Limited Liability Company|Other|APPROVED|03/27/1995|0|0|0|0|0|0
Chicago Regional Office| 106225|801-30569|CHESS FINANCIAL CORP|CHESS FINANCIAL CORP|30050 CHAGRIN BLVD|SUITE 100|PEPPER PIKE OH 44124|USA|||  ||BONNY CONSTANTINO|216-831-2400|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Publication of periodicals or newsletters, Other|APPROVED|10/02/1987|0|0|0|0|0|0
Chicago Regional Office| 106229|801-37951|R H BLUESTEIN & CO|R H BLUESTEIN & CO|260 EAST BROWN STREET|SUITE 100|BIRMINGHAM MI 48009|USA|||  ||BLUESTEIN, JEFFREY|248-646-4000|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|12/20/1990|0|0|0|0|0|0
Chicago Regional Office| 106230|801-32397|WEICK & ASSOCIATES INC|WEICK & ASSOCIATES, INC.|8800 PIPPEN ROAD|SUITE 226|ROMEO MI 48065|USA|||  ||EDWARD B. WEICK|586-336-0500|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|08/11/1988|0|0|0|0|0|0
Chicago Regional Office| 106237|801-50939|HONKAMP KRUEGER FINANCIAL SERVICES INC|HONKAMP KRUEGER FINANCIAL SERVICES INC|2355 J F KENNEDY ROAD||DUBUQUE IA 52002|USA|||  ||DARRAH, JOHN ROBERT|563-582-2855|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/17/1996|0|0|0|0|0|0
Chicago Regional Office| 106244|801-46796|MONARCH CAPITAL MANAGEMENT INC|MONARCH CAPITAL MANAGEMENT INC|127 W BERRY STREET, SUITE 402||FORT WAYNE IN 46802|USA|||  ||CANDOR, MARGARET HARDEN|260-422-2765|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|06/22/1994|0|0|0|0|0|0
Chicago Regional Office| 106249|801-37961|BEARD INVESTMENT SERVICES, INC.|BEARD INVESTMENT SERVICES, INC.|108 W WESTERN RESERVE ROAD||YOUNGSTOWN OH 44514|USA|||  ||RAFOTH, JAMES|330-758-0575|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/10/1991|0|0|0|0|0|0
Chicago Regional Office| 106269|801-43993|EVANSTON ADVISORS|EVANSTON INVESTMENTS INC|1827 WALDEN OFFICE SQUARE|SUITE 104|SCHAUMBURG IL 60173|USA|||  ||SNODGRASS, NATHAN KLYNE|847/397-8630|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|05/21/1993|0|0|0|0|0|0
Chicago Regional Office| 106279|801-45623|TREND DYNAMICS INC|TREND DYNAMICS INC|2686 WADSWORTH RD||SHAKER HTS. OH 44122|USA|2000 AUBURN DRIVE, SUITE 200||BEACHWOOD OH 44122-5413|USA|WEBB, JOHN CARLTON|216-292-8144|Corporation|Portfolio management for individuals and/or small businesses, Pension consulting services, Other|APPROVED|02/01/1994|0|0|0|0|0|0
Chicago Regional Office| 106283|801-39017|BULTMAN INVESTMENT MANAGEMENT, INC.|BULTMAN INVESTMENT MANAGEMENT, INC.|735 N WATER STREET, SUITE 1401||MILWAUKEE WI 53202-4106|USA|||  ||BULTMAN, TIMOTHY MICHAEL|414-220-4288|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/07/1991|0|0|0|0|0|0
Chicago Regional Office| 106285|801-44594|JRP CAPITAL CORP|JRP CAPITAL CORP|6135 MEMORIAL DRIVE|SUITE 104D|DUBLIN OH 43017|USA|||  ||LUKE, TROY L|614-487-8885|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/08/1993|0|0|0|0|0|0
Chicago Regional Office| 106288|801-48064|MORGAN DEMPSEY CAPITAL MANAGEMENT LLC|MORGAN DEMPSEY CAPITAL MANAGEMENT LLC|1511 W MARKET ST||MEQUON WI 53092-5053|USA|||  ||PLISKIE, B.J.|262-241-1561|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|12/19/1994|0|0|0|0|0|0
Chicago Regional Office| 106305|801-53866|THE BANC FUNDS COMPANY, L.L.C.|THE BANC FUNDS COMPANY, L.L.C.|20 NORTH WACKER DRIVE|SUITE 3300|CHICAGO IL 60606|USA|||  ||MOORE, CHARLES JOSEPH|312-855-6020|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/14/1997|0|0|0|0|0|0
Chicago Regional Office| 106321|801-49335|AMI INVESTMENT MANAGEMENT INC|AMI INVESTMENT MANAGEMENT INC|710 N KRUEGER STREET||KENDALLVILLE IN 46755|USA|P.O. BOX 247||KENDALLVILLE IN 46755|USA|KIMBERLY JOYCE COCHARD|260-347-1281|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/09/1995|0|0|0|0|0|0
Chicago Regional Office| 106328|801-42434|CS CAPITAL MANAGEMENT INC|CS CAPITAL MANAGEMENT INC|ONE AMERICAN SQUARE|SUITE 2610|INDIANAPOLIS IN 46282|USA|||  ||SCHRODER, TAMMIE S|317-636-1000|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|09/29/1992|0|0|1|0|0|0
Chicago Regional Office| 106331|801-45470|HUBER FINANCIAL|HUBER FINANCIAL GROUP LTD|975 WEILAND ROAD|SUITE 150|BUFFALO GROVE IL 60089|USA|||  ||POSTER,JANE|847-541-6888|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|12/16/1993|0|0|0|0|0|0
Chicago Regional Office| 106337|801-41392|WINSLOW ASSET MANAGEMENT INC|WINSLOW ASSET MANAGEMENT INC|25201 CHAGRIN BLVD, SUITE 185||BEACHWOOD OH 44122|USA|||  ||AKERS, SUSAN|216-360-4700|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/12/1992|0|0|0|0|0|0
Chicago Regional Office| 106338|801-29318|MITCHELL CAPITAL MANAGEMENT CO|MITCHELL CAPITAL MANAGEMENT CO|2600 GRAND BOULEVARD|SUITE 750|KANSAS CITY MO 64108|USA|||  ||KENNETH L. GREEN|816-561-6512|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/07/1987|0|0|0|0|0|0
Chicago Regional Office| 106356|801-49603|SKYLINE ASSET MANAGEMENT, L.P.|SKYLINE ASSET MANAGEMENT, L.P.|311 SOUTH WACKER DR.|45TH FLOOR, STE 4500|CHICAGO IL 60606-6618|USA|||  ||ANTHONY I. NANNI|312-913-3984|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/10/1995|0|0|0|0|0|0
Chicago Regional Office| 106374|801-48656|SARKAUSKAS & ASSOCIATES INC|SARKAUSKAS & ASSOCIATES INC|14 EAST DAVENPORT STREET||RHINELANDER WI 54501|USA|||  ||BRAD SARKAUSKAS|715 365-6500|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|03/10/1995|0|0|0|0|0|0
Chicago Regional Office| 106376|801-38709|HOLLAND CAPITAL MANAGEMENT LP|HOLLAND CAPITAL MANAGEMENT LLC|ONE NORTH WACKER DRIVE|SUITE 700|CHICAGO IL 60606|USA|||  ||CHAMBERLAIN, SUSAN|312-553-4844|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|05/02/1991|0|0|0|0|0|0
Chicago Regional Office| 106381|801-49983|AMBS INVESTMENT COUNSEL LLC|AMBS INVESTMENT COUNSEL LLC|WATERS CIRCLE,SUITE 150|1241 EAST BELTLINE NE|GRAND RAPIDS MI 49525|USA|||  ||MACIEJEWSKI, KATHLEEN A.|616-949-8160|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|08/29/1995|0|0|0|0|0|0
Chicago Regional Office| 106389|801-41766|MIAMI VALLEY PORTFOLIO MANAGEMENT INC|MIAMI VALLEY PORTFOLIO MANAGEMENT INC|475 ARLINGTON ROAD||BROOKVILLE OH 45309|USA|||  ||MORAN, MICHAEL A|937-833-4043|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|06/19/1992|0|0|0|0|0|0
Chicago Regional Office| 106398|801-48195|FINANCIAL COUNSELORS INC|FINANCIAL COUNSELORS INC|442 WEST 47TH STREET||KANSAS CITY MO 64112-1903|USA|||  ||AMY L. SCHAFF|816-329-1527|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters, Other|APPROVED|01/12/1995|0|0|0|0|0|0
Chicago Regional Office| 106414|801-47007|HEMSLEY & ASSOCIATES, LTD.|HEMSLEY & ASSOCIATES, LTD.|432 N HOUGH STREET||BARRINGTON IL 60010|USA|||  ||NIJOLE M ASTRA VALAITIS|847-381-7314|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/26/1994|0|0|0|0|0|0
Chicago Regional Office| 106429|801-42331|KOCH ASSET MANAGEMENT|KOCH ASSET MANAGEMENT LLC|1293 S MASON RD||ST LOUIS MO 63131|USA|||  ||KOCH, DONALD L|314-878-8774|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|09/29/1992|0|0|0|0|0|0
Chicago Regional Office| 106431|801-39007|CARNEGIE CAPITAL ASSET MANAGEMENT COMPANY|CARNEGIE CAPITAL ASSET MANAGEMENT COMPANY|1228 EUCLID AVE|SUITE 1100|CLEVELAND OH 44115|USA|||  ||POLZ, JR. RUDOLPH J|216-367-4113|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters, Other|APPROVED|05/24/1991|0|0|0|0|0|0
Chicago Regional Office| 106432|801-40278|REINHART PARTNERS, INC.|REINHART PARTNERS, INC.|1500  W.MARKET ST SUITE 100||MEQUON WI 53092|USA|||  ||DOUGLAS J. FRY|262-241-2020|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|12/05/1991|0|0|0|0|0|0
Chicago Regional Office| 106466|801-35533|HARRIS INVESTMENT MANAGEMENT INC|HARRIS INVESTMENT MANAGEMENT INC|190 SOUTH LASALLE STREET|4TH FLOOR|CHICAGO IL 60603|USA|P.O. BOX 755||CHICAGO IL 60690-0755|USA|BRIAN|312-461-7616|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|11/17/1989|0|0|0|0|0|0
Chicago Regional Office| 106487|801-49780|GALLIARD CAPITAL MANAGEMENT INC|GALLIARD CAPITAL MANAGEMENT INC|800 LASALLE AVE., STE 2060||MINNEAPOLIS MN 55402-2033|USA|||  ||CASWELL, JOHN RICHARD|612-667-9524|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/10/1995|0|0|0|0|0|0
Chicago Regional Office| 106489|801-52034|NORTH STAR ASSET MANAGEMENT INC|NORTH STAR ASSET MANAGEMENT INC|59 RACINE STREET, STE. A||MENASHA WI 54952|USA|||  ||KAUFERT,RENEE L|920-729-7906|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/07/1996|0|0|0|0|0|0
Chicago Regional Office| 106505|801-47232|SEGALL BRYANT & HAMILL|SEGALL BRYANT & HAMILL|10 S. WACKER DRIVE|STE 3500|CHICAGO IL 60606-7407|USA|||  ||ZIERMANN, PAM K.|612-376-4021|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/10/1994|0|0|0|0|0|0
Chicago Regional Office| 106528|801-51533|OPUS CAPITAL GROUP, LLC|OPUS CAPITAL GROUP, LLC|1 WEST FOURTH STREET|SUITE 2500|CINCINNATI OH 45202|USA|||  ||JOSEPH P CONDREN|513-621-6787|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|03/18/1996|0|0|0|0|0|0
Chicago Regional Office| 106536|801-32884|BUDROS, RUHLIN & ROE, INC.|BUDROS, RUHLIN & ROE, INC.|1650 LAKE SHORE DR STE 150||COLUMBUS OH 43204-4942|USA|||  ||RUHLIN, PEGGY M.|614-481-6900|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/26/1988|0|0|0|0|0|0
Chicago Regional Office| 106550|801-21522|JNBA FINANCIAL ADVISORS INC|JNBA FINANCIAL ADVISORS INC|8500 NORMANDALE LAKE BLVD|STE 1950|BLOOMINGTON MN 55437|USA|||  ||MERTENS, TROY JOHN|952-844-0995|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Other|APPROVED|06/29/1984|0|0|0|0|0|0
Chicago Regional Office| 106555|801-51809|WHITE OAKS WEALTH ADVISORS INC|WHITE OAKS WEALTH ADVISORS INC|IDS CENTER, 80 SOUTH EIGHTH STREET|SUITE 1725|MINNEAPOLIS MN 55402-2123|USA|||  ||KLOSTERMAN, ROBERT|612-455-6900|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|03/29/1996|0|0|0|0|0|0
Chicago Regional Office| 106563|801-41118|AEQUUS WEALTH MANAGEMENT RESOURCES, LLC|AEQUUS WEALTH MANAGEMENT RESOURCES, LLC|303 WEST ERIE STREET, STE 311||CHICAGO IL 60610|USA|||  ||MICHELLE L. MATON|312-664-4090|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|03/09/1992|0|0|0|0|0|0
Chicago Regional Office| 106567|801-30200|THE TOWNSEND GROUP|THE TOWNSEND GROUP, INC.|1660 W 2ND ST., STE 450||CLEVELAND OH 44113-1454|USA|||  ||ROSENBERG, MARTIN|(216) 781-9090|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|08/13/1987|0|0|0|0|0|0
Chicago Regional Office| 106588|801-49898|MCCABE & ASSOCIATES, INC|MCCABE & ASSOCIATES, INC|9480 ENTERPRISE DRIVE, SUITE 1||MOKENA IL 60448-8321|USA|||  ||TIMOTHY C. MCCABE|708-479-7755|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|08/11/1995|0|0|0|0|0|0
Chicago Regional Office| 106599|801-20398|PLANCORP, INC.|PLANCORP INC|540 MARYVILLE CENTRE|SUITE 105|SAINT LOUIS MO 63141|USA|||  ||FRANK, STEVEN N|636-532-7824|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/14/1984|0|0|0|0|0|0
Chicago Regional Office| 106604|801-53342|ABENS FINANCIAL SERVICES INC|ABENS FINANCIAL SERVICES INC|4920 LINCOLN DRIVE||EDINA MN 55436|USA|||  ||ABENS, JENNIFER|952-933-9650|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Other|APPROVED|12/09/1996|0|2|1|0|0|0
Chicago Regional Office| 106608|801-50232|ROSE CAPITAL|IGDALOFF BARRY|2480 COLTS NECK ROAD||BLACKLICK OH 43004|USA|P.O. BOX 317||BLACKLICK OH 43004|USA|IGDALOFF, BARRY|614-939-0166|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|10/02/1995|0|0|0|0|0|0
Chicago Regional Office| 106610|801-48430|CAPELLI FINANCIAL SERVICES INC|CAPELLI FINANCIAL SERVICES INC|40950 WOODWARD AVENUE, SUITE 140||BLOOMFIELD HILLS MI 48304-2260|USA|||  ||EVELYN N. MACINTYRE|248-594-9282|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|03/01/1995|0|0|0|0|0|0
Chicago Regional Office| 106616|801-42906|SPARROW CAPITAL MANAGEMENT INC|SPARROW CAPITAL MANAGEMENT INC|11330 OLIVE BLVD, SUITE 230||ST. LOUIS MO 63141|USA|||  ||SUZANNE BRAKE|314-725-6161|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|12/01/1992|0|0|0|0|0|0
Chicago Regional Office| 106617|801-39985|WEBB FINANCIAL GROUP, LLC|WEBB FINANCIAL GROUP, LLC|7900 XERXES AVENUE SOUTH|SUITE 1920|BLOOMINGTON MN 55431|USA|||  ||HOLMEN, CRYSTAL|952-837-3200|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/17/1991|0|0|0|0|0|0
Chicago Regional Office| 106619|801-49136|THE FINANCIAL NETWORK GROUP, LTD|THE FINANCIAL NETWORK GROUP, LTD|7890 E KEMPER ROAD, SUITE 200||CINCINNATI OH 45249|USA|||  ||JULIE SIEFERT|513-469-7500|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|04/20/1995|0|0|0|0|0|0
Chicago Regional Office| 106622|801-25427|CANTLON FINANCIAL PLANNING|CANTLON FINANCIAL PLANNING|41 W 671 BURLINGTON RD||ST CHARLES IL 60175|USA|||  ||CANTLON, MICHAEL FRANCIS|630-584-4508|Partnership|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|10/04/1985|0|0|0|0|0|0
Chicago Regional Office| 106623|801-51849|GANTZERT INVESTMENT CO., LLC|GANTZERT INVESTMENT COMPANY,L.L.C.|1000 ESSINGTON ROAD|SUITE 143|JOLIET IL 60435|USA|||  ||BOWKER,RHONDA LEA|815-773-2313|Limited Liability Company|Portfolio management for individuals and/or small businesses, Other|APPROVED|05/07/1996|0|0|0|0|0|0
Chicago Regional Office| 106632|801-17712|RAV FINANCIAL SERVICES, LLC|RAV FINANCIAL SERVICES, LLC|2000 AUBURN DRIVE|SUITE 310|BEACHWOOD OH 44122|USA|||  ||GILLIAN GRAHAM|216.831.4900|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|09/24/1982|0|0|0|0|0|0
Chicago Regional Office| 106639|801-49269|BULL GROUP ADVISORS LTD|BULL GROUP ADVISORS LTD|9435 WATERSTONE BOULEVARD|SUITE 120|CINCINNATI OH 45249-8227|USA|||  ||BROSZ, DON GAYLE|(513)573-0440|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/02/1995|0|0|0|0|0|0
Chicago Regional Office| 106649|801-50432|FRAZIER FINANCIAL ADVISORS, LLC|FRAZIER FINANCIAL ADVISORS, LLC|6025 AVERY ROAD||DUBLIN OH 43016|USA|||  ||CALLAHAN, JANE|614-793-8297|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|10/23/1995|0|0|0|0|0|0
Chicago Regional Office| 106655|801-43111|DIAMOND CAPITAL MANAGEMENT INC|DIAMOND CAPITAL MANAGEMENT INC|1320 WALDO AVENUE|SUITE 100|MIDLAND MI 48642|USA|||  ||STAFFORD, PAULA J.|989-638-1796|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/21/1993|0|0|0|0|0|0
Chicago Regional Office| 106665|801-43526|D.A. HUDSON & ASSOCIATES|D.A. HUDSON & ASSOCIATES|614 W. SUPERIOR AVENUE, SUITE 1211||CLEVELAND OH 44113|USA|||  ||HUDSON, DONALD A.|216-623-1199|Corporation|Pension consulting services, Selection of other advisers|APPROVED|03/16/1993|0|0|0|0|0|0
Chicago Regional Office| 106670|801-53726|ARBOR CAPITAL MANAGEMENT LLC|ARBOR CAPITAL MANAGEMENT LLC|ONE FINANCIAL PLAZA|120 S. 6TH STREET, STE 1000|MINNEAPOLIS MN 55402|USA|||  ||DAVID D. DEMING|612-317-2950|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/23/1997|0|0|0|0|0|0
Chicago Regional Office| 106672|801-37105|INTEGRATED FINANCIAL MANAGEMENT INC|INTEGRATED FINANCIAL MANAGEMENT INC|3400 DUNDEE ROAD, STE 200||NORTHBROOK IL 60062|USA|||  ||CHAPMAN, WHEELER E.|847-559-1991|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|08/03/1990|0|0|0|0|0|0
Chicago Regional Office| 106680|801-46436|DIVERSIFIED MANAGEMENT INC|DIVERSIFIED MANAGEMENT INC|8989 N. PORT WASHINGTON RD.|SUITE 208|MILWAUKEE WI 53217|USA|||  ||HOMAN,MARK J|414-540-2383|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|05/18/1994|0|0|0|0|0|0
Chicago Regional Office| 106682|801-46417|IRON FINANCIAL LLC|IRON FINANCIAL LLC|TWO NORTHFIELD PLAZA|SUITE 250|NORTHFIELD IL 60093|USA|||  ||LAKIN, RICHARD L|847-386-1000|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Market timing services|APPROVED|05/18/1994|0|0|0|0|0|0
Chicago Regional Office| 106689|801-48232|MENCH FINANCIAL INC|MENCH FINANCIAL INC|8280 MONTGOMERY ROAD|SUITE 201|CINCINNATI OH 45236|USA|||  ||MENCH, REBECCA JANE|513-745-5114|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|01/17/1995|0|0|0|0|0|0
Chicago Regional Office| 106691|801-38828|HYA ADVISORS, INC|HYA ADVISORS, INC|1256 E KINGSLEY ST||SPRINGFIELD MO 65804-7211|USA|||  ||SKRABA,RHONDA M|417/882-7283|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|05/16/1991|0|0|0|0|0|0
Chicago Regional Office| 106692|801-54046|NATIONAL RETIREMENT CONSULTANTS INC|NATIONAL RETIREMENT CONSULTANTS INC|223 ROSS AVENUE||HAMILTON OH 45013|USA|||  ||STALLMAN, VICKI|513-863-4015|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|03/14/1997|0|0|0|0|0|0
Chicago Regional Office| 106701|801-39071|KINNAMON & ASSOCIATES LTD II|KINNAMON & ASSOCIATES LTD II|217 N. NORTHWEST HWY||BARRINGTON IL 60010|USA|||  ||KINNAMON, LEIGH P.|847-381-1053|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|06/20/1991|0|0|0|0|0|0
Chicago Regional Office| 106702|801-47219|DEMERS FINANCIAL PLANNING|DEMERS CONSTANCE ELAINE|2929 KENNY ROAD, STE 190||COLUMBUS OH 43221|USA|||  ||DEMERS, CONNIE ELAINE|614-451-4505|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|09/19/1994|0|0|0|0|0|0
Chicago Regional Office| 106713|801-47188|TILDEN LOUCKS & WOODNORTH LLC|TILDEN LOUCKS & WOODNORTH LLC|980 NORTH MICHIGAN AVE.|SUITE 1200|CHICAGO IL 60611|USA|||  ||SCHLESSER, DANIEL JOHN|630-600-0315|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|08/15/1994|0|2|0|0|0|0
Chicago Regional Office| 106720|801-48820|DIMEO SCHNEIDER & ASSOCIATES LLC|DIMEO SCHNEIDER & ASSOCIATES LLC|500 WEST MADISON STREET|SUITE 3855|CHICAGO IL 60661-4593|USA|||  ||SCOTT C. BLIM|312-853-1000|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Other|APPROVED|03/27/1995|0|0|0|0|0|0
Chicago Regional Office| 106734|801-40234|ORION CAPITAL MANAGEMENT INC|ORION CAPITAL MANAGEMENT INC|750 GREEN BAY ROAD||WINNETKA IL 60093|USA|||  ||KYLE, JAMES W.|(847)441-0410|Corporation|Portfolio management for individuals and/or small businesses, Pension consulting services, Other|APPROVED|11/20/1991|0|0|0|0|0|0
Chicago Regional Office| 106746|801-53297|DISCIPLINED GROWTH INVESTORS INC|DISCIPLINED GROWTH INVESTORS INC|100 SOUTH FIFTH STREET, STE 2100||MINNEAPOLIS MN 55402-1227|USA|||  ||HAWKINS, LAURA JEAN|612/317-4101|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/11/1996|0|0|0|0|0|0
Chicago Regional Office| 106747|801-36840|REAL ESTATE RESEARCH CORP|REAL ESTATE RESEARCH CORP|99 EAST BREMER AVENUE||WAVERLY IA 50677-3317|USA|||  ||RIGGS, KENNETH PAUL|319-352-1500|Corporation|Pension consulting services, Publication of periodicals or newsletters|APPROVED|07/16/1990|0|0|0|0|0|0
Chicago Regional Office| 106757|801-15077|LINKER CAPITAL MANAGEMENT INC|LINKER CAPITAL MANAGEMENT INC|500 STARKS BUILDING||LOUISVILLE KY 40202-2509|USA|||  ||LINKER, STEPHEN A|502-584-3313|Corporation|Portfolio management for individuals and/or small businesses, Other|APPROVED|03/07/1980|0|0|0|0|0|0
Chicago Regional Office| 106760|801-42489|DANISON & ASSOCIATES INC|DANISON & ASSOCIATES INC|2150 TREMONT CENTER||COLUMBUS OH 43221|USA|||  ||DANISON,TRACEY MARIE|614 487-6040|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|10/16/1992|0|0|0|0|0|0
Chicago Regional Office| 106768|801-38549|CAPITAL RESOURCE MANAGEMENT,INC.|CAPITAL RESOURCE MANAGEMENT INC|770 LAKE COOK RD|SUITE 370|DEERFIELD IL 60015|USA|||  ||KOREY,SHERWIN DAVID|847-948-1700|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|04/12/1991|0|0|0|0|0|0
Chicago Regional Office| 106777|801-51444|JACOBUS WEALTH MANAGEMENT INC|JACOBUS WEALTH MANAGEMENT INC|2323 N.MAYFAIR ROAD,SUITE 240||MILWAUKEE WI 53226-1506|USA|||  ||LAPOINTE, ROBERT R.|414-475-6565|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|03/05/1996|0|0|0|0|0|0
Chicago Regional Office| 106792|801-44672|WNA WEALTH ADVISORS, INC.|WNA WEALTH ADVISORS, INC.|120 E OGDEN AVE|STE 130|HINSDALE IL 60521|USA|||  ||MCCABE, MICHAEL J|630-455-0600|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|09/03/1993|0|0|0|0|0|0
Chicago Regional Office| 106797|801-37037|FORTALEZA ASSET MANAGEMENT INC|FORTALEZA ASSET MANAGEMENT INC|30 NORTH LASALLE STREET|SUITE 1526|CHICAGO IL 60602|USA|||  ||DIANA M. ILLYAS|312-621-6111|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/27/1990|0|0|0|0|0|0
Chicago Regional Office| 106804|801-52260|NOTTINGHILL INVESTMENT ADVISERS, LTD|NOTTINGHILL INVESTMENT ADVISERS LTD|SOUTHAMPTON SQUARE|7414 JAGER COURT|CINCINNATI OH 45230-4344|USA|||  ||DOUGLAS G. MCPEEK|5136243000|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/25/1996|0|0|0|0|0|0
Chicago Regional Office| 106805|801-42770|NORTHWEST FINANCIAL SERVICES INC|NORTHWEST FINANCIAL SERVICES INC|9333 N MERIDIAN ST|STE 230|INDIANAPOLIS IN 46260|USA|||  ||RENO, KATHLEEN E|317-844-0448|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|12/29/1992|0|0|0|0|0|0
Chicago Regional Office| 106806|801-37738|FINANCIAL MANAGEMENT PARTNERS|FINANCIAL MANAGEMENT PARTNERS|8001 FORSYTH BLVD.|2ND FLOOR|ST LOUIS MO 63105|USA|||  ||HAUCK, LISA YVONNE|314-862-5190|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|12/14/1990|0|0|0|0|0|0
Chicago Regional Office| 106807|801-49383|PARAGON ADVISORS LLC|PARAGON ADVISORS LLC|1730 PARK STREET, SUITE 100||NAPERVILLE IL 60563|USA|||  ||GREGORY S. DE JONG|630-357-2224|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|06/12/1995|0|0|0|0|0|0
Chicago Regional Office| 106810|801-48394|MUNDER CAPITAL MANAGEMENT|MUNDER CAPITAL MANAGEMENT|480 PIERCE STREET||BIRMINGHAM MI 48009|USA|||  ||MARY ANN C. SHUMAKER|248-647-9200|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/27/1995|0|0|1|0|0|0
Chicago Regional Office| 106814|801-40023|MEEDER ADVISORY SERVICES, INC|MEEDER ADVISORY SERVICES, INC|6125 MEMORIAL DR||DUBLIN OH 43017|USA|P. O. BOX 7177||DUBLIN OH 43017|USA|ROBERT S. MEEDER, JR.|614-766-7000|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies|APPROVED|10/23/1991|0|0|0|0|0|0
Chicago Regional Office| 106815|801-43496|NACKERS & ASSOCIATES, INC.|NACKERS & ASSOCIATES, INC.|13160 WEST BURLEIGH RD||BROOKFIELD WI 53005|USA|||  ||THOMAS H. NACKERS|262-783-0607|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/31/1993|0|0|0|0|0|0
Chicago Regional Office| 106816|801-37125|PRODUCTIVE PORTFOLIOS, INC.|PRODUCTIVE CAPITAL MANAGEMENT INC|20545 CENTER RIDGE RD|STE 410|ROCKY RIVER OH 44116|USA|||  ||SCANLON, WILLIAM PEYTON|440-356-8996|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|08/06/1990|0|0|0|0|0|0
Chicago Regional Office| 106817|801-51715|PINNACLE WEALTH PLANNING SERVICES, INC.|PINNACLE WEALTH PLANNING SERVICES, INC.|6 WEST 3RD ST.|STE 100|MANSFIELD OH 44902|USA|||  ||HENDERSON, JENNIFER|419-526-5226|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/30/1996|0|1|0|0|0|0
Chicago Regional Office| 106822|801-54107|STERLING CAPITAL MANAGEMENT INC|STERLING CAPITAL MANAGEMENT INC|1801 JENNIFER LANE||WAUKESHA WI 53186|USA|||  ||PORTZ, THOMAS JOHN|262-970-9700|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|03/24/1997|0|0|0|0|0|0
Chicago Regional Office| 106838|801-34910|UBS GLOBAL ASSET MANAGEMENT (AMERICAS) INC.|UBS GLOBAL ASSET MANAGEMENT (AMERICAS) INC.|ONE NORTH WACKER DRIVE||CHICAGO IL 60606|USA|||  ||KEMPER, MARK F.|(312)525-7138|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/11/1989|0|4|0|0|0|0
Chicago Regional Office| 106845|801-53258|HAMMOND ASSOCIATES|HAMMOND ASSOCIATES INSTITUTIONAL FUND CONSULTANTS INC|101 S. HANLEY|SUITE 300|ST. LOUIS MO 63105|USA|||  ||ROBERT E. ROBINSON|314-746-1600|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters, Other|APPROVED|11/08/1996|0|0|0|0|0|0
Chicago Regional Office| 106860|801-44142|VOELLINGER, SIMPSON, DOLAN & ASSOCIATES, P.C.|VOELLINGER, SIMPSON, DOLAN & ASSOCIATES, P.C.|4010 N ILLINOIS STREET, SUITE 3||BELLEVILLE IL 62226|USA|||  ||JOHNSON, CAROL I|(618)233-8515|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|06/18/1993|0|0|0|0|0|0
Chicago Regional Office| 106895|801-33041|PDS PLANNING INC|PDS PLANNING INC|1621 W FIRST AVE||COLUMBUS OH 43212|USA|||  ||COCHRAN, ROBERT A|614-481-8449|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/13/1988|0|0|0|0|0|0
Chicago Regional Office| 106905|801-53289|FOSTER & MOTLEY INC|FOSTER & MOTLEY INC|6725 MIAMI AVENUE|SUITE 200|CINCINNATI OH 45243|USA|||  ||ELIZABETH M. GREEN|513-561-6640|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/18/1996|0|0|0|0|0|0
Chicago Regional Office| 106923|801-36627|HARTLINE INVESTMENT CORPORATION|HARTLINE INVESTMENT CORPORATION|211 W. WACKER DRIVE|SUITE 1600|CHICAGO IL 60606|USA|||  ||LIPFORD, RALPH JOHN|312-726-5915|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/18/1990|0|0|0|0|0|0
Chicago Regional Office| 106925|801-30496|RAO INVESTMENT MANAGEMENT|RAO BHARATHI|1214 WINSTON DR||JACKSON MI 49203|USA|||  ||RAO, BHARATHI|517-7874058|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|09/24/1987|0|0|0|0|0|0
Chicago Regional Office| 106937|801-40961|HARRINGTON ASSET MANAGEMENT INC|HARRINGTON ASSET MANAGEMENT INC|6099 RIVERSIDE DRIVE, SUITE 104||DUBLIN OH 43017-2004|USA|||  ||LYNCH, SUSAN HEYWOOD|614-798-1345|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/27/1992|0|0|0|0|0|0
Chicago Regional Office| 106938|801-49623|JEANETTE FRANCES TERRY|TERRY JEANETTE FRANCES|1525 HANNA ROAD||VALLEY PARK MO 63088|USA|||  ||TERRY, JEANETTE FRANCES|636-225-8205|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|07/11/1995|0|0|0|0|0|0
Chicago Regional Office| 106940|801-41316|WINSLOW CAPITAL MANAGEMENT INC|WINSLOW CAPITAL MANAGEMENT INC|4720 IDS TOWER|80 S 8TH ST|MINNEAPOLIS MN 55402|USA|||  ||BAILLON, JEAN ANDREA|(612) 376-9100|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/22/1992|0|0|0|0|0|0
Chicago Regional Office| 106946|801-10677|BEADELL A D INVESTMENT COUNSEL INC|BEADELL A D INVESTMENT COUNSEL INC|10224 N PORT WASHINGTON ROAD||MEQUON WI 53092|USA|||  ||BEADELL, ANTHONY DIRK|262-241-0331|Corporation|Portfolio management for individuals and/or small businesses, Other|APPROVED|04/04/1975|0|0|0|0|0|0
Chicago Regional Office| 106950|801-51066|CORNERSTONE WEALTH MANAGEMENT|DAGCO, INC.|835 SHARON DRIVE|SUITE 280|WESTLAKE OH 44145-7703|USA|||  ||KAYE E. O'BOYLE|440-899-4000|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|02/01/1996|0|0|0|0|0|0
Chicago Regional Office| 106956|801-33091|FIDUCIARY CONSULTANTS INC|FIDUCIARY CONSULTANTS INC|12444 POWERSCOURT DRIVE|SUITE 200|ST. LOUIS MO 63131|USA|||  ||BRIAN GODING|314-822-4444|Corporation|Pension consulting services, Selection of other advisers|APPROVED|09/01/1988|0|5|0|0|0|0
Chicago Regional Office| 106958|801-50964|ALEX GREEN INVESTMENT MANAGEMENT LLC|ALEX GREEN INVESTMENT MANAGEMENT LLC|10 SOUTH RIVERSIDE PLAZA #1800||CHICAGO IL 60606|USA|580 STANDISH DRIVE||DEERFIELD IL 60015|USA|ALEX GREEN|312-474-7737|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/05/1996|0|1|0|0|0|0
Chicago Regional Office| 106960|801-50333|HARRIS ASSOCIATES LP|HARRIS ASSOCIATES LP|TWO NORTH LASALLE STREET, STE 500||CHICAGO IL 60602-3790|USA|||  ||GRIMM, SARAH E.|312-621-0628|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|09/29/1995|0|8|1|0|0|0
Chicago Regional Office| 106967|801-38594|INVESTMENT CONSULTING GROUP INC|INVESTMENT CONSULTING GROUP INC|5117 JERSEY RIDGE ROAD, SUITE 1||DAVENPORT IA 52807|USA|||  ||STANFORTH, DONALD R|563-322-2322|Corporation|Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|01/31/1991|0|0|0|0|0|0
Chicago Regional Office| 106974|801-49007|PENNANT MANAGEMENT INC|PENNANT MANAGEMENT INC|11270 WEST PARK PLACE|SUITE 1025|MILWAUKEE WI 53224|USA|||  ||MCAFEE, LAUREN|630-810-4530|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters, Other|APPROVED|04/01/1995|0|0|0|0|0|0
Chicago Regional Office| 106976|801-16412|SEGER ELVEKROG INC|SEGER ELVEKROG INC|33 BLOOMFIELD HILLS PARKWAY|STE 270|BLOOMFIELD HILLS MI 48304|USA|||  ||HORSBURGH, SCOTT|248-642-3100|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/14/1981|0|0|0|0|0|0
Chicago Regional Office| 106992|801-37622|CHAPMAN CAPITAL MANAGEMENT GROUP INC|CHAPMAN CAPITAL MANAGEMENT GROUP INC|17450 SHURMER ROAD||STRONGSVILLE OH 44136|USA|P.O. BOX 360166||STRONGSVILLE OH 44136|U.S.|CHAPMAN, WILLIAM N|(440) 572-5733|Corporation|Portfolio management for individuals and/or small businesses, Other|APPROVED|10/26/1990|0|0|0|0|0|0
Chicago Regional Office| 106999|801-51842|ST. LOUIS FINANCIAL PLANNERS ASSET MANAGEMENT, LLC|ST. LOUIS FINANCIAL PLANNERS ASSET MANAGEMENT, LLC|1415 ELBRIDGE PAYNE ROAD|SUITE 140|CHESTERFIELD MO 63017|USA|||  ||DEBRA M. HOFER|636-532-3900|Limited Liability Company|Portfolio management for individuals and/or small businesses, Selection of other advisers, Market timing services|APPROVED|05/07/1996|0|0|0|0|0|0
Chicago Regional Office| 107003|801-8825|CAMPBELL NEWMAN ASSET MANAGEMENT INC|CAMPBELL NEWMAN ASSET MANAGEMENT INC|12080 N. CORPORATE PARKWAY|SUITE 130|MEQUON WI 53092|USA|||  ||MARY CAMPBELL BROWN|262-243-7000|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/26/1972|0|0|0|0|0|0
Chicago Regional Office| 107010|801-36574|KOPP INVESTMENT ADVISORS|KOPP INVESTMENT ADVISORS, LLC|7701 FRANCE AVENUE SOUTH|SUITE 500|EDINA MN 55435|USA|||  ||FLAKNE, JOHN PAUL|952-841-0400|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/10/1990|0|0|2|0|0|0
Chicago Regional Office| 107016|801-9646|KOCH RICHARD A & CO INC|KOCH RICHARD A & CO INC|W175 N11117 STONEWOOD DR #202||GERMANTOWN WI 53022|USA|||  ||ROLLI, BRENDA LYNN|262-257-2000|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|11/16/1973|0|0|0|0|0|0
Chicago Regional Office| 107027|801-39950|FIRST TRUST ADVISORS LP|FIRST TRUST ADVISORS LP|1001 WARRENVILLE ROAD|SUITE 300|LISLE IL 60532|USA|||  ||JARDINE, WILLIAM SCOTT|630-241-8798|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters, Security ratings or pricing services|APPROVED|10/04/1991|0|0|0|0|0|0
Chicago Regional Office| 107028|801-45963|TOUCHSTONE ADVISORS INC|TOUCHSTONE ADVISORS INC|303 BROADWAY|SUITE 1100|CINCINNATI OH 45202|USA|||  ||HIRSCH, BRIAN|513-362-8144|Corporation|Portfolio management for investment companies|APPROVED|02/28/1994|0|1|0|0|0|0
Chicago Regional Office| 107034|801-42639|DIGIOVINE HNILO JORDAN & JOHNSON FINANCIAL ADVISORS LTD|DIGIOVINE HNILO JORDAN & JOHNSON FINANCIAL ADVISORS LTD|184 SHUMAN BOULEVARD|SUITE 200|NAPERVILLE IL 60563|USA|||  ||PAUL ANTHONY MINTA|630-420-1360|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|11/13/1992|0|0|1|0|0|0
Chicago Regional Office| 107044|801-39831|LIVINGSTON & JEFFERSON INC|LIVINGSTON & JEFFERSON INC|442 CAREW TOWER 441 VINE STREET||CINCINNATI OH 45202-2813|USA|||  ||EVANS,HENRY PREWITT|513-852-8160|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/12/1991|0|0|0|0|0|0
Chicago Regional Office| 107045|801-30081|ALBANESE HEMSLEY & TUSSING LTD|ALBANESE HEMSLEY & TUSSING LTD|560 GREEN BAY RD|SUITE 101|WINNETKA IL 60093-2238|USA|||  ||TUSSING, JANET|847-446-3636|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|07/24/1987|0|0|0|0|0|0
Chicago Regional Office| 107050|801-53728|DEERFIELD CAPITAL MANAGEMENT LLC|DEERFIELD CAPITAL MANAGEMENT LLC|6250 N. RIVER ROAD|9TH FLOOR|ROSEMONT IL 60018|USA|||  ||JODIE LEAHEY|773-380-1694|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/28/1997|0|0|0|0|0|0
Chicago Regional Office| 107051|801-33188|GEI FINANCIAL SERVICES, INC.|GEI FINANCIAL SERVICES INC|ONE IBM PLAZA, 330 N. WABASH|SUITE 2600|CHICAGO IL 60611|USA|||  ||GATHERUM, LAURIE G.|312-670-4434|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|11/03/1988|0|0|0|0|0|0
Chicago Regional Office| 107066|801-35529|OAK RIDGE INVESTMENTS, LLC|OAK RIDGE INVESTMENTS, LLC|10 SOUTH LASALLE STREET|SUITE 1900|CHICAGO IL 60603|USA|||  ||ALAN E. MOLOTSKY|312-857-1040|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/08/1989|0|2|0|0|0|0
Chicago Regional Office| 107072|801-38106|CUSTER MANAGEMENT INC DBA LEVEL PARTNERS|CUSTER MANAGEMENT INC|14 SOUTH HIGH STREET||NEW ALBANY OH 43054|USA|||  ||MARTHA KASHNER|614-855-9980|Corporation|Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|01/14/1991|0|0|0|0|0|0
Chicago Regional Office| 107075|801-42460|APEX CAPITAL MANAGEMENT,INC.,|APEX CAPITAL MANAGEMENT,INC.,|8163 OLD YANKEE ROAD, SUITE E||DAYTON OH 45458|USA|||  ||MICHAEL D.KALBFLEISCH|937-428-9222|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/05/1992|0|0|0|0|0|0
Chicago Regional Office| 107078|801-42655|JAMES CAPITAL ALLIANCE INC|JAMES CAPITAL ALLIANCE INC|1349 FAIRGROUND ROAD||XENIA OH 45385|USA|P.O. BOX 12||ALPHA OH 45301-0012|USA|LESLEY DAWN HOWELL|937-429-7384|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/06/1992|0|0|0|0|0|0
Chicago Regional Office| 107091|801-50786|EFG, INC.|EVERHART FINANCIAL GROUP INC|5890 VENTURE DRIVE|SUITE D|DUBLIN OH 43017|USA|||  ||ROMEO, MATTHEW J.|614-717-9705|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|12/21/1995|0|0|0|0|0|0
Chicago Regional Office| 107097|801-50636|STEELE CAPITAL MANAGEMENT, INC.|STEELE CAPITAL MANAGEMENT, INC.|788 MAIN ST||DUBUQUE IA 52001|USA|||  ||MORAN, KATHRYN|563-588-2097|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|11/17/1995|0|1|0|0|0|0
Chicago Regional Office| 107101|801-25232|SAINT LOUIS INVESTMENT ADVISORS INC|SAINT LOUIS INVESTMENT ADVISORS INC|1701 GOLFVIEW DRIVE||COLLINSVILLE IL 62234|USA|||  ||DAVIS, CLARK G|618-344-5808|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/30/1985|0|0|0|0|0|0
Chicago Regional Office| 107111|801-43859|LINDAHL & MANSAGER INC|LINDAHL & MANSAGER INC|3075 SMITH ROAD, SUITE #103||FAIRLAWN OH 44333|USA|||  ||LINDAHL, NORMAN ALLAN|300-665-0655|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/03/1993|0|0|0|0|0|0
Chicago Regional Office| 107114|801-38031|MARK BELL ADVISORY SERVICES, INC.|MARK BELL ADVISORY SERVICES, INC.|401 N MICHIGAN AVE|SUITE 1200|CHICAGO IL 60611|USA|||  ||BELL, ROBERT MARK|312 840 8265|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|12/10/1990|0|0|0|0|0|0
Chicago Regional Office| 107126|801-37235|FORT WASHINGTON INVESTMENT ADVISORS INC|FORT WASHINGTON INVESTMENT ADVISORS INC|303 BROADWAY|SUITE 1200|CINCINNATI OH 45202|USA|P.O. BOX 2388||CINCINNATI OH 45201-2388|USA|HAWKINS, MICHELE|(513) 361-7652|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|09/14/1990|0|0|1|0|0|0
Chicago Regional Office| 107134|801-48252|HEITMAN REAL ESTATE SECURITIES LLC|HEITMAN REAL ESTATE SECURITIES LLC|191 NORTH WACKER DRIVE|SUITE 2500|CHICAGO IL 60606-1615|USA|||  ||LYNN,NANCY B|(312) 849-4153|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/24/1995|0|0|0|0|0|0
Chicago Regional Office| 107146|801-50832|DEFINED CONTRIBUTION ADVISORS INC|DEFINED CONTRIBUTION ADVISORS INC|6385 OLD SHADY OAK ROAD|SUITE 280|MINNEAPOLIS MN 55344-7736|USA|||  ||TOBEY, LISA|(952) 358-3405|Corporation|Pension consulting services, Other|APPROVED|12/13/1995|0|0|0|0|0|0
Chicago Regional Office| 107147|801-48435|ARTISAN PARTNERS LIMITED PARTNERSHIP|ARTISAN PARTNERS LIMITED PARTNERSHIP|875 E. WISCONSIN AVENUE|SUITE 800|MILWAUKEE WI 53202|USA|||  ||OLSEN, JANET D.|414/390-6100|Partnership|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/07/1995|0|0|0|0|0|0
Chicago Regional Office| 107148|801-38507|FOSTER GROUP, INC.|FOSTER GROUP, INC.|1001 GRAND AVE||WEST DES MOINES IA 50265-3502|USA|||  ||STADTLANDER, MARK A|515-226-9000|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/30/1991|0|0|0|0|0|0
Chicago Regional Office| 107149|801-40779|INSTITUTIONAL CAPITAL LLC|INSTITUTIONAL CAPITAL LLC|225 W WACKER DR,SUITE 2400||CHICAGO IL 60606|USA|||  ||CONROY, PAMELA H|312-424-9100|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/10/1992|0|38|4|0|0|0
Chicago Regional Office| 107161|801-49120|SUMMIT STRATEGIES GROUP|SUMMIT STRATEGIES INC|8182 MARYLAND AVE, 6TH FLOOR||ST LOUIS MO 63105|USA|||  ||HAYDEN, TIMOTHY A.|314-727-7211|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|05/11/1995|0|0|0|0|0|0
Chicago Regional Office| 107171|801-46751|FIDUCIARY ASSET MANAGEMENT, L.L.C.|FIDUCIARY ASSET MANAGEMENT, L.L.C.|8112 MARYLAND AVENUE, STE 400||ST. LOUIS MO 63105|USA|||  ||STEINER, SUSAN|(314)446-6745|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/16/1994|0|0|0|0|0|0
Chicago Regional Office| 107173|801-20303|VOYAGEUR ASSET MANAGEMENT INC.|VOYAGEUR ASSET MANAGEMENT INC.|100 SOUTH FIFTH STREET|SUITE 2300|MINNEAPOLIS MN 55402-1240|USA|||  ||CINDY LINBERGER|612-376-7086|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|12/27/1983|0|0|0|0|0|0
Chicago Regional Office| 107178|801-40373|STARFIRE INVESTMENT ADVISERS INC|STARFIRE INVESTMENT ADVISERS INC|3000 TOWN CENTER, SUITE 2235||SOUTHFIELD MI 48075-1159|USA|||  ||HUMENNY, RONALD W|248-352-2211|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/10/1992|0|0|1|0|0|0
Chicago Regional Office| 107184|801-41521|SACHEM INVESTMENT COUNSEL INC|SACHEM INVESTMENT COUNSEL INC|3550 LANDER ROAD|STE 160|PEPPER PIKE OH 44124|USA|||  ||ANDERSON, BYRON|2165910988|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/10/1992|0|0|0|0|0|0
Chicago Regional Office| 107218|801-47181|GALECKI FINANCIAL MANAGEMENT INC|GALECKI FINANCIAL MANAGEMENT INC|7743 WEST JEFFERSON BLVD||FORT WAYNE IN 46804|USA|||  ||GALECKI,GREG M|260-436-8525|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Publication of periodicals or newsletters|APPROVED|08/01/1994|0|0|0|0|0|0
Chicago Regional Office| 107219|801-49585|SJS INVESTMENT CONSULTING INC|SJS INVESTMENT CONSULTING INC|6711 MONROE ST,BUILDING 4,SUITE A||SYLVANIA OH 43560|USA|||  ||KELLY,KEVIN T|419-885-2626|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/03/1995|0|0|0|0|0|0
Chicago Regional Office| 107226|801-38979|KENSINGTON REALTY ADVISORS INC|KENSINGTON REALTY ADVISORS INC|100 N. RIVERSIDE PLAZA|SUITE 2300|CHICAGO IL 60606-1519|USA|||  ||WRIGHT,CATHERINE ANN|312-993-7800|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|06/07/1991|0|0|0|0|0|0
Chicago Regional Office| 107230|801-22384|CORNERSTONE CAPITAL ADVISORS|MBS FINANCIAL PLANNING SERVICES, INC|1507 BOETTLER ROAD|SUITE G|UNIONTOWN OH 44685|USA|||  ||FEARIGO, MARK W|330-896-6250|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|11/02/1984|0|0|0|0|0|0
Chicago Regional Office| 107247|801-40060|JPMORGAN ASSET MANAGEMENT|JPMORGAN INVESTMENT ADVISORS INC.|1111 POLARIS PKWY|STE B2|COLUMBUS OH 43240|USA|1111 POLARIS PARKWAY|PO BOX 710211|COLUMBUS OH 43271|USA|JOSEPH J. BERTINI|212-648-1787|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|11/22/1991|0|6|26|0|0|0
Chicago Regional Office| 107269|801-40783|PPM AMERICA INC|PPM AMERICA, INC.|225 WEST WACKER DRIVE|SUITE 1200|CHICAGO IL 60606|USA|||  ||WESTON B. WETHERELL|(312) 634-2566|Corporation|Other, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/20/1992|0|0|0|0|0|0
Chicago Regional Office| 107271|801-43144|SAVANT CAPITAL MANAGEMENT, INC.|SAVANT CAPITAL MANAGEMENT INC|190 BUCKLEY DRIVE||ROCKFORD IL 61107|USA|||  ||SCOTT KAISER|815-227-0300|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|01/22/1993|0|1|0|0|0|0
Chicago Regional Office| 107283|801-39851|LIPPER ADVISORY SERVICES INC|LIPPER ADVISORY SERVICES INC|100 EAST WISCONSIN AVE., STE. 2500||MILWAUKEE WI 53202|USA|||  ||A. MICHAEL LIPPER|908-273-2454|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|09/16/1991|0|0|0|0|0|0
Chicago Regional Office| 107284|801-51952|MCNELLIS & BJORK LTD|MCNELLIS & BJORK LTD|8500 NORMANDALE LAKE BOULEVARD|SUITE 2160|BLOOMINGTON MN 55437-1085|USA|||  ||SATORU ASATO|952-548-3130|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|05/28/1996|0|0|0|0|0|0
Chicago Regional Office| 107296|801-14813|DUFF & PHELPS INVESTMENT MANAGEMENT CO.|DUFF & PHELPS INVESTMENT MANAGEMENT CO.|55 EAST MONROE STREET|SUITE 3600|CHICAGO IL 60603|USA|||  ||JOYCE RIEGEL|312-630-4641|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/02/1979|0|3|4|0|0|0
Chicago Regional Office| 107310|801-35684|PEKIN SINGER STRAUSS ASSET MANAGEMENT INC.|PEKIN SINGER STRAUSS ASSET MANAGEMENT INC.|21 S CLARK STREET, SUITE 3325||CHICAGO IL 60603-2092|USA|||  ||ALAN ZABLE|312-554-7525|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/29/1989|0|0|0|0|0|0
Chicago Regional Office| 107313|801-45153|NISA INVESTMENT ADVISORS, L.L.C.|NISA INVESTMENT ADVISORS, L.L.C.|150 NORTH MERAMEC AVENUE, SUITE 640||ST. LOUIS MO 63105-3753|USA|||  ||WILLIAM J. MARSHALL|314-721-1900|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/17/1993|0|0|0|0|0|0
Chicago Regional Office| 107316|801-44694|EUBEL BRADY & SUTTMAN ASSET MANAGEMENT INC|EUBEL BRADY & SUTTMAN ASSET MANAGEMENT INC|7777 WASHINGTON VILLAGE DR|SUITE 210|DAYTON OH 45459-3976|USA|||  ||DAVID K. RAY|(937) 291-1223|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|09/09/1993|0|0|0|0|0|0
Chicago Regional Office| 107337|801-26952|MONEY WATCH ADVISORS INC|MONEYWATCH ADVISORS INC|2692 RICHMOND ROAD||LEXINGTON KY 40509|USA|||  ||JENNIFER OWENS|859-268-1117|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|05/15/1986|0|0|0|0|0|0
Chicago Regional Office| 107339|801-41524|FOURTH STREET PERFORMANCE PARTNERS, INC.|FOURTH STREET PERFORMANCE PARTNERS, INC.|211 GARRARD STREET||COVINGTON KY 41011|USA|||  ||KENNETH DORGER|859 491-5556|Corporation|Pension consulting services, Selection of other advisers|APPROVED|06/17/1992|0|0|0|0|0|0
Chicago Regional Office| 107348|801-50364|SKA FINANCIAL SERVICES,INC.|SKA FINANCIAL SERVICES,INC.|22725 FAIRVIEW CENTER DR #100||FAIRVIEW PARK OH 44126|USA|||  ||RUSSEL B WALCHER|440-734-3200|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|09/25/1995|0|0|0|0|0|0
Chicago Regional Office| 107357|801-31398|ARCH ASSET MANAGEMENT INC|ARCH ASSET MANAGEMENT INC|3300 EDINBOROUGH WAY,STE 500||EDINA MN 55435|USA|||  ||BARBARA SCHNEIDER|952-893-9805|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|03/10/1988|0|0|0|0|0|0
Chicago Regional Office| 107366|801-45262|CORNERSTONE|CORNERSTONE CAPITAL MANAGEMENT INC|7101 WEST 78TH STREET, SUITE 201||BLOOMINGTON MN 55439|USA|||  ||ANDREW S. WYATT|(952) 224-7071|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/10/1993|0|0|0|0|0|0
Chicago Regional Office| 107375|801-41453|DAWSON WEALTH MANAGEMENT|DAWSON RUSSELL INC.|1340 DEPOT ST||CLEVELAND OH 44116|USA|||  ||JOSEPH P. HEIDER|(440) 333-9000|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/11/1992|0|0|0|0|0|0
Chicago Regional Office| 107377|801-42259|WILLIAM MACK & ASSOCIATES INC|WILLIAM MACK & ASSOCIATES INC|1301 W. LONG LAKE RD., SUITE 115||TROY MI 48098|USA|||  ||THEODORE K. BUGENSKI|248-643-4310|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|09/03/1992|0|0|0|0|0|0
Chicago Regional Office| 107391|801-46069|REAMS ASSET MANAGEMENT CO LLC|REAMS ASSET MANAGEMENT CO LLC|227 WASHINGTON STREET||COLUMBUS IN 47201|USA|P.O. BOX 727||COLUMBUS IN 47202-0727|USA|DAVID B. MCKINNEY|(812) 372-6606|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/23/1994|0|0|0|0|0|0
Chicago Regional Office| 107397|801-40182|UNITED AMERICAN CAPITAL CORP|UNITED AMERICAN CAPITAL CORP|75 E WILSON BRIDGE ROAD|SUITE C-2|WORTHINGTON OH 43085|USA|||  ||DENNIS V. YACOBOZZI|614-885-7596|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|11/19/1991|0|0|0|0|0|0
Chicago Regional Office| 107416|801-48601|WILLIAM BLAIR CAPITAL PARTNERS, L.L.C.|WILLIAM BLAIR CAPITAL PARTNERS, L.L.C.|222 WEST ADAMS STREET||CHICAGO IL 60606|USA|||  ||SMIRL, RICHARD|312-364-8921|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/10/1995|0|1|0|0|0|0
Chicago Regional Office| 107420|801-52123|FRONTEGRA ASSET MANAGEMENT INC|FRONTEGRA ASSET MANAGEMENT INC|400 SKOKIE BLVD, SUITE 500||NORTHBROOK IL 60062|USA|||  ||ELYCE DILWORTH|847-509-9860|Corporation|Portfolio management for investment companies, Selection of other advisers|APPROVED|06/07/1996|0|0|0|0|0|0
Chicago Regional Office| 107425|801-44188|BERNO FINANCIAL MANAGEMENT INC|BERNO FINANCIAL MANAGEMENT INC|7454 JAGER COURT||CINCINNATI OH 45230-4344|USA|||  ||DONNA L. ELLIS|513-474-9191|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters, Other|APPROVED|06/22/1993|0|0|0|0|0|0
Chicago Regional Office| 107444|801-50190|COURTLAND PARTNERS LTD|COURTLAND PARTNERS LTD|200 PUBLIC SQUARE|SUITE 2530|CLEVELAND OH 44114|USA|||  ||MICHAEL J. HUMPHREY|216.522.0330|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|09/27/1995|0|0|0|0|0|0
Chicago Regional Office| 107446|801-42738|NVNG INVESTMENTS INC|NVNG INVESTMENTS INC|7950 MOORSBRIDGE RD||KALAMAZOO MI 49024|USA|||  ||ROBERT W. HUISKAMP|269-329-2422|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/09/1992|0|0|0|0|0|0
Chicago Regional Office| 107447|801-42566|E. S. BARR & COMPANY|BARR E S & CO|1999 RICHMOND ROAD|SUITE 1B|LEXINGTON KY 40502|USA|||  ||SHANNON BRADBURY|859-266-1300|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/08/1993|0|0|0|0|0|0
Chicago Regional Office| 107462|801-55485|WINDSOR FINANCIAL GROUP LLC|WINDSOR FINANCIAL GROUP LLC|225 SOUTH 6TH STREET|SUITE 3800|MINNEAPOLIS MN 55402|USA|||  ||MARY SCHUH|612-347-7969|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/24/1998|0|1|0|0|0|0
Chicago Regional Office| 107480|801-46803|STEGNER INVESTMENT ASSOCIATES INC|STEGNER INVESTMENT ASSOCIATES INC|233 BRECKENRIDGE LANE||LOUISVILLE KY 40207|USA|||  ||TRACEY G TROSPER|502-895-0122|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/05/1994|0|0|0|0|0|0
Chicago Regional Office| 107489|801-43618|RUGGAARD & ASSOCIATES, INC.|RUGGAARD & ASSOCIATES INC|2196 E ENTERPRISE PARKWAY||TWINSBURG OH 44087|USA|||  ||RANDALL RUGGAARD|330-487-5888|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|03/31/1993|0|0|0|0|0|0
Chicago Regional Office| 107498|801-51382|ABG INVESTMENT SERVICES INC|ABG INVESTMENT SERVICES INC|201 EAST CLARK||ALBERT LEA MN 56007|USA|PO BOX 1206||ALBERT LEA MN 56007|USA|JAN HOIUM|507-377-2919|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|02/29/1996|0|0|0|0|0|0
Chicago Regional Office| 107500|801-52182|INDEPENDENT FINANCIAL ADVISORS INC|INDEPENDENT FINANCIAL ADVISORS INC|3109 HENNEPIN AVE S||MINNEAPOLIS MN 55408|USA|||  ||ROBERT SCHOENECKER|612-822-2794|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/11/1996|0|0|0|0|0|0
Chicago Regional Office| 107513|801-39116|MARTIN CAPITAL MANAGEMENT, LLP|MARTIN CAPITAL MANAGEMENT LLP|300 NIBCO PARKWAY|STE 301|ELKHART IN 46516|USA|||  ||TODD B. MARTIN|574-293-2077|Limited Liability Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/27/1991|0|0|0|0|0|0
Chicago Regional Office| 107517|801-23944|SYM FINANCIAL ADVISORS|SYM FINANCIAL CORP.|100 CAPITAL DRIVE||WARSAW IN 46582|USA|||  ||NEIL M. DONAHOE|574-267-2300|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|05/15/1985|0|0|0|0|0|0
Chicago Regional Office| 107528|801-51396|OHIO NATIONAL INVESTMENTS INC|OHIO NATIONAL INVESTMENTS INC|ONE FINANCIAL WAY||MONTGOMERY OH 45242|USA|||  ||CHRISTOPHER A. CARLSON|513-794-6403|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies|APPROVED|04/02/1996|0|0|0|0|0|0
Chicago Regional Office| 107538|801-42031|MUTUAL FUND MANAGEMENT CO|MUTUAL FUND MANAGEMENT CO|888 W BIG BEAVER|STE 890|TROY MI 48084|USA|||  ||SANDRA MILKE|248-635-1155|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/06/1992|0|0|0|0|0|0
Chicago Regional Office| 107571|801-42110|AXIA ADVISORY CORP|AXIA ADVISORY CORP|10293 N. MERIDIAN ST.|SUITE 275|INDIANAPOLIS IN 46290|USA|||  ||KEITH L. SHADRICK|317-630-2800|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|08/11/1992|0|0|0|0|0|0
Chicago Regional Office| 107574|801-39372|ASSET CONSULTING GROUP, INC.|ASSET CONSULTING GROUP, INC.|231 SOUTH BEMISTON AVENUE|14TH FLOOR|ST. LOUIS MO 63105|USA|||  ||DONALD J. MUETH|314-862-4848|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|06/20/1991|0|0|0|0|0|0
Chicago Regional Office| 107577|801-43575|KINGSTON INVESTMENT COUNSEL INC|KINGSTON INVESTMENT COUNSEL INC|6674 EDGEWOOD DRIVE||BURLINGTON KY 41005|USA|||  ||WILLIAM J SNIDER|8595866662|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/23/1993|0|0|0|0|0|0
Chicago Regional Office| 107578|801-53966|ALPHA INVESTMENT MANAGEMENT|ALPHA INVESTMENT MANAGEMENT|2245 GILBERT AVE|SUITE 205|CINCINNATI OH 45206|USA|||  ||ARTHUR J MINTON|5136219400|Corporation|Portfolio management for individuals and/or small businesses, Pension consulting services, Market timing services|APPROVED|09/26/2005|0|0|0|0|0|0
Chicago Regional Office| 107581|801-53157|PORTFOLIO ANALYTICS INC|PORTFOLIO ANALYTICS INC|26877 NORTHWESTERN HIGHWAY|SUITE 300|SOUTHFIELD MI 48033-8417|USA|||  ||SEAN C. JORDAN|248-357-3990|Corporation|Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers, Other|APPROVED|10/25/1996|0|0|0|0|0|0
Chicago Regional Office| 107593|801-46376|MERIDIAN INVESTMENT ADVISORS, INC.|MERIDIAN INVESTMENT ADVISORS, INC.|501 PENNSYLVANIA PARKWAY|155|INDIANAPOLIS IN 46280|USA|||  ||PATRICK J. BURLEY|317-573-5257|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|05/31/1994|0|0|0|0|0|0
Chicago Regional Office| 107596|801-45047|NETWORTH ADVISORS|M FINANCIAL NETWORK INC|999 HOME PLAZA, SUITE 200||WATERLOO IA 50701|USA|PO BOX 1230||WATERLOO IA 50704|USA|THOMAS J. BARBATTI|319-232-5500|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|11/17/1993|0|0|0|0|0|0
Chicago Regional Office| 107600|801-42564|BRICK CAPITAL MANAGEMENT INC|BRICK CAPITAL MANAGEMENT INC|1400 ABBOTT ROAD, STE 105||EAST LANSING MI 48823|USA|||  ||JEFFREY R. BRICK|517-332-7700|Corporation|Financial planning services, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/29/1992|0|0|0|0|0|0
Chicago Regional Office| 107618|801-37668|SPECTRUM FINANCIAL ADVISORS, LLC|SPECTRUM FINANCIAL ADVISORS, LLC|11300 CORNELL PARK DRIVE|SUITE 300|CINCINNATI OH 45242-1858|USA|||  ||DOUGLAS P. LOFTUS|513-554-6000|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|11/08/1990|0|0|0|0|0|0
Chicago Regional Office| 107619|801-46031|PERFORMANCE TRUST INVESTMENT ADVISORS, LLC|PERFORMANCE TRUST INVESTMENT ADVISORS, LLC|500 W. MADISON|SUITE 350|CHICAGO IL 60661|USA|||  ||DAVID WILDING|312-521-1115|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters, Security ratings or pricing services|APPROVED|03/11/1994|0|1|0|0|0|0
Chicago Regional Office| 107627|801-50702|FREEDOM ONE INVESTMENT ADVISORS, INC.|FREEDOM ONE INVESTMENT ADVISORS, INC.|8031 M-15||CLARKSTON MI 48348-4457|USA|||  ||JOSEPH KRAJACIC|(248) 620-8100|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|12/12/1995|0|0|0|0|0|0
Chicago Regional Office| 107630|801-39679|SCHAPER BENZ & WISE INVESTMENT COUNSEL INC|SCHAPER BENZ & WISE INVESTMENT COUNSEL INC|18 JEWELERS PARK DR|STE 200|NEENAH WI 54956|USA|P.O. BOX 628||NEENAH WI 54957-0628|USA|MICHAEL L. WISE|(920) 727-1137|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/16/1992|0|1|0|0|0|0
Chicago Regional Office| 107645|801-43846|GRIFFIN PORTFOLIO MANAGEMENT CORP|GRIFFIN PORTFOLIO MANAGEMENT CORP|32255 NORTHWESTERN HWY,STE 226||FARMINGTON HILLS MI 48334|USA|||  ||TIMOTHY GRIFFIN|(248) 865-0518|Corporation|Portfolio management for individuals and/or small businesses, Other|APPROVED|05/05/1993|0|0|0|0|0|0
Chicago Regional Office| 107660|801-50387|WOODLEY FARRA|WOODLEY FARRA MANION PORTFOLIO MANAGEMENT INC|ONE INDIANA SQUARE STE 2254||INDIANAPOLIS IN 46204|USA|||  ||DONALD F. WOODLEY|317-269-0224|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/18/1995|0|0|0|0|0|0
Chicago Regional Office| 107678|801-28591|WULF BATES & MURPHY INC|WULF BATES & MURPHY INC|209 CLARKSON EXECUTIVE PARK||ELLISVILLE MO 63011-2173|USA|||  ||CHARLES BATES|(636) 527-4158|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Market timing services|APPROVED|12/22/1986|0|1|2|0|0|0
Chicago Regional Office| 107684|801-32154|PILOT CAPITAL MANAGEMENT CORP|PILOT CAPITAL MANAGEMENT CORP|222 SOUTH 9TH STREET|SUITE 3260|MINNEAPOLIS MN 55402-3389|USA|||  ||DEAN CUMMINGS|612-337-8080|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/27/1988|0|0|0|0|0|0
Chicago Regional Office| 107694|801-50225|MEDIQUS ASSET ADVISORS, INC.|MEDIQUS ASSET ADVISORS INC|200 N LASALLE ST|STE 1650|CHICAGO IL 60601|USA|||  ||RONALD J. PAPROCKI|312-419-3733|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/28/1995|0|0|0|0|0|0
Chicago Regional Office| 107698|801-47248|WEBSTER PARTNERS|WEBSTER PARTNERS INC|222 SOUTH 9TH STREET|SUITE 3260|MINNEAPLOIS MN 55402-3389|USA|||  ||CHARLES MCI. WEBSTER|612-339-3430|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/19/1994|0|0|0|0|0|0
Chicago Regional Office| 107700|801-37821|HENGEHOLD CAPITAL MANAGEMENT LLC|HENGEHOLD CAPITAL MANAGEMENT LLC|6116 HARRISON AVE||CINCINNATI OH 45247-7833|USA|||  ||MICHAEL T. HENGEHOLD|513-598-5120|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|11/29/1990|0|0|0|0|0|0
Chicago Regional Office| 107708|801-60610|NORTHSTAR FINANCIAL PARTNERS, INC.|NORTHSTAR FINANCIAL PARTNERS, INC.|2150 BUTTERFIELD DR.|SUITE 220|TROY MI 48084|USA|||  ||KENNETH G. CHAPUT|248-290-5273|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|10/02/2001|0|0|0|0|0|0
Chicago Regional Office| 107740|801-17857|40/86 ADVISORS, INC.|40/86 ADVISORS, INC.|535 N. COLLEGE DRIVE||CARMEL IN 46032|USA|||  ||JEFFREY M. STAUTZ|317/817-6422|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/20/1982|1|0|0|0|0|0
Chicago Regional Office| 107772|801-56603|STRATEGIC CAPITAL INVESTMENT ADVISORS INC|STRATEGIC CAPITAL INVESTMENT ADVISORS INC|1010 JORIE BLVD|STE 240|OAK BROOK IL 60523-4444|USA|||  ||RUSS LABARGE, CFA|630-928-0820|Corporation|Pension consulting services, Other|APPROVED|06/15/1999|0|0|0|0|0|0
Chicago Regional Office| 107774|801-56681|PORTFOLIO SOLUTIONS LLC|PORTFOLIO SOLUTIONS LLC|5700 CROOKS ROAD|SUITE 112|TROY MI 48098|USA|||  ||SCOTT C. SALASKE|248-689-1550|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/13/1999|0|0|0|0|0|0
Chicago Regional Office| 107775|801-30535|ALLSTATE INVESTMENT MANAGEMENT COMPANY|ALLSTATE INVESTMENT MANAGEMENT COMPANY|3075 SANDERS ROAD, SUITE G5D||NORTHBROOK IL 60062|USA|||  ||PAUL A. LYTHBERG|847-402-8484|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/11/1987|0|0|0|0|0|0
Chicago Regional Office| 107779|801-16566|KPH/INVEST, INC.|KPH/INVEST, INC.|221 N LA SALLE ST. SUITE 1740||CHICAGO IL 60601|USA|||  ||JEFFREY E. KANNE|312-372-2255|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/18/1981|0|0|0|0|0|0
Chicago Regional Office| 107782|801-56317|GS INVESTMENT INC|GS INVESTMENT INC|333 SOUTH 7TH STREET|SUITE 3060|MINNEAPOLIS MN 55402|USA|||  ||JOHN G. STEINKE|612-371-0590|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|03/04/1999|0|0|0|0|0|0
Chicago Regional Office| 107794|801-56440|PARTHENON LLC|PARTHENON LLC|9900 CORPORATE CAMPUS DR|STE 2100|LOUISVILLE KY 40223|USA|||  ||TODD P. LOWE, CFA|502.327.5660|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|04/16/1999|0|0|0|0|0|0
Chicago Regional Office| 107800|801-54871|COZAD WESTCHESTER AGRICULTURAL ASSET MANAGEMENT PARTNERSHIP|COZAD WESTCHESTER AGRICULTURAL ASSET MANAGEMENT PARTNERSHIP|2501 GALEN DR||CHAMPAIGN IL 61821|USA|P. O. BOX 3669||CHAMPAIGN IL 61826-3669|USA|CRIS HEINRICH|217/ 356-8363|Partnership|Other|APPROVED|09/12/1997|0|0|0|0|0|0
Chicago Regional Office| 107801|801-55576|SIKICH COZAD ASSET MANAGEMENT LLC|SIKICH COZAD ASSET MANAGEMENT LLC|2501 GALEN DR||CHAMPAIGN IL 61821|USA|P. O. BOX 3669||CHAMPAIGN IL 61826-3669|USA|CRIS HEINRICH|217  356-8363|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/19/1998|0|0|0|0|0|0
Chicago Regional Office| 107805|801-66498|GENESIS ADVISORS|RIA TECHNOLOGY INC|33150 SCHOOLCRAFT|SUITE 102|LIVONIA MI 48150|USA|||  ||TOM PALKA|734-261-6004|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/12/2006|0|0|0|0|0|0
Chicago Regional Office| 107808|801-57468|BOYD WATTERSON ASSET MANAGEMENT LLC|BOYD WATTERSON ASSET MANAGEMENT LLC|1801 EAST NINTH ST STE 1400||CLEVELAND OH 44114|USA|||  ||JOHN L. WALSH|216-771-3252|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|04/13/2000|0|1|0|0|0|0
Chicago Regional Office| 107823|801-32238|COMPASS CAPITAL MANAGEMENT INC|COMPASS CAPITAL MANAGEMENT INC|400 BAKER BLDG|706 2ND AVE SOUTH|MINNEAPOLIS MN 55402|USA|||  ||DAVID M. CARLSON|612-338-4133|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/10/1988|0|0|0|0|0|0
Chicago Regional Office| 107840|801-21759|TALON ASSET MANAGEMENT, LLC|TALON ASSET MANAGEMENT, LLC|ONE NORTH FRANKLIN, SUITE 900||CHICAGO IL 60606|USA|||  ||BARBARA RUMMINGER|312-422-5400|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/01/1984|0|1|0|0|0|0
Chicago Regional Office| 107841|801-68113|FORTNER FINANCIAL SERVICES, INC.|FORTNER FINANCIAL SERVICES, INC.|2405 GRAND, SUITE 530||KANSAS CITY MO 64108|USA|||  ||ROY FORTNER|816-474-4102|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/12/2007|0|0|0|0|0|0
Chicago Regional Office| 107846|801-60926|HAYS INVESTMENT ADVISORS|HAYS INVESTMENT ADVISORS, L.L.C.|3800 AMERICAN BLVD. WEST|SUITE 750|MINNEAPOLIS MN 55431|USA|||  ||MAREN A. AIPPERSPACH|952-896-3820|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|02/22/2002|0|0|0|0|0|0
Chicago Regional Office| 107847|801-43503|KITZINGER LAUTMANN CAPITAL MANAGEMENT INC|KITZINGER LAUTMANN CAPITAL MANAGEMENT INC|330 E KILBOURN AVENUE|SUITE 1180|MILWAUKEE WI 53202|USA|||  ||TRACEY CAMPBELL|414-765-1234|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/11/1993|0|0|0|0|0|0
Chicago Regional Office| 107857|801-37179|SHOKER INVESTMENT COUNSEL INC|SHOKER INVESTMENT COUNSEL INC.|3642 KEHR RD||OXFORD OH 45056|USA|||  ||RANDALL S SHOKER|513-524-1776|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|08/17/1990|0|0|0|0|0|0
Chicago Regional Office| 107859|801-54610|GOFEN AND GLOSSBERG, L.L.C.|GOFEN AND GLOSSBERG, L.L.C.|455 CITYFRONT PLAZA, SUITE 3000||CHICAGO IL 60611-5345|USA|||  ||MARK BROWN|312.832.1534|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|05/06/1997|0|1|3|0|0|0
Chicago Regional Office| 107881|801-56451|W.R.T. SMITH & CO.|W.R.T. SMITH & CO., INC.|328 LINDEN AVENUE||WILMETTE IL 60091|USA|P. O. BOX 599||WILMETTE IL 60091-0599|USA|WILLIAM R T SMITH|847-256-1292|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/16/1999|0|0|0|0|0|0
Chicago Regional Office| 107882|801-57181|NANTUCKET CAPITAL MANAGEMENT LLC|NANTUCKET CAPITAL MANAGEMENT LLC|40950 WOODWARD AVENUE, SUITE 307||BLOOMFIELD HILLS MI 48304|USA|||  ||ELIZABETH A. GREENSTONE|248-723-9286|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|02/25/2000|0|1|0|0|0|0
Chicago Regional Office| 107893|801-41991|FINANCIAL SERVICE GROUP INC|FINANCIAL SERVICE GROUP INC|4812 NORTHWESTERN AVENUE||RACINE WI 53406|USA|||  ||JUSTUS MORGAN|262-554-4500|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|08/03/1992|0|0|0|0|0|0
Chicago Regional Office| 107902|801-42986|H.P. Becker & Co|H.P. Becker & Co|2610 LAKE COOK ROAD|SUITE 190|RIVERWOODS IL 60015|USA|||  ||RITA BERGQUIST|847-948-1600|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/30/1992|0|0|0|0|0|0
Chicago Regional Office| 107929|801-55031|ASSET ADVISORY GROUP INC|ASSET ADVISORY GROUP INC|4600 MCAULEY PLACE, STE 140||CINCINNATI OH 45242|USA|||  ||GREGORY H. JONES|513-771-7222|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|12/05/1997|0|0|0|0|0|0
Chicago Regional Office| 107930|801-55903|ARGENT CAPITAL MANAGEMENT LLC|ARGENT CAPITAL MANAGEMENT LLC|100 SOUTH BRENTWOOD BLVD.|SUITE 110|CLAYTON MO 63105|USA|||  ||LAURIE A. HAYEK|314-725-6000|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|10/06/1998|0|0|0|0|0|0
Chicago Regional Office| 107931|801-57192|BRIGHT FINANCIAL ADVISORS, INC.|BRIGHT FINANCIAL ADVISORS, INC.|450 W. CENTRE|SUITE C|PORTAGE MI 49024|USA|||  ||JEFFREY J. BRIGHT|269-373-2700|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/20/2000|0|0|0|0|0|0
Chicago Regional Office| 107932|801-56063|WABASH CAPITAL, INC.|WABASH CAPITAL, INC.|2901 OHIO BLVD|STE 242|TERRE HAUTE IN 47803|USA|||  ||DONALD B. EDWARDS|812-242-9113|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/25/1998|0|0|0|0|0|0
Chicago Regional Office| 107941|801-55775|HUNTLEIGH CAPITAL MANAGEMENT INC|HUNTLEIGH CAPITAL MANAGEMENT INC|7710 CARONDELET|SUITE 404|ST LOUIS MO 63105|USA|||  ||ANGIE HORSTMANN|314-726-1312|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|08/25/1998|0|0|0|0|0|0
Chicago Regional Office| 107972|801-56465|LAKEPOINT INVESTMENT PARTNERS LLC|LAKEPOINT INVESTMENT PARTNERS LLC|1100 SUPERIOR AVENUE|SUITE 1325|CLEVELAND OH 44114-1216|USA|||  ||MARY LYNN LAUGHLIN|216-621-6001|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/21/1999|0|0|0|0|0|0
Chicago Regional Office| 107997|801-54732|MID-CONTINENT CAPITAL LLC|MID-CONTINENT CAPITAL LLC|150 SOUTH WACKER|SUITE 400|CHICAGO IL 60606-4101|USA|||  ||SUSAN E. LORSCH|312-551-8205|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|07/10/1997|0|0|0|0|0|0
Chicago Regional Office| 108003|801-55334|OAKBROOK INVESTMENTS|OAKBROOK INVESTMENT LLC|701 WARRENVILLE ROAD||LISLE IL 60532|USA|||  ||MS. JANNA SAMPSON|630-271-0287|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/27/1998|1|7|0|0|0|0
Chicago Regional Office| 108009|801-55057|VARDE PARTNERS, L.P.|VARDE PARTNERS, L.P.|8500 NORMANDALE LAKE BLVD|SUITE 1570|MINNEAPOLIS MN 55437|USA|||  ||CHRISTINA M PESCHONG|952-646-2752|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/21/1997|0|0|0|0|0|0
Chicago Regional Office| 108014|801-57752|NAKOMA CAPITAL MANAGEMENT, LLC|NAKOMA CAPITAL MANAGEMENT, LLC|8040 EXCELSIOR DRIVE|SUITE 401|MADISON WI 53717|USA|||  ||ROBYN K RANNOW|608-662-0298|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/13/2000|0|0|2|0|0|0
Chicago Regional Office| 108022|801-55606|MULTI FUND MANAGEMENT INC|MULTI FUND MANAGEMENT INC|7508 NEW LAGRANGE ROAD|SUITE 2|LOUISVILLE KY 40222|USA|||  ||DAVID HANDMAKER|502-423-0222|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|06/05/1998|0|0|0|0|0|0
Chicago Regional Office| 108031|801-56896|MORNINGSTAR ASSOCIATES, LLC|MORNINGSTAR ASSOCIATES, LLC|225 WEST WACKER DRIVE||CHICAGO IL 60606|USA|||  ||D. SCOTT SCHILLING|312-696-6168|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Pension consulting services, Selection of other advisers|APPROVED|10/18/1999|0|0|0|0|0|0
Chicago Regional Office| 108036|801-57095|INTEGRATED FINANCIAL PLANNING|ISSA AHMAD D|2442 NORTH 9TH ST||KALAMAZOO MI 49009|USA|P.O. BOX 175||OSHTEMO MI 49077-0175|USA|AHMAD D. ISSA|269-375-9727|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|12/27/1999|0|0|0|0|0|0
Chicago Regional Office| 108048|801-57626|INTELLIGENT FINANCIAL STRATEGIES|INTELLIGENT FINANCIAL STRATEGIES|7900 WEST 78TH STREET|SUITE 250|EDINA MN 55439|USA|||  ||MARK J. DANIELSON|952-941-2795|Partnership|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/31/2000|0|0|0|0|0|0
Chicago Regional Office| 108050|801-55564|VALMARK ADVISERS, INC.|VALMARK ADVISERS INC|130 SPRINGSIDE DRIVE|SUITE 300|AKRON OH 44333|USA|||  ||RICHARD ARCECI|800-765-5201|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|05/29/1998|0|0|0|0|0|0
Chicago Regional Office| 108051|801-57568|BUFORD DICKSON HARPER & SPARROW INC|BUFORD DICKSON HARPER & SPARROW INC|211 N. BROADWAY SUITE 2080||ST. LOUIS MO 63102|USA|||  ||WILLIAM YOUNG|314-725-5445|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/18/2000|0|0|0|0|0|0
Chicago Regional Office| 108074|801-57432|RIVERBRIDGE PARTNERS|RIVERBRIDGE PARTNERS LLC|801 NICOLLET MALL, MIDWEST PLAZA WEST|SUITE 600|MINNEAPOLIS MN 55402|USA|||  ||RICK D. MOULTON|612-904-6216|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|04/10/2000|0|0|0|0|0|0
Chicago Regional Office| 108084|801-56219|FINANCIAL STRATEGY NETWORK LLC|FINANCIAL STRATEGY NETWORK LLC|TWO NORTH RIVERSIDE PLAZA|SUITE 900|CHICAGO IL 60606|USA|||  ||JEFFREY TONER|312-831-4370|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|01/19/1999|0|0|0|0|0|0
Chicago Regional Office| 108090|801-54603|PARADIGM FINANCIAL ADVISORS LLC|PARADIGM FINANCIAL ADVISORS LLC|12231 MANCHESTER ROAD||DES PERES MO 63131|USA|||  ||STACEY L. CHEEK|314/966-3400|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|07/01/1997|0|0|0|0|0|0
Chicago Regional Office| 108092|801-55322|DIBENEDETTO & ASSOCIATES LTD|DIBENEDETTO & ASSOCIATES LTD|6845 WEAVER ROAD|SUITE 300|ROCKFORD IL 61114|USA|||  ||ALEX DIBENEDETTO|815-654-8850|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|02/02/1998|0|2|0|0|0|0
Chicago Regional Office| 108093|801-57002|KEIDAN FINANCIAL CONSULTANTS LLC|KEIDAN FINANCIAL CONSULTANTS LLC|400 SOUTH 5TH STREET|SUITE 100|COLUMBUS OH 43215|USA|||  ||KIMBERLY HOWARD|614-469-5003|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|11/29/1999|0|0|0|0|0|0
Chicago Regional Office| 108118|801-56539|BAIRD CAPITAL PARTNERS MANAGEMENT COMPANY III, LLC|BAIRD CAPITAL PARTNERS MANAGEMENT COMPANY III, LLC|777 EAST WISCONSIN AVENUE||MILWAUKEE WI 53202|USA|||  ||PAUL L. SCHULTZ|414/298-2655|Limited Liability Company|Other|APPROVED|05/26/1999|0|27|0|0|0|0
Chicago Regional Office| 108147|801-54279|DEARBORN PARTNERS L.L.C.|DEARBORN PARTNERS L.L.C.|200 W MADISON ST|SUITE 1950|CHICAGO IL 60606|USA|||  ||KURT M. NEWSOM|312-795-5348|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|04/24/1997|0|1|0|0|0|0
Chicago Regional Office| 108154|801-57519|AFFILIATED FINANCIAL ADVISORS INC|AFFILIATED FINANCIAL ADVISORS INC|2300 NORTH MAYFAIR RD.|SUITE 640|MILWAUKEE WI 53226|USA|||  ||GEORGE M. SCHMIDLEY|414/476-4999|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|04/21/2000|0|0|0|0|0|0
Chicago Regional Office| 108176|801-57007|SUNDVOLD FINANCIAL|SUNDVOLD CAPITAL MANAGEMENT LLC|1000 W. NIFONG|BUILDING 4, SUITE 104|COLUMBIA MO 65203|USA|||  ||JON T. SUNDVOLD|573-443-1000|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|11/18/1999|0|0|0|0|0|0
Chicago Regional Office| 108206|801-33713|MADISON ADVISORY GROUP, INC.|MADISON ADVISORY GROUP, INC.|980 N. MICHIGAN AVENUE|SUITE 1400|CHICAGO IL 60611|USA|||  ||PETER GREENWOOD|312-223-0500|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/01/1988|0|2|0|0|0|0
Chicago Regional Office| 108211|801-18767|ARIEL INVESTMENTS, LLC|ARIEL INVESTMENTS, LLC|200 EAST RANDOLPH DRIVE|SUITE 2900|CHICAGO IL 60601|USA|||  ||WENDY D. FOX|312-726-0140|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/15/1983|0|1|0|0|0|0
Chicago Regional Office| 108213|801-38064|C.W. HENDERSON & ASSOCIATES, INC.|C.W. HENDERSON & ASSOCIATES, INC.|20 W. KINZIE STREET, SUITE 1100||CHICAGO IL 60610-6392|USA|||  ||THOMAS MALLMAN|312-222-1401|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/10/1991|0|0|0|0|0|0
Chicago Regional Office| 108233|801-63489|MOODY INVESTMENT ADVISORS, INC.|MOODY INVESTMENT ADVISORS, INC.|440 N WELLS ST|SUITE 530|CHICAGO IL 60610|USA|||  ||PAUL M EMBREE|312-527-5565|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|09/23/2004|0|0|0|0|0|0
Chicago Regional Office| 108239|801-57763|FIDUCIARY ADVISORS, INC.|FIDUCIARY ADVISORS, INC.|12813 FLUSHING MEADOWS DR|SUITE 280|ST. LOUIS MO 63131|USA|||  ||JOHN F. HEFELE|(314)726-5150|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|07/13/2000|0|0|0|0|0|0
Chicago Regional Office| 108249|801-60944|CSSC INVESTMENT ADVISORY SERVICES, INC.|CSSC INVESTMENT ADVISORY SERVICES, INC.|755 WEST BIG BEAVER ROAD|SUITE 2000|TROY MI 48084-4904|USA|||  ||JENNIFER LAROSE|248-244-7980|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|02/21/2002|0|5|0|0|0|0
Chicago Regional Office| 108254|801-14172|ADVISORY RESEARCH INC|ADVISORY RESEARCH INC|180 N STETSON AVENUE|SUITE 5500|CHICAGO IL 60601|USA|||  ||CARI HOPFENSPERGER|312-565-1414|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|11/07/1978|0|0|0|0|0|0
Chicago Regional Office| 108257|801-25943|RIVERSOURCE INVESTMENTS|RIVERSOURCE INVESTMENTS, LLC|50605 AMERIPRISE FINANCIAL CENTER||MINNEAPOLIS MN 55474|USA|||  ||MARY LOU LUTZ|612-678-1762|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|12/20/1985|1|5|0|0|0|0
Chicago Regional Office| 108264|801-46523|WINSTON ADVISORS INC|WINSTON ADVISORS INC|200 TECHNECENTER DR|SUITE 200|MILFORD OH 45150|USA|||  ||CHRISTOPHER J. DONABEDIAN|513-831-9393|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/17/1994|0|0|0|0|0|0
Chicago Regional Office| 108267|801-55924|SIT/KIM INTERNATIONAL INVESTMENT ASSOCIATES II, LLC|SIT/KIM INTERNATIONAL INVESTMENT ASSOCIATES II, LLC|3300 IDS CENTER|80 SOUTH EIGHTH STREET|MINNEAPOLIS MN 55402|USA|||  ||PAUL EDWARD RASMUSSEN|612-332-3223|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/01/1998|0|0|0|0|0|0
Chicago Regional Office| 108271|801-55201|SIT FIXED INCOME ADVISORS II, LLC|SIT FIXED INCOME ADVISORS II, LLC|3300 IDS CENTER|80 SOUTH 8TH STREET|MINNEAPOLIS MN 55402|USA|||  ||PAUL RASMUSSEN|612-332-3223|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/27/1998|0|0|0|0|0|0
Chicago Regional Office| 108280|801-56001|REDWOOD INVESTMENT ADVISORS LTD|REDWOOD INVESTMENT ADVISORS LTD|320 NORTH MERIDIAN STREET|SUITE 900|INDIANAPOLIS IN 46204|USA|||  ||JUDITH CHRISTOFOLIS|317-635-3563|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|11/19/1998|0|0|0|0|0|0
Chicago Regional Office| 108293|801-18789|HINSDALE ASSOCIATES|HINSDALE ASSOCIATES, INC.|15 SPINNINGWHEEL ROAD|SUITE 226|HINSDALE IL 60521|USA|||  ||MICHAEL A. URBIK|630-325-7100|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/04/1983|0|0|0|0|0|0
Chicago Regional Office| 108305|801-68573|SOVEREIGN ASSET MANAGEMENT|SAZDANOFF DONALD LOUIS|1237 HUNTERS RIDGE||LEXINGTON OH 44904|USA|||  ||DONALD LOUIS SAZDANOFF|419-884-8309|Sole Proprietorship|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|11/30/2007|0|0|0|0|0|0
Chicago Regional Office| 108326|801-47981|LYNCH & ASSOCIATES|LYNCH & ASSOCIATES INC|10644 NEWBURGH RD|SR 662|NEWBURGH IN 47630|USA|P.O. BOX 5585||EVANSVILLE IN 47716|USA|WAYNE C. RAMSEY|812-853-0878|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|12/05/1994|0|0|0|0|0|0
Chicago Regional Office| 108340|801-35801|CULLINAN ASSOCIATES INC|CULLINAN ASSOCIATES INC|1406-D BROWNS LANE||LOUISVILLE KY 40207|USA|||  ||BRIAN L. CULLINAN|502-893-0300|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/11/1990|0|0|0|0|0|0
Chicago Regional Office| 108347|801-4658|NICHOLAS CO INC|NICHOLAS CO INC|700 N WATER ST|STE 1010|MILWAUKEE WI 53202|USA|||  ||JEFFREY THOMAS MAY|414-272-4650|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/08/1968|0|0|0|0|0|0
Chicago Regional Office| 108351|801-26372|CFG WEALTH MANAGEMENT SERVICES INC|CFG WEALTH MANAGEMENT SERVICES INC|9795 CROSSPOINT BLVD.|SUITE 177|INDIANAPOLIS IN 46256|USA|||  ||JONATHAN W. HARRIER|317-841-7959|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|01/31/1986|0|0|0|0|0|0
Chicago Regional Office| 108352|801-54274|ESSEX LLC|ESSEX LLC|750 LAKE COOK ROAD, STE 450||BUFFALO GROVE` IL 60089|USA|||  ||CHARLES D. BRADBURN, JR.|847-777-7800|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|04/11/1997|0|0|0|0|0|0
Chicago Regional Office| 108353|801-29805|WILLIAM HARRIS INVESTORS, INC.|WILLIAM HARRIS INVESTORS, INC.|191 N WACKER DRIVE|SUITE 1500|CHICAGO IL 60606-1899|USA|||  ||DAVID T. NOVICK|312-604-7909|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|06/19/1987|0|0|0|0|0|0
Chicago Regional Office| 108363|801-37261|RAPAPORT CAPITAL MANAGEMENT INC|RAPAPORT CAPITAL MANAGEMENT INC|3628 WALNUT HILLS ROAD|STE 101|ORANGE VILLAGE OH 44122|USA|||  ||LEONARD ALLEN RAPAPORT|216-464-6969|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/30/1990|0|0|0|0|0|0
Chicago Regional Office| 108379|801-55126|NORTHSHORE ADVISORS LLC|NORTHSHORE ADVISORS LLC|7201 W. 78TH ST.|SUITE 200|MINNEAPOLIS MN 55439|USA|||  ||MINDY M GUDMUNDSON|(952)837-9264|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/18/1997|0|0|0|0|0|0
Chicago Regional Office| 108408|801-38103|UNION HERITAGE CAPITAL MANAGEMENT, LLC|UNION HERITAGE CAPITAL MANAGEMENT, LLC|500 GRISWOLD|SUITE 2850|DETROIT MI 48226|USA|||  ||DEREK T. BATTS|313-963-8824|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/17/1991|0|0|0|0|0|0
Chicago Regional Office| 108417|801-57154|WHITE PINE CAPITAL LLC|WHITE PINE CAPITAL LLC|60 SOUTH 6TH STREET|SUITE 2530|MINNEAPOLIS MN 55402|USA|||  ||BARBARA JEAN WALKER|612-376-9765|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/14/2000|0|0|0|0|0|0
Chicago Regional Office| 108419|801-54836|JMG ADVISOR RESEARCH, LLC|JMG ADVISOR RESEARCH, LLC|2301 W. 22ND STREET SUITE 300||OAK BROOK IL 60523-1224|USA|||  ||RICHARD T. PAWELKO|630-571-5252|Limited Liability Company|Selection of other advisers, Publication of periodicals or newsletters, Other|APPROVED|09/05/1997|0|0|0|0|0|0
Chicago Regional Office| 108423|801-24149|GARY L. GREENBERG|GREENBERG GARY LOUIS|4540 IDS CENTER, 80 S 8TH ST||MINNEAPOLIS MN 55402|USA|||  ||GARY LOUIS GREENBERG|(612) 338-0028|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|05/15/1985|0|0|0|0|0|0
Chicago Regional Office| 108446|801-67324|PINES FINANCIAL GROUP, INC.|PINES FINANCIAL GROUP, INC.|15400 SOUTH OUTER FORTY|SUITE 208|CHESTERFIELD MO 63017|USA|||  ||SALVATORE M CULELLA|636-733-2399|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/12/2006|0|3|0|0|0|0
Chicago Regional Office| 108465|801-51629|INVESTMENT CONSULTANTS|INVESTMENT CONSULTANTS|2515 LAWNDALE||EVANSTON IL 60201-1157|USA|||  ||WILLIAM D. GELA|(847) 492-9559|Partnership|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Other|APPROVED|04/03/1996|0|0|0|0|0|0
Chicago Regional Office| 108479|801-57179|MARIETTA INVESTMENT PARTNERS, LLC|MARIETTA INVESTMENT PARTNERS, LLC|100 EAST WISCONSIN AVENUE, SUITE 2650||MILWAUKEE WI 53202|USA|||  ||CHRISTINE M. SMYTH|(414)289-9080|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/20/2000|0|0|0|0|0|0
Chicago Regional Office| 108491|801-57417|JANCO INVESTMENT COUNSEL, LLC|JANCO INVESTMENT COUSNEL, LLC|1200 WEST SIERRA LANE||MEQUON WI 53092|USA|||  ||JANET CONROY KRATZ|262-241-1343|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|03/29/2000|0|0|0|0|0|0
Chicago Regional Office| 108497|801-57966|MISSOURI VALLEY PARTNERS, INC.|MISSOURI VALLEY PARTNERS, INC.|135 NORTH MERAMEC|SUITE 500|ST. LOUIS MO 63105-3900|USA|P.O. BOX 16901||ST. LOUIS MO 63105-1301|USA|THOMAS LAWRENCE PELLETT|314-889-1036|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/28/2000|0|0|0|0|0|0
Chicago Regional Office| 108509|801-21744|DFC FINANCIAL GROUP INC|DFC FINANCIAL GROUP INC|OXFORD FINANCIAL CENTER|653 S. LAPEER RD.|OXFORD MI 48371|USA|||  ||SUSAN DODD|248-236-0495|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/02/1984|0|2|0|0|0|0
Chicago Regional Office| 108525|801-57736|ABERDEEN WEALTH MANAGEMENT LLC|ABERDEEN WEALTH MANAGEMENT LLC|100 SOUTH WACKER DR, SUITE 2100||CHICAGO IL 60606|USA|||  ||KEVIN P. SCULLION|(312) 456-3315|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/17/2000|0|0|0|0|0|0
Chicago Regional Office| 108550|801-57351|HUMMER FINANCIAL ADVISORY SERVICES INC|HUMMER FINANCIAL ADVISORY SERVICES INC|680 N LAKE SHORE DR APT 906||CHICAGO IL 60611-4477|USA|||  ||MELANIE HUMMER|312-787-2114|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|03/02/2000|0|0|0|0|0|0
Chicago Regional Office| 108576|801-57776|LEXINGTON RESEARCH & CAPITAL GROUP|OFFICER DENNIS TERRY|4686 IRONBRIDGE DRIVE||LEXINGTON KY 40515|USA|||  ||DENNIS T. OFFCER|1-859-271-2505|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/08/2000|0|0|0|0|0|0
Chicago Regional Office| 108620|801-55207|DROMS STRAUSS ADVISORS INC|DROMS STRAUSS ADVISORS INC|7733 FORSYTH BOULEVARD|SUITE 1400|ST. LOUIS MO 63105-1801|USA|||  ||STEVEN N. STRAUSS|314-862-9100|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers, Other|APPROVED|01/20/1998|0|1|0|0|0|0
Chicago Regional Office| 108634|801-44151|JOHN E. SESTINA AND COMPANY|JOHN E. SESTINA AND COMPANY|1161 BETHEL ROAD, SUITE 201||COLUMBUS OH 43220|USA|||  ||KATHY GOODRICH|614.326.3077|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/17/1993|0|0|0|0|0|0
Chicago Regional Office| 108644|801-54163|ROCKWOOD CAPITAL ADVISORS LLC|ROCKWOOD CAPITAL ADVISORS LLC|721 EMERSON ROAD SUITE 565||ST. LOUIS MO 63141|USA|||  ||LISA L. WILDEISEN|314-962-8336|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/01/1997|0|0|0|0|0|0
Chicago Regional Office| 108647|801-54617|VANDERBILT CAPITAL ADVISORS LLC|VANDERBILT CAPITAL ADVISORS LLC|233 S. WACKER DR., SUITE 8630||CHICAGO IL 60606|USA|||  ||KURT FLORIAN|312-463-7211|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/23/1997|0|3|0|0|0|0
Chicago Regional Office| 108652|801-56165|CAPITAL NORTH LTD|CAPITAL NORTH LTD|1365 NORTH ROAD||GREEN BAY WI 54313|USA|P.O. BOX 13337||GREEN BAY WI 54307|USA|THOMAS P. REMLEY|920.490.7999|Corporation|Portfolio management for individuals and/or small businesses, Other|APPROVED|01/08/1999|0|0|0|0|0|0
Chicago Regional Office| 108653|801-56089|RLC BUSINESS SERVICES INC|RLC BUSINESS SERVICES INC|220 SOUTH 6TH STREET, SUITE 300||MINNEAPOLIS MN 55402-1436|USA|||  ||DENNIS LEWIS RITCHIE|612.376.4507|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|12/08/1998|0|0|0|0|0|0
Chicago Regional Office| 108654|801-54965|GROSVENOR CAPITAL MANAGEMENT, L.P.|GROSVENOR CAPITAL MANAGEMENT, L.P.|900 NORTH MICHIGAN AVENUE, SUITE 1100||CHICAGO IL 60611|USA|||  ||JOSEPH NESLER|312-506-6614|Other (specify)|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|10/17/1997|0|0|0|0|0|0
Chicago Regional Office| 108658|801-54756|DOLAN MCENIRY CAPITAL MANAGEMENT LLC|DOLAN MCENIRY CAPITAL MANAGEMENT LLC|120 NORTH LASALLE STREET, SUITE 1510||CHICAGO IL 60602|USA|||  ||DANIEL D. DOLAN, JR.|312-345-4800|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/15/1997|0|0|0|0|0|0
Chicago Regional Office| 108668|801-54906|GRESHAM PARTNERS, LLC|GRESHAM PARTNERS, LLC|333 W. WACKER DRIVE|SUITE 700|CHICAGO IL 60606|USA|||  ||JAMES M. HERING|312-960-0213|Limited Liability Company|Financial planning services, Selection of other advisers, Other|APPROVED|09/25/1997|0|0|0|0|0|0
Chicago Regional Office| 108669|801-56966|CHRISTIANSEN INVESTMENTS INC|CHRISTIANSEN INVESTMENTS INC|WEST BAY COMMERCE CENTER|7100 WEST DONGES BAY ROAD|MEQUON WI 53092|USA|||  ||JAMES F. MARSHALL|262/238-4010|Corporation|Portfolio management for individuals and/or small businesses, Pension consulting services, Other|APPROVED|11/09/1999|0|0|0|0|0|0
Chicago Regional Office| 108670|801-55615|ZEMENICK & WALKER INC|ZEMENICK & WALKER INC|8182 MARYLAND AVENUE, SUITE 200||ST LOUIS MO 63105|USA|||  ||JOHN M. JOHNSON|314 862-5525|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/03/1998|0|0|0|0|0|0
Chicago Regional Office| 108712|801-56387|ASSET MANAGEMENT FOR PROFESSIONALS INC.|ASSET MANAGEMENT FOR PROFESSIONALS INC|421 E. SILVER SPRING DRIVE|SUITE 3|WHITEFISH BAY WI 53217|USA|||  ||DR. JEROME A. MAHALICK|414-332-1011|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/06/1999|0|0|0|0|0|0
Chicago Regional Office| 108738|801-54913|LEJEUNE PUETZ INVESTMENT COUNSEL|LEJEUNE PUETZ INVESTMENT COUNSEL|13721 WEST BAY SHORE DRIVE||TRAVERSE CITY MI 49684|USA|||  ||JOHN C. PUETZ|231-922-3553|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/18/1997|0|0|0|0|0|0
Chicago Regional Office| 108739|801-68910|TOWER VIEW INVESTMENT MANAGEMENT & RESEARCH LLC|TOWER VIEW INVESTMENT MANAGEMENT & RESEARCH LLC|191 N BROADWAY UNIT 705||MILWAUKEE WI 53202|USA|||  ||RAMAN JOHN GHEI|414-791-6834|Limited Liability Company|Portfolio management for individuals and/or small businesses, Other|APPROVED|03/11/2008|0|0|0|0|0|0
Chicago Regional Office| 108754|801-57469|UBS OCONNOR LLC|UBS OCONNOR LLC|ONE NORTH WACKER DRIVE, 32ND FLOOR||CHICAGO IL 60606|USA|||  ||JEFFREY B. PICKERING|312-525-5951|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|05/19/2000|0|5|0|0|0|0
Chicago Regional Office| 108757|801-56007|REKOW MANAGEMENT LLC|REKOW MANAGEMENT LLC|101 SOUTH 1ST STREET, SUITE 50||MONTEVIDEO MN 56265|USA|||  ||MARK W. REKOW|320-269-7889|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/06/1998|0|0|0|0|0|0
Chicago Regional Office| 108786|801-64242|NORTHWEST ADVISORY INC|NORTHWEST ADVISORY INC|1173-E LYONS ROAD||DAYTON OH 45458|USA|||  ||CELESTE SCHEIBERT|937 886-9333|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/07/2005|0|0|0|0|0|0
Chicago Regional Office| 108830|801-56414|VAWTER FINANCIAL LTD|VAWTER FINANCIAL LTD|1161 BETHEL ROAD|SUITE 304|COLUMBUS OH 43220|USA|||  ||LYNNE AMATO|614-451-1002|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Publication of periodicals or newsletters|APPROVED|04/09/1999|0|0|0|0|0|0
Chicago Regional Office| 108862|801-56093|GOODE INVESTMENT MANAGEMENT, INC.|GOODE INVESTMENT MANAGEMENT, INC.|1700 TERMINAL TOWER|50 PUBLIC SQUARE|CLEVELAND OH 44113-2207|USA|||  ||BRUCE T. GOODE|216-771-9000|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/24/1998|0|0|0|0|0|0
Chicago Regional Office| 108866|801-56455|YENTIS & ASSOCIATES INC|YENTIS & ASSOCIATES INC|11130 COLDWATER RD|SUITE 101|FT WAYNE IN 46845|USA|||  ||JAY YENTIS|260 637-5382|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|04/15/1999|0|0|0|0|0|0
Chicago Regional Office| 108874|801-23632|OAK ASSOCIATES LTD|OAK ASSOCIATES LTD|3875 EMBASSY PARKWAY, SUITE 250||AKRON OH 44333|USA|||  ||SANDRA H. NOLL|330-668-3322|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/13/1985|0|0|4|0|0|0
Chicago Regional Office| 108881|801-23411|LINCOLN INVESTMENT ADVISORS CORPORATION|LINCOLN INVESTMENT ADVISORS CORPORATION|1300 S CLINTON STREET||FORT WAYNE IN 46802|USA|||  ||CRAIG MORESHEAD|603 226-5706|Corporation|Portfolio management for investment companies, Selection of other advisers|APPROVED|02/01/1985|0|0|0|0|0|0
Chicago Regional Office| 108884|801-55607|BERLIN FINANCIAL, LTD.|BERLIN FINANCIAL, LTD.|1325 CARNEGIE AVENUE|THIRD FLOOR|CLEVELAND OH 44115|UNITED STATES|||  ||JENNIFER W. BERLIN|216-479-0400|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/02/2004|0|0|0|0|0|0
Chicago Regional Office| 108913|801-55069|INVESTMENT PARTNERS LTD|INVESTMENT PARTNERS LTD|419 W HIGH AVE||NEW PHILADELPHIA OH 44663|USA|419 W HIGH AVE|PO BOX 309|NEW PHILADELPHIA OH 44663|USA|STEVEN C. STOCKER|330-308-9707|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/21/1997|0|0|0|0|0|0
Chicago Regional Office| 108929|801-57567|DOERGE & SMITH PRIVATE ADVISORY LLC|DOERGE & SMITH PRIVATE ADVISORY LLC|3 FIRST NATIONAL PLAZA  25TH FL.||CHICAGO IL 60602|USA|115 SOUTH JEFFERSON ROAD|ATTN: TIMOTHY J. MURPHY|WHIPPANY NJ 07981|U.S.A.|TIMOTHY J. MURPHY|973-793-2213|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/03/2000|0|7|1|0|0|0
Chicago Regional Office| 108931|801-56927|MCCARTHY GRITTINGER WEIL FINANCIAL GROUP, LLC|MCCARTHY GRITTINGER WEIL FINANCIAL GROUP, LLC|125 SOUTH 84TH STREET|SUITE 130|MILWAUKEE WI 53214-1498|USA|||  ||AMY FINLEY|(414) 475-1369|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|10/27/1999|0|0|0|0|0|0
Chicago Regional Office| 108935|801-56226|CJ CAPITAL MANAGEMENT LLC|AHM ASSET MANAGEMENT, LLC|130 SOUTH BEMISTON|SUITE 302|ST LOUIS MO 63105|USA|||  ||JOSEPH JOHN GAZZOLI|314-523-8875|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|02/05/1999|0|0|0|0|0|0
Chicago Regional Office| 108942|801-56371|DIVERSIFIED PORTFOLIOS INC|DIVERSIFIED PORTFOLIOS INC|39520 WOODWARD AVENUE|SUITE 212|BLOOMFIELD HILLS MI 48304|USA|254 WESTWOOD DR||BLOOMFIELD VILLAGE MI 48301|USA|ROBERT E. TOAL|248-644-3030|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|03/23/1999|0|0|0|0|0|0
Chicago Regional Office| 108954|801-57995|SEIZERT CAPITAL PARTNERS, LLC|SEIZERT CAPITAL PARTNERS, LLC|185 OAKLAND|SUITE 100|BIRMINGHAM MI 48009|USA|||  ||GREGORY A. KOZLOWSKI|248-593-1500|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/11/2000|0|0|0|0|0|0
Chicago Regional Office| 108964|801-54788|401(K)AYDAN GROUP, INC.|KAYDAN GROUP INC|20 WEST WASHINGTON|SUITE 14|CLARKSTON MI 48346|USA|||  ||JOYCE A. KRUZAN|(248) 625-2993|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|09/09/1997|0|0|0|0|0|0
Chicago Regional Office| 108969|801-54970|WINFIELD ASSOCIATES INC|WINFIELD ASSOCIATES INC|700 WEST ST CLAIR AVENUE|SUITE 404|CLEVELAND OH 44113|USA|||  ||CHRISTOPHER W. BAKER|216-241-2575|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|10/17/1997|0|0|0|0|0|0
Chicago Regional Office| 108977|801-55745|MIG REALTY ADVISORS|MIG II REALTY ADVISORS INC|1 AEC PARKWAY||RICHMOND HTS OH 44143-1467|USA|||  ||LOU FATICA|216/261-5000|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/30/1998|0|0|0|0|0|0
Chicago Regional Office| 108978|801-56049|NEXT CENTURY GROWTH INVESTORS LLC|NEXT CENTURY GROWTH INVESTORS LLC|5500 WAYZATA BLVD|SUITE 1275|MINNEAPOLIS MN 55416|USA|||  ||KELLY MCNULTY|763-591-4493|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/23/1998|0|4|1|0|0|0
Chicago Regional Office| 108991|801-68828|LINDBERGH CAPITAL MANAGEMENT INC|LINDBERGH CAPITAL MANAGEMENT INC|5520 TELEGRAPH ROAD|SUITE 204|ST. LOUIS MO 63129|USA|||  ||DEWAYNE L. WIGGINS|314-416-0055|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|02/15/2008|0|0|0|0|0|0
Chicago Regional Office| 108993|801-57549|ACUMEN FINANCIAL GROUP INC|ACUMEN FINANCIAL GROUP INC|8500 NORMANDALE LAKE BLVD|SUITE 510|BLOOMINGTON MN 55437-3818|USA|||  ||MARK M. GARRISON, MS, CFP|952-897-5777|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|04/28/2000|0|0|0|0|0|0
Chicago Regional Office| 109002|801-55959|PRINCIPAL GLOBAL INVESTORS|PRINCIPAL GLOBAL INVESTORS, LLC|801 GRAND AVE||DES MOINES IA 50392|USA|||  ||JEFFREY HILLER|515-235-5737|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|10/26/1998|0|1|0|0|0|0
Chicago Regional Office| 109006|801-56436|ACCESS INVESTMENT ADVISORS INC|ACCESS INVESTMENT ADVISORS INC|21 MARITIME DRIVE||MANITOWOC WI 54220-4624|USA|||  ||WILLIAM R. CASEY|920.683.9901|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/15/1999|0|0|0|0|0|0
Chicago Regional Office| 109008|801-55618|PRINCIPAL REAL ESTATE INVESTORS LLC|PRINCIPAL REAL ESTATE INVESTORS LLC|801 GRAND AVE||DES MOINES IA 50392|USA|||  ||JEFFREY HILLER|515-235-5737|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|11/04/1999|0|0|0|0|0|0
Chicago Regional Office| 109019|801-57273|DOEREN MAYHEW FINANCIAL SERVICES LLC|DOEREN MAYHEW FINANCIAL SERVICES LLC|2300 TOP OF TROY|755 WEST BIG BEAVER|TROY MI 48084|USA|||  ||PATRICK MCFAWN|248-244-3200|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|02/25/2000|0|0|0|0|0|0
Chicago Regional Office| 109032|801-60153|CREATIVE FINANCIAL DESIGNS, INC.|CREATIVE FINANCIAL DESIGNS, INC.|2704 S GOYER RD||KOKOMO IN 46902|USA|P.O. BOX # 2244||KOKOMO IN 46904-2244|USA|WILLIAM E GREGG|765.453.9600 #3011|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/19/2001|0|5|0|0|0|0
Chicago Regional Office| 109058|801-14602|DUNNAVAN & CO.|C. C. DUNNAVAN & CO., INC.|123 NORTH THIRD STREET|SUITE 603|MINNEAPOLIS MN 55401|USA|||  ||JANELLE STANG|612-630-1101|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/01/1979|0|0|0|0|0|0
Chicago Regional Office| 109065|801-60022|BKS ADVISORS, LLC|BKS ADVISORS, LLC|28411 NORTHWESTERN HWY.|SUITE 200|SOUTHFIELD MI 48034|USA|||  ||CRAIG T. SIMMONS|(248) 358-6500|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/09/2001|0|3|0|0|0|0
Chicago Regional Office| 109068|801-48783|RIVERPOINT CAPITAL MANAGEMENT, INC.|RIVERPOINT CAPITAL MANAGEMENT, INC.|312 WALNUT ST|SUITE 3120|CINCINNATI OH 45202|USA|||  ||RUSSELL SIMS|513-421-3100|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|05/02/1995|0|0|0|0|0|0
Chicago Regional Office| 109070|801-68784|WALLMAN INVESTMENT COUNSEL LLC|WALLMAN INVESTMENT COUNSEL LLC|8803 AIRPORT ROAD||MIDDLETON WI 53562|USA|||  ||CHARLES STEPHEN WALLMAN|608-798-0499|Limited Liability Company|Portfolio management for individuals and/or small businesses, Other|APPROVED|02/06/2008|0|0|0|0|0|0
Chicago Regional Office| 109074|801-54769|WEALTH MANAGEMENT LLC|WEALTH MANAGEMENT LLC|W6272 COMMUNICATION COURT||APPLETON WI 54914|USA|||  ||LORI M. COONEN|920-731-3525|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/01/1997|0|0|0|0|0|0
Chicago Regional Office| 109086|801-57498|ABN AMRO ASSET MANAGEMENT, INC.|ABN AMRO ASSET MANAGEMENT, INC.|135 S. LASALLE STREET|SUITE 2300|CHICAGO IL 60603|USA|||  ||BRIAN LORD|312-884-2342|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/01/2000|0|1|0|0|0|0
Chicago Regional Office| 109098|801-56850|3M INVESTMENT MANAGEMENT CORP|3M INVESTMENT MANAGEMENT CORP|3M CENTER BLDG 224-5S-26||ST PAUL MN 55144|USA|||  ||GREGG M. LARSON|(651) 733-2204|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/29/1999|0|0|1|0|0|0
Chicago Regional Office| 109107|801-55426|FIRST ALLIANCE ASSET MANAGEMENT INC|FIRST ALLIANCE ASSET MANAGEMENT INC|3131 SOUTH DIXIE DRIVE|SUITE 606|DAYTON OH 45439|USA|||  ||PAT RYAN|(937) 643-4400|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/08/1998|0|0|0|0|0|0
Chicago Regional Office| 109116|801-54611|HAMILTON CAPITAL MANAGEMENT INC|HAMILTON CAPITAL MANAGEMENT INC|5025 ARLINGTON CENTRE BLVD||COLUMBUS OH 43220|USA|||  ||WILLIAM A. LEUBY|614-273-1000|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/17/1997|0|0|0|0|0|0
Chicago Regional Office| 109131|801-56002|CFA INVESTMENTS|COMPASS FINANCIAL ADVISORS LLC|2803 BOILERMAKER COURT, 2B||VALPARAISO IN 46383|USA|||  ||JOHN G. LAUER|(219) 476-7100|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|11/30/1998|0|0|0|0|0|0
Chicago Regional Office| 109132|801-57433|SCHLINDWEIN ASSOCIATES LLC|SCHLINDWEIN ASSOCIATES LLC|20 NORTH WACKER DR|SUITE 1820|CHICAGO IL 60606|USA|||  ||TIMOTHY A. SCHLINDWEIN|312-332-1520|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|04/07/2000|0|0|0|0|0|0
Chicago Regional Office| 109140|801-57467|MCMAHAN CAPITAL MANAGEMENT LLC|MCMAHAN CAPITAL MANAGEMENT LLC|316 WEST MAIN STREET||CARMEL IN 46032|USA|||  ||JEFF A. MCMAHAN|317-573-2202|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|04/28/2000|0|0|0|0|0|0
Chicago Regional Office| 109141|801-57126|MERISTEM, LLP|MERISTEM, LLP|601 CARLSON PARKWAY|SUITE 800|MINNETONKA MN 55305|USA|||  ||JERALD S. JOHNSON|952-838-3560|Limited Liability Partnership|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|02/25/2000|0|0|0|0|0|0
Chicago Regional Office| 109145|801-56333|TAPKE ASSET MANAGEMENT, LLC|TAPKE ASSET MANAGEMENT, LLC|909 WRIGHT'S SUMMIT PARKWAY|SUITE 300|FT. WRIGHT KY 41011|USA|||  ||RICHARD H. TAPKE III|859-344-4003|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/09/1999|0|0|0|0|0|0
Chicago Regional Office| 109149|801-15164|FIDUCIARY MANAGEMENT, INC.|FIDUCIARY MANAGEMENT, INC.|100 EAST WISCONSIN AVENUE|SUITE 2200|MILWAUKEE WI 53202|USA|||  ||DONALD S. WILSON|414-226-4545|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/18/1980|0|0|0|0|0|0
Chicago Regional Office| 109174|801-56778|AILERON LTD|AILERON LTD|818 WEST GRAND RIVER AVENUE||BRIGHTON MI 48116|USA|||  ||KENNETH P. CARROLL|810-494-7190|Corporation|Pension consulting services, Selection of other advisers|APPROVED|09/01/1999|0|0|0|0|0|0
Chicago Regional Office| 109178|801-57970|ADVANCED ASSET MANAGEMENT L.L.C.|ADVANCED ASSET MANAGEMENT L.L.C.|2754 44TH ST SW|SUITE E|WYOMING MI 49519|USA|||  ||RONALD VANSURKSUM|616-531-5220|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|09/15/2000|0|0|0|0|0|0
Chicago Regional Office| 109191|801-55531|HUFFORD FINANCIAL ADVISORS, LLC|HUFFORD FINANCIAL ADVISORS, LLC|8888 KEYSTONE CROSSING|SUITE 1111|INDIANAPOLIS IN 46240|USA|||  ||NAOMI RAMSDEN|(317) 848-4987|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|06/16/1998|0|0|0|0|0|0
Chicago Regional Office| 109196|801-57161|KNAPPENBERGER PARTNERS|KB GROWTH ADVISORS LLC|600 TWELVE OAKS CENTER DRIVE|SUITE 642C|WAYZATA MN 55391|USA|||  ||GAIL M.KNAPPENBERGER|952-674-2966|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/18/2000|0|0|0|0|0|0
Chicago Regional Office| 109220|801-37959|INVESTMENT ADVISORS OF INDIANAPOLIS INC|INVESTMENT ADVISORS OF INDIANAPOLIS INC|10585 NORTH MERIDIAN STREET|SUITE 303|INDIANAPOLIS IN 46290|USA|||  ||JEFF A. VOGEL|317-574-8005|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Other|APPROVED|12/05/1990|0|0|0|0|0|0
Chicago Regional Office| 109228|801-54959|SYVERSON STREGE & COMPANY|SYVERSON STREGE & COMPANY|REGENCY WEST 7|4400 WESTOWN PARKWAY, SUITE 405|WEST DES MOINES IA 50266|USA|||  ||LORINDA ROTH|(515) 225-6000|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|10/01/1997|0|0|0|0|0|0
Chicago Regional Office| 109259|801-55627|NEW CENTURY INVESTMENT MANAGEMENT, INCORPORATED|NEW CENTURY INVESTMENT MANAGEMENT, INCORPORATED|OAKLAND TOWNE SQUARE, ONE TOWNE SQUARE, SUITE 1690||SOUTHFIELD MI 48076-3728|USA|||  ||JEFFREY D. MODELL, ESQ.|248-262-3140|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|06/19/1998|0|0|0|0|0|0
Chicago Regional Office| 109265|801-58149|DBA SILIGMUELLER FINANCIAL MANAGEMENT|DALE SCOTT SILIGMUELLER|460 NORTH MAIN STREET|SUITE 300|GLEN ELLYN IL 60137|USA|||  ||DALE SILIGMUELLER|630-858-3651|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|12/04/2000|0|1|0|0|0|0
Chicago Regional Office| 109269|801-57958|RESULTS ONE FINANCIAL, LLC|RESULTS ONE FINANCIAL, LLC|970 N. OAKLAWN AVENUE|STE. 310|ELMHURST IL 60126|USA|||  ||RIZZO, CHARLES LOUIS|630-834-7880|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|09/21/2000|0|0|0|0|0|0
Chicago Regional Office| 109272|801-58121|CAPRI CAPITAL PARTNERS, LLC|CAPRI CAPITAL PARTNERS, LLC|875 NORTH MICHIGAN AVE|SUITE 3430|CHICAGO IL 60611|USA|||  ||BRIAN C. FARGO|(312) 573-5300|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|11/30/2000|0|0|0|0|0|0
Chicago Regional Office| 109303|801-55988|LASALLE INVESTMENT & BUSINESS MANAGEMENT SERVICES INC|LASALLE INVESTMENT & BUSINESS MANAGEMENT SERVICES INC|1620 SILVERNAIL ROAD||PEWAUKEE WI 53072|USA|||  ||JOHN S MARESH|262-650-1099|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/20/1998|0|0|0|0|0|0
Chicago Regional Office| 109307|801-19395|LASALLE INVESTMENT MANAGEMENT INC.|LASALLE INVESTMENT MANAGEMENT, INC.|200 EAST RANDOLPH DRIVE||CHICAGO IL 60601-6435|USA|||  ||GORDON REPP|312-228-2755|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/28/1983|0|0|0|0|0|0
Chicago Regional Office| 109314|801-54487|ASSET PERFORMANCE PARTNERS LLC|ASSET PERFORMANCE PARTNERS LLC|211 GARRARD STREET||COVINGTON KY 41011|USA|||  ||T. NEIL HEPPLER|859-491-5556|Limited Liability Company|Pension consulting services, Selection of other advisers, Other|APPROVED|05/23/1997|0|0|0|0|0|0
Chicago Regional Office| 109325|801-57400|MCQUEEN FINANCIAL ADVISORS|MCQUEEN FINANCIAL ADVISORS|26676 WOODWARD AVE||ROYAL OAK MI 48067|USA|||  ||CHARLES MCQUEEN|248-548-8400|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/27/2000|0|0|0|0|0|0
Chicago Regional Office| 109339|801-56106|WALT ST WSIM LTD|WALT ST INVESTMENT MANAGEMENT LTD|2824 SWEET FLAG WAY||STOW OH 44224|USA|||  ||JENNIFER K. SOKIRA|330-283-4468|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|12/18/1998|0|0|0|0|0|0
Chicago Regional Office| 109341|801-56979|CAPSTONE FINANCIAL ADVISORS INC|CAPSTONE FINANCIAL ADVISORS INC|2001 BUTTERFIELD ROAD, STE 1750||DOWNERS GROVE IL 60515|USA|||  ||TROY E. BUTE|630-241-0833|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|11/16/1999|0|0|0|0|0|0
Chicago Regional Office| 109358|801-58169|ADAMS STREET PARTNERS, LLC|ADAMS STREET PARTNERS, LLC|ONE NORTH WACKER DRIVE, SUITE 2200||CHICAGO IL 60606-2823|USA|||  ||MICHAEL J. JACOBS|(312) 553-8486|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/30/2000|0|0|0|0|0|0
Chicago Regional Office| 109366|801-58156|ALPHAMARK ADVISORS, LLC|ALPHAMARK ADVISORS, LLC|250 GRANDVIEW DRIVE, SUITE 175||FT. MITCHELL KY 41017|USA|||  ||MICHAEL T MOORE JR|859-957-1803|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/24/2000|0|0|0|0|0|0
Chicago Regional Office| 109375|801-66746|R.J. SUTTS & COMPANY|R.J. SUTTS & COMPANY|24020 VIOLET LANE||ST.CLAIR SHORES MI 48082|USA|||  ||ROBERT JOSEPH SUTTS|586-296-3752|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|06/01/2006|0|0|0|0|0|0
Chicago Regional Office| 109383|801-57064|NORTHPOINTE CAPITAL LLC|NORTHPOINTE CAPITAL LLC|101 WEST BIG BEAVER ROAD|SUITE 745|TROY MI 48084|USA|||  ||KAREN BRENNER WASIL|248-457-1601|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|12/02/1999|0|1|0|0|0|0
Chicago Regional Office| 109401|801-57282|NICOLLET INVESTMENT MANAGEMENT, INC.|NICOLLET INVESTMENT MANAGEMENT, INC.|6750 FRANCE AVENUE SOUTH|SUITE 270|MINNEAPOLIS MN 55435-2004|USA|||  ||CAROL PANOS|952-915-3033|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/22/2000|0|0|0|0|0|0
Chicago Regional Office| 109412|801-56005|WILLIAMS CAPITAL MANAGEMENT COMPANY|WILLIAMS CAPITAL MANAGEMENT COMPANY|825 GREEN BAY ROAD||WILMETTE IL 60091|USA|||  ||DAVID H. WILLIAMS|(847) 256-5565|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/06/1998|0|0|0|0|0|0
Chicago Regional Office| 109421|801-57280|CHICAGO EQUITY PARTNERS|CHICAGO EQUITY PARTNERS LLC|180 NORTH LASALLE STREET|STE 3800|CHICAGO IL 60601|USA|||  ||PETER C. WILLIAMS|312-629-4505|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/23/2000|0|0|0|0|0|0
Chicago Regional Office| 109427|801-56565|TREES INVESTMENT COUNSEL LLC|TREES INVESTMENT COUNSEL LLC|70 W. MADISON STREET|SUITE 640|CHICAGO IL 60602|USA|||  ||SCOTT NEWHALL|312-368-1200|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/27/1999|0|0|0|0|0|0
Chicago Regional Office| 109432|801-55229|NAVPOINT FINANCIAL, INC.|NAVPOINT FINANCIAL, INC.|7760 FRANCE AVE. S., SUITE 1100||EDINA MN 55435|USA|||  ||BRUCE CARLSON|952-886-7303|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/28/1998|0|0|0|0|0|0
Chicago Regional Office| 109440|801-54791|CAPITAL MORTGAGE MANAGEMENT INC|CAPITAL MORTGAGE MANAGEMENT INC|218 HENRY AVE||MANCHESTER MO 63011|USA|||  ||MIKE STEWART|636-207-0160|Corporation|Portfolio management for investment companies|APPROVED|09/03/1997|0|0|0|0|0|0
Chicago Regional Office| 109452|801-55428|TRINITY WEALTH ADVISORS LLC|TRINITY WEALTH ADVISORS LLC|333 SOUTH KIRKWOOD ROAD, SUITE 300||ST.LOUIS MO 63122|USA|||  ||THOMAS GRADY|314-966-0033|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|04/24/1998|0|1|0|0|0|0
Chicago Regional Office| 109459|801-56664|KADEMIAN FINANCIAL GROUP INC|KADEMIAN FINANCIAL GROUP INC|111 E. KILBOURN AVE STE 1850||MILWAUKEE WI 53202-6624|USA|||  ||MARSHA A. KADEMIAN|414-289-9925|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/06/1999|0|0|0|0|0|0
Chicago Regional Office| 109468|801-54779|GRANT INVESTMENT MANAGEMENT|GRANT EDMUND HOWARD|107 BRIARWOOD LANE||OAK BROOK IL 60523-8708|USA|||  ||EDMUND H. GRANT|630-986-1948|Sole Proprietorship|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/06/1997|0|0|0|0|0|0
Chicago Regional Office| 109473|801-55565|VEREDUS ASSET MANAGEMENT LLC|VEREDUS ASSET MANAGEMENT LLC|6060 DUTCHMANS LN, SUITE 320||LOUISVILLE KY 40205|USA|||  ||JAMES R. JENKINS|(502) 899-4098|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/15/1998|0|1|0|0|0|0
Chicago Regional Office| 109474|801-56631|FORESTER CAPITAL MANAGEMENT LTD|FORESTER CAPITAL MANAGEMENT LTD|133 COOK AVE||LIBERTYVILLE IL 60048|USA|||  ||THOMAS H. FORESTER|847-573-8399|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/28/1999|0|0|0|0|0|0
Chicago Regional Office| 109478|801-54335|FSI GROUP, LLC|FSI GROUP, LLC|441 VINE STREET|SUITE 1300|CINCINNATI OH 45202|USA|||  ||CHRISTOPHER A. NELSON|513-746-2200|Limited Liability Company|Other|APPROVED|04/22/1997|0|0|0|0|0|0
Chicago Regional Office| 109481|801-56466|AVIVA CAPITAL MANAGEMENT, INC.|AVIVA CAPITAL MANAGEMENT, INC.|699 WALNUT STREET|SUITE 1700|DES MOINES IA 50309|USA|||  ||MATTHEW G. HANEY|515-362-3600|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/26/1999|0|1|0|0|0|0
Chicago Regional Office| 109488|801-57105|BLUE ROCK ADVISORS INC|BLUE ROCK ADVISORS INC|445 EAST LAKE STREET|SUITE 230|WAYZATA MN 55391|USA|||  ||ANGELA M KNUTZEN|952-229-8704|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/27/1999|0|0|0|0|0|0
Chicago Regional Office| 109496|801-57911|THE JOSEPH GROUP CAPITAL MANAGEMENT|THE JOSEPH GROUP, INC.|300 MARCONI BLVD.||COLUMBUS OH 43215|USA|||  ||MARK J. PALMER|(614) 228-4300|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|09/22/2000|0|0|0|0|0|0
Chicago Regional Office| 109513|801-56914|RUSSELL CAPITAL MANAGEMENT INC|RUSSELL CAPITAL MANAGEMENT INC|476 E HIGH ST|SUITE 100|LEXINGTON KY 40507|USA|||  ||HARRY L. RUSSELL, JR.|859-254-5225|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|10/15/1999|0|0|0|0|0|0
Chicago Regional Office| 109521|801-56283|VERRETTE CAPITAL MANAGEMENT LLC|VERRETTE CAPITAL MANAGEMENT LLC|1030 MONARCH STREET|SUITE 330|LEXINGTON KY 40513|USA|||  ||SHARYN CASE|859-296-1555|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/23/1999|0|0|0|0|0|0
Chicago Regional Office| 109523|801-58076|MATRIX CAPITAL ADVISORS, LLC|MATRIX CAPITAL ADVISORS, LLC|200 SOUTH WACKER DRIVE|SUITE 726|CHICAGO IL 60606|USA|||  ||MICHAEL WIK|(312)612-6111|Limited Liability Company|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|11/14/2000|0|0|0|0|0|0
Chicago Regional Office| 109524|801-68510|ALLSTATE FINANCIAL ADVISORS, LLC|ALLSTATE FINANCIAL ADVISORS, LLC|3100 SANDERS ROAD||NORTHBROOK IL 60062|USA|||  ||THOMAS BITTNER|402-328-5763|Limited Liability Company|Selection of other advisers|APPROVED|11/21/2007|0|2|0|0|0|0
Chicago Regional Office| 109528|801-58099|MAINSTAY CAPITAL MANAGEMENT, LLC|MAINSTAY CAPITAL MANAGEMENT, LLC|10775 SOUTH SAGINAW|BLDG C, SUITE F|GRAND BLANC MI 48439|USA|P.O. BOX 487||GRAND BLANC MI 48480|USA|SCOTT LADUKE|866-444-6246|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|11/14/2000|0|0|0|0|0|0
Chicago Regional Office| 109563|801-57288|HALTER FERGUSON FINANCIAL INC|HALTER FERGUSON FINANCIAL INC|7702 WOODLAND DR, SUITE 150||INDIANAPOLIS IN 46278|USA|||  ||KELLY ENGLERT|317-875-0202|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|02/18/2000|0|0|0|0|0|0
Chicago Regional Office| 109574|801-58125|MANAGED ASSET PORTFOLIOS, LLC|MANAGED ASSET PORTFOLIOS, LLC|950 W. UNIVERSITY, SUITE 100||ROCHESTER MI 48307|USA|||  ||MICHAEL STEPHEN DZIALO|248-601-6677|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Other|APPROVED|11/27/2000|0|0|0|0|0|0
Chicago Regional Office| 109581|801-57283|ASSET MANAGEMENT GROUP LTD|ASSET MANAGEMENT CORPORATION|3400 DUNDEE RD|SUITE 145|NORTHBROOK IL 60062|USA|||  ||GLENN MOVISH|847-291-7909|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/18/2000|0|0|0|0|0|0
Chicago Regional Office| 109587|801-56239|CASTLEARK MANAGEMENT LLC|CASTLEARK MANAGEMENT LLC|1 N. WACKER DRIVE, SUITE 3950||CHICAGO IL 60606|USA|||  ||JAMES H CASTELLINI|312 456 9682|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/04/1999|0|0|0|0|0|0
Chicago Regional Office| 109593|801-56665|PLAZA FINANCIAL ADVISORS INC|PLAZA FINANCIAL ADVISORS INC|101 S. HANLEY RD|STE 1350|CLAYTON MO 63105|USA|||  ||PETER E. DOLAN|(314)726-0600|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|07/07/1999|0|1|0|0|0|0
Chicago Regional Office| 109596|801-55209|RREEF|RREEF AMERICA LLC|875 N. MICHIGAN AVENUE|41ST FLOOR|CHICAGO IL 60611|USA|||  ||ANTHONY CONTE|212-454-1879|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/27/1998|1|5|0|0|0|0
Chicago Regional Office| 109598|801-56550|MACNEALY HOOVER INVESTMENT MANAGEMENT INC|MACNEALY HOOVER INVESTMENT MANAGEMENT INC|MILLENNIUM CENTRE 200 MARKET AVE. N.  SUITE 200||CANTON OH 44702|USA|||  ||HARRY C.C. MACNEALY|330-454-1010|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|06/10/1999|0|0|0|0|0|0
Chicago Regional Office| 109599|801-65076|CENTER FOR FINANCIAL PLANNING INC|CENTER FOR FINANCIAL PLANNING INC|40 OAK HOLLOW ST|SUITE 125|SOUTHFIELD MI 48033-7470|USA|||  ||MARILYN M. GUNTHER|248-948-7900|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|01/04/2006|0|0|0|0|0|0
Chicago Regional Office| 109609|801-57737|BAIRD VENTURE PARTNERS MANAGEMENT COMPANY I, L.L.C.|BAIRD VENTURE PARTNERS MANAGEMENT COMPANY I, L.L.C.|777 EAST WISCONSIN AVE||MILWAUKEE WI 53202|USA|||  ||PAUL L. SCHULTZ|414/298-2655|Limited Liability Company|Other|APPROVED|07/12/2000|0|27|0|0|0|0
Chicago Regional Office| 109610|801-57473|ULLAND INVESTMENT ADVISORS|ULLAND INVESTMENT ADVISORS INC|4550 IDS CENTER|80 S 8TH STREET|MINNEAPOLIS MN 55402|USA|||  ||JAMES SKJONG|612.312.1406|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/14/2000|0|0|1|0|0|0
Chicago Regional Office| 109616|801-57993|DBA CAP ADVISORS|CAPOZZOLI ADVISORY FOR PENSIONS, INC.|21500 HAGGERTY ROAD|ST. 100|NORTHVILLE MI 48167|USA|||  ||PAMELA CAPOZZOLI|248-305-8900|Corporation|Other, Pension consulting services|APPROVED|09/29/2000|0|0|0|0|0|0
Chicago Regional Office| 109638|801-55935|FINANCIAL ASSET MANAGEMENT LTD|FINANCIAL ASSET MANAGEMENT LTD|2287 FOXBORO LANE||NAPERVILLE IL 60564|USA|||  ||LINDA C. REZNY|630-527-1897|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|10/02/1998|0|0|0|0|0|0
Chicago Regional Office| 109644|801-57986|ATLANTIC TRUST PRIVATE WEALTH MANAGEMENT|STEIN ROE INVESTMENT COUNSEL, INC.|ONE SOUTH WACKER DRIVE|SUITE 3500|CHICAGO IL 60606|USA|||  ||SCOTT A. TRAPANI|404-881-3435|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|10/27/2000|0|0|0|0|0|0
Chicago Regional Office| 109650|801-55629|BANKER INVESTMENT GROUP|BANKER INVESTMENT GROUP INC|1241 CUMBERLAND AVENUE|SUITE B|WEST LAFAYETTE IN 47906|USA|||  ||WILLIAM G. BANKER|765-497-1097|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/16/1998|0|0|0|0|0|0
Chicago Regional Office| 109667|801-47676|WADE FINANCIAL GROUP INC|WADE FINANCIAL GROUP INC|5500 WAYZATA BLVD|STE 200|MINNEAPOLIS MN 55416|USA|||  ||JERRY B. WADE|763-797-9577|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters, Other|APPROVED|10/24/1994|0|0|0|0|0|0
Chicago Regional Office| 109673|801-65944|ADVANCED CAPITAL GROUP|ADVANCED CAPITAL GROUP, INC.|50 SOUTH SIXTH STREET|SUITE 975|MINNEAPOLIS MN 55402|USA|||  ||CHARLES LANGOWSKI|612-230-3008|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|01/31/2006|0|0|0|0|0|0
Chicago Regional Office| 109692|801-55936|CCP, INC|CCP, INC|4801 EMERSON|SUITE 106|PALATINE IL 60067|USA|||  ||CAROL COCKRELL PANKROS|847-303-1220|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|10/06/1998|0|0|0|0|0|0
Chicago Regional Office| 109701|801-33422|LASALLE ST. INVESTMENT ADVISORS, L.L.C.|LASALLE ST. INVESTMENT ADVISORS, L.L.C.|940 N. INDUSTRIAL DR.||ELMHURST IL 60126-1131|USA|||  ||DANIEL J SCHLESSER|630-600-0315|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/10/1989|0|4|0|0|0|0
Chicago Regional Office| 109775|801-27200|ELLIOTT & ASSOCIATES INC|ELLIOTT & ASSOCIATES INC|101 WEST KIRKWOOD|SUITE 230|BLOOMINGTON IN 47404|USA|P.O. BOX 727||BLOOMINGTON IN 47402|USA|MATTHEW K. BRADLEY|317-863-0311|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters, Other|APPROVED|06/12/1986|0|0|0|0|0|0
Chicago Regional Office| 109778|801-29108|LAFLEUR & GODFREY, INC. INVESTMENT COUNSEL|LAFLEUR & GODFREY, INC.|2900 CHARLEVOIX DRIVE, SE|SUITE 302|GRAND RAPIDS MI 49546|USA|||  ||DANIEL S. VANTIMMEREN|616-942-1580|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/27/1987|0|0|0|0|0|0
Chicago Regional Office| 109784|801-54428|ARTHUR ZASKE & ASSOCIATES|INSIGHT 2811 INC|755 W. BIG BEAVER ROAD|SUITE 1700|TROY MI 48084|USA|||  ||ARTHUR E. ZASKE|248 687-7200|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/12/1997|0|0|1|0|0|0
Chicago Regional Office| 109788|801-58243|CONTINENTAL ADVISORS LLC|CONTINENTAL ADVISORS LLC|227 WEST MONROE STREET, SUITE 5050||CHICAGO IL 60606|USA|||  ||TRACEY P. BALDERSON|(312)377-3777|Limited Liability Company|Other|APPROVED|12/29/2000|0|0|0|0|0|0
Chicago Regional Office| 109792|801-20667|ROBERTS, GLORE & CO.|ROBERTS, GLORE & CO.|707 LAKE COOK ROAD|SUITE 210|DEERFIELD IL 60015|USA|||  ||BYRON SMYTHE|(224) 330-6980|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/13/1984|0|1|0|0|0|0
Chicago Regional Office| 109793|801-57793|RON STENGER, L.L.C.|RON STENGER, L.L.C.|5051 S. NATIONAL AVE.|BUILDING 5-100|SPRINGFIELD MO 65810-2828|USA|||  ||RONALD K. STENGER|417-889-4300|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/20/2000|0|0|0|0|0|0
Chicago Regional Office| 109802|801-9118|M&I INVESTMENT MANAGEMENT CORP.|M&I INVESTMENT MANAGEMENT CORP.|111 EAST KILBOURN AVENUE||MILWAUKEE WI 53202|USA|||  ||ANGELA M. PALMER|414-287-8836|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|08/29/1977|0|1|1|0|0|0
Chicago Regional Office| 109803|801-8167|CONTINENTAL ASSURANCE COMPANY|CONTINENTAL ASSURANCE COMPANY|333 S. WABASH AVE., 23RD FL||CHICAGO IL 60604|USA|||  ||LYNNE GUGENHEIM|312-822-4921|Corporation|Portfolio management for investment companies|APPROVED|12/14/1971|0|0|0|0|0|0
Chicago Regional Office| 109807|801-58104|MAI WEALTH ADVISORS LLC|MAI WEALTH ADVISORS LLC|1360 EAST 9TH ST, STE 1100||CLEVELAND OH 44114-1782|USA|||  ||THOMAS J. BARTOS|216 436-3290|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|10/02/2000|0|176|2|0|0|0
Chicago Regional Office| 109811|801-33001|FINANCIAL & INVESTMENT MANAGEMENT GROUP LTD|FINANCIAL & INVESTMENT MANAGEMENT GROUP LTD|111 CASS STREET||TRAVERSE CITY MI 49684|USA|111 CASS STREET||TRAVERSE CITY MI 49684|USA|MATT BOHRER|(231)929-4500|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Other|APPROVED|10/06/1988|0|0|0|0|0|0
Chicago Regional Office| 109816|801-58120|THE MOSAIC FINANCIAL GROUP, LLC|THE MOSAIC FINANCIAL GROUP, LLC|330 NORTH WABASH|SUITE 1650|CHICAGO IL 60611|USA|||  ||JANE-ELLEN MARIE WOLAK|312-255-5493|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|11/17/2000|0|0|0|0|0|0
Chicago Regional Office| 109818|801-58210|CCM ADVISORS, LLC|CCM ADVISORS, LLC|190 S. LASALLE ST., SUITE 2800||CHICAGO IL 60603|USA|||  ||SUSAN RUDZINSKI|312-444-6035|Limited Liability Company|Portfolio management for investment companies, Pension consulting services, Selection of other advisers|APPROVED|12/13/2000|0|0|0|0|0|0
Chicago Regional Office| 109834|801-46040|HIGHLAND CONSULTING ASSOCIATES INC.|HIGHLAND CONSULTING ASSOCIATES INC.|159 CROCKER PARK BLVD., SUITE 350||CLEVELAND OH 44145-8132|USA|||  ||KEVIN J. MAHON|440-808-1500|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|03/18/1994|0|0|0|0|0|0
Chicago Regional Office| 109850|801-29040|AON ADVISORS INC.|AON ADVISORS INC.|200 EAST RANDOLPH||CHICAGO IL 60601|USA|||  ||MAUREEN S. BARDA|(312) 381-3320|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/18/1987|0|0|0|0|0|0
Chicago Regional Office| 109862|801-19023|TISCH INVESTMENT ADVISORY INC|TISCH INVESTMENT ADVISORY INC|216 E WASHINGTON ST||ANN ARBOR MI 48104|USA|||  ||DANA UNDERWOOD|734-994-1188|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Publication of periodicals or newsletters|APPROVED|01/06/1984|0|0|0|0|0|0
Chicago Regional Office| 109865|801-60017|CUPPS CAPITAL MANAGEMENT, LLC|CUPPS CAPITAL MANAGEMENT, LLC|208 SOUTH LASALLE STREET|SUITE 1368|CHICAGO IL 60604|USA|||  ||ANDREW SCOTT CUPPS|312-263-1990|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/28/2001|0|0|0|0|0|0
Chicago Regional Office| 109875|801-60075|ASSET ALLOCATION & MANAGEMENT COMPANY, LLC|ASSET ALLOCATION & MANAGEMENT COMPANY, LLC|30 NORTH LASALLE STREET|SUITE 3500|CHICAGO IL 60602|USA|||  ||MARK J. STEIGER|312-263-2900|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/01/2001|0|0|0|0|0|0
Chicago Regional Office| 109882|801-15485|BEESE, FULMER INVESTMENT MANAGEMENT, INC.|BEESE, FULMER INVESTMENT MANAGEMENT, INC.|220 MARKET AVENUE, SOUTH|SUITE 1150|CANTON OH 44702-2177|USA|||  ||KAREN R. BROWN|330-454-6555|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/17/1980|0|0|0|0|0|0
Chicago Regional Office| 109884|801-17104|MGO INVESTMENT ADVISORS INC.|MGO INVESTMENT ADVISORS INC.|THE TOWER AT ERIEVIEW|1301 E. NINTH STREET SUITE 1400|CLEVELAND OH 44114|USA|||  ||LISA A. PETERSON|216-771-4242|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/27/1982|0|0|0|0|0|0
Chicago Regional Office| 109890|801-18388|CAHILL FINANCIAL ADVISORS, INC.|CAHILL FINANCIAL ADVISORS, INC.|7241 OHMS LANE|SUITE 170|EDINA MN 55439|USA|||  ||RICKEY L. ITES|952-926-1659|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/10/1983|0|0|0|0|0|0
Chicago Regional Office| 109898|801-60072|CAPITAL MANAGEMENT GROUP, INC.|CAPITAL MANAGEMENT GROUP, INC.|3809 ILLINOIS AVENUE|SUITE 200|ST. CHARLES IL 60174|USA|||  ||BRIAN GREEN|630-587-0198|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/26/2001|0|0|0|0|0|0
Chicago Regional Office| 109905|801-47262|ADVANTUS CAPITAL MANAGEMENT CO/MN|ADVANTUS CAPITAL MANAGEMENT INC|400 ROBERT ST NORTH||ST PAUL MN 55101-2098|USA|||  ||VICKI L. BAILEY|651-665-4814|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|09/16/1994|0|3|0|0|0|0
Chicago Regional Office| 109916|801-47312|PETTINGA FINANCIAL ADVISORS INC|PETTINGA FINANCIAL ADVISORS INC|501 MAIN STREET|SUITE 100|EVANSVILLE IN 47708|USA|||  ||MARK V. PETTINGA|812-436-4000|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|08/23/1994|0|0|0|0|0|0
Chicago Regional Office| 109918|801-47689|LSV ASSET MANAGEMENT|LSV ASSET MANAGEMENT|1 NORTH WACKER DRIVE|SUITE 4000|CHICAGO IL 60606|USA|||  ||LESLIE KONDZIELA|312-460-2331|Partnership|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/14/1994|0|0|0|0|0|0
Chicago Regional Office| 109920|801-52991|MCDEVITT & BIRD INVESTMENT MANAGEMENT CO|MCDEVITT & BIRD INVESTMENT MANAGEMENT CO|2660 WEST LONGHOLLOW ROAD||ELIZABETH IL 61028-9455|USA|P.O. BOX 507||ELIZABETH IL 61028-0507|USA|ALAN W. BIRD|815-858-2457|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|09/30/1996|0|0|0|0|0|0
Chicago Regional Office| 109933|801-60053|INLAND INVESTMENT ADVISORS, INC.|INLAND INVESTMENT ADVISORS, INC.|2901 BUTTERFIELD ROAD||OAK BROOK IL 60523|USA|||  ||ROBERTA S. MATLIN|(630) 218-4904|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/20/2001|0|1|1|0|0|0
Chicago Regional Office| 109960|801-57918|MEADOWBROOK INVESTMENT ADVISORS LLC|MEADOWBROOK INVESTMENT ADVISORS LLC|17199 N LAUREL PARK DR|STE 311|LIVONIA MI 48152-7904|USA|||  ||ROBERT GRABOWSKI|734-953-8688|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/29/2000|0|0|0|0|0|0
Chicago Regional Office| 109973|801-57329|MURPHY POHLAD ASSET MANAGEMENT LLC|MURPHY POHLAD ASSET MANAGEMENT LLC|11100 BREN ROAD WEST||MINNETONKA MN 55343|USA|||  ||JOHN M. MURPHY|952-653-1093|Limited Liability Company|Portfolio management for individuals and/or small businesses, Other|APPROVED|03/24/2000|0|0|0|0|0|0
Chicago Regional Office| 109993|801-60988|OARSMAN CAPITAL, INC|OARSMAN CAPITAL, INC|759 NORTH MILWAUKEE STREET||MILWAUKEE WI 53202|USA|||  ||ALAN L. PURINTUN|414/221-0081|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|03/15/2002|0|0|0|0|0|0
Chicago Regional Office| 109998|801-57632|TOWERHILL WEALTH MANAGEMENT, LLC|TOWERHILL WEALTH MANAGEMENT, LLC|10 SOUTH LYLE AVE.||ST. LOUIS MO 63105|USA|||  ||HAROLD R. KROEGER|314-725-6300|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|06/05/2000|0|0|0|0|0|0
Chicago Regional Office| 110012|801-56285|KENWOOD CAPITAL MANAGEMENT LLC|KENWOOD CAPITAL MANAGEMENT LLC|333 SOUTH 7TH STREET|SUITE 2330|MINNEAPOLIS MN 55402|USA|||  ||HOLLY L. MAHLING|612-659-0643|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|03/10/1999|0|3|0|0|0|0
Chicago Regional Office| 110022|801-61312|PRUDENT MAN ADVISORS, INC.|PRUDENT MAN ADVISORS, INC.|27545 DIEHL ROAD, SUITE 100||WARRENVILLE IL 60555|USA|||  ||MICHAEL R. ENGLISH|630-393-9494|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/15/2002|0|0|0|0|0|0
Chicago Regional Office| 110031|801-56552|GRIES FINANCIAL LLC|GRIES FINANCIAL LLC|1801 E NINTH STREET STE 1600||CLEVELAND OH 44114-3103|USA|||  ||JEFFREY H. PALMER|216-861-1148|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|04/16/1999|0|0|0|0|0|0
Chicago Regional Office| 110035|801-54963|SHAY ASSETS MANAGEMENT INC|SHAY ASSETS MANAGEMENT INC|230 W MONROE STREET, SUITE 2810||CHICAGO IL 60606|USA|||  ||DAN ELLENWOOD|312-214-6593|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/06/1997|0|0|0|0|0|0
Chicago Regional Office| 110039|801-54375|PARAGON ADVISORS, INC.|PARAGON ADVISORS, INC.|20820 CHAGRIN BLVD, CHAGRIN CORPORATE CENTER|SUITE 300|SHAKER HEIGHTS OH 44122|USA|||  ||TERENCE C. SULLIVAN|216-491-3990|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|05/27/1997|0|0|0|0|0|0
Chicago Regional Office| 110048|801-55807|PLAN STRATEGIES INC|PLAN STRATEGIES INC|1107 HAZELTINE BOULEVARD, SUITE 100||CHASKA MN 55318|USA|||  ||JOSEPH DANIEL MCQUILLEN, JR.|952-556-5103|Corporation|Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|08/18/1998|0|0|0|0|0|0
Chicago Regional Office| 110051|801-24220|SLEDRUNNER ADVISORY SERVICES|SLEDRUNNER ADVISORY SERVICES|244 NORTH ROSE STREET|SUITE 150|KALAMAZOO MI 49007|USA|||  ||THOMAS J. GAUNTLETT|(269)552-9233|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|05/22/1985|0|0|0|0|0|0
Chicago Regional Office| 110052|801-21400|PEREGRINE CAPITAL MANAGEMENT, INC.|PEREGRINE CAPITAL MANAGEMENT, INC.|800 LASALLE, SUITE 1850||MINNEAPOLIS MN 55402|USA|||  ||DAVID S. LUNT|612-343-7632|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/15/1984|0|0|0|0|0|0
Chicago Regional Office| 110057|801-47160|URBAN FINANCIAL ADVISORY CORPORATION|URBAN FINANCIAL ADVISORY CORP|1601 SHERMAN AVE|SUITE 510|EVANSTON IL 60201|USA|||  ||SHANE SMITH|(847) 332-1795|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/03/1994|0|0|0|0|0|0
Chicago Regional Office| 110068|801-14613|MONEY MANAGERS INC|MONEY MANAGERS INC|7600 PARKLAWN AVE|SUITE 376|EDINA MN 55435-5129|USA|||  ||CAROL ANN C BACKLUND|952-835-1185|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/24/1979|0|0|0|0|0|0
Chicago Regional Office| 110090|801-15662|LESJAK PLANNING CORP|LESJAK PLANNING CORP|1991 CROCKER RD|SUITE 575|WESTLAKE OH 44145|USA|||  ||DAVID MATTHEW LESJAK|440-871-9500|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|12/12/1980|0|0|0|0|0|0
Chicago Regional Office| 110105|801-57947|SYMMETRIC ADVISORS INC|SYMMETRIC ADVISORS INC|13911 RIDGEDALE DR|SUITE 425|MINNETONKA MN 55305|USA|||  ||DAVID J. THOMPSON|952-541-1605|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/18/2000|0|0|0|0|0|0
Chicago Regional Office| 110108|801-56728|PRIVATE CAPITAL MANAGEMENT INC|PRIVATE CAPITAL MANAGEMENT INC|2600 EAGAN WOODS DR STE 150||EAGAN MN 55121-1167|USA|||  ||BRIAN KEITH SMITH|651-452-0212|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|08/17/1999|0|0|0|0|0|0
Chicago Regional Office| 110112|801-50616|SUMMIT FINANCIAL STRATEGIES INC|SUMMIT FINANCIAL STRATEGIES INC|110 NORTHWOODS BLVD, 2ND FLOOR||COLUMBUS OH 43235-4723|USA|||  ||SAMANTHA A.L. MACCHIA|614-885-1115|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|11/15/1995|0|0|0|0|0|0
Chicago Regional Office| 110118|801-58213|PROVIDENT TRUST COMPANY|PROVIDENT TRUST COMPANY|N16 W23217 STONE RIDGE DRIVE|SUITE 310|WAUKESHA WI 53188|USA|||  ||MAX E. GREFIG|262-521-2332|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|12/15/2000|0|0|0|0|0|0
Chicago Regional Office| 110153|801-57534|IRONBRIDGE CAPITAL MANAGEMENT, LP|IRONBRIDGE CAPITAL MANAGEMENT, LP|ONE PARKVIEW PLAZA, SUITE 600||OAKBROOK TERRACE IL 60181|USA|||  ||JOHN G. DAVIS|630-684-8300|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/23/2000|0|0|0|0|0|0
Chicago Regional Office| 110161|801-47027|PROACTIVE MONEY MANAGEMENT INC|PROACTIVE MONEY MANAGEMENT INC|3401 TECHNOLOGY DR.|SUITE 200|LAKE SAINT LOUIS MO 63367|USA|||  ||JEFFREY J. UNTERREINER|636-561-0100 X2|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Market timing services|APPROVED|07/14/1994|0|0|0|0|0|0
Chicago Regional Office| 110162|801-31531|HEWITT INVESTMENT GROUP LLC|HEWITT INVESTMENT GROUP LLC|100 HALF DAY ROAD||LINCOLNSHIRE IL 60069|USA|||  ||PETER E. ROSS|847-295-5000|Limited Liability Company|Pension consulting services, Selection of other advisers|APPROVED|02/25/1988|0|0|0|0|0|0
Chicago Regional Office| 110179|801-57823|GEN FINANCIAL MANAGEMENT INC.|GEN FINANCIAL MANAGEMENT INC.|10800 OLD COUNTY ROAD 15||PLYMOUTH MN 55441|USA|||  ||ERIC C. MOLESKI|(952) 513-1466|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|08/02/2000|0|0|0|0|0|0
Chicago Regional Office| 110180|801-57459|EXECUTIVE FINANCIAL SERVICES INC|EXECUTIVE FINANCIAL SERVICES INC|33133 SCHOOLCRAFT RD||LIVONIA MI 48150|USA|||  ||ARTHUR R. COLE|734-427-2030|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/10/2000|0|0|0|0|0|0
Chicago Regional Office| 110185|801-57991|MILESTONE REALTY SERVICES, INC.|MILESTONE REALTY SERVICES, INC.|306 S. WASHINGTON, SUITE 300||ROYAL OAK MI 48067|USA|||  ||JACQUELINE PAUL|248-591-7105, EXT. 1002|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/29/2000|0|0|1|0|0|0
Chicago Regional Office| 110188|801-28843|SUMMIT INVESTMENT MANAGEMENT, LTD.|SUMMIT INVESTMENT MANAGEMENT, LTD.|400 EAST WISCONSIN AVENUE|SUITE 300|MILWAUKEE WI 53202|USA|||  ||THOMAS J. CZECH|(414) 291-4488|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/13/1987|0|1|0|0|0|0
Chicago Regional Office| 110194|801-55488|WINCH ADVISORY SERVICES LLC|WINCH ADVISORY SERVICES, LLC|424 E.WISCONSIN AVENUE||APPLETON WI 54911|USA|||  ||CHRISTINA WINCH|920-739-8577|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|04/30/1998|0|0|0|0|0|0
Chicago Regional Office| 110196|801-41803|HM CAPITAL MANAGEMENT INC|HM CAPITAL MANAGEMENT INC|218 E. 10TH STREET||INDIANAPOLIS IN 46202|USA|||  ||MAX E. HUDSPETH|317-231-9752|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/25/1992|0|0|0|0|0|0
Chicago Regional Office| 110223|801-18808|INVESTMENTS TECHNOLOGY INC|INVESTMENTS TECHNOLOGY INC|18820 HIGH PARKWAY||ROCKY RIVER OH 44116|USA|||  ||SAUMIL JHAVERI|440-356-1565|Corporation|Portfolio management for investment companies|APPROVED|03/29/1983|0|0|0|0|0|0
Chicago Regional Office| 110261|801-58020|HARBOUR FINANCIAL RESOURCES, LTD|HARBOUR FINANCIAL RESOURCES, LTD|9933 LAWLER AVE., SUITE 500||SKOKIE IL 60077|USA|||  ||ROBERT A. LEON|847-675-6836|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|10/17/2000|0|0|0|0|0|0
Chicago Regional Office| 110268|801-18310|PLANNING ALTERNATIVES LTD|PLANNING ALTERNATIVES LTD|838 WEST LONG LAKE ROAD|SUITE 100|BLOOMFIELD HILLS MI 48302-2070|USA|||  ||WILLIAM H. VANOVER|248.645.1520|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/02/1983|0|0|0|0|0|0
Chicago Regional Office| 110276|801-3364|SARGENT MANAGEMENT CO|SARGENT MANAGEMENT CO|601 CARLSON PARKWAY|SUITE 800|MINNETONKA MN 55305|USA|||  ||JERALD S. JOHNSON|952-835-2577|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|01/19/1964|0|0|0|0|0|0
Chicago Regional Office| 110277|801-39487|REVIEW SERVICES INC|REVIEW SERVICES INC|13255 WEST BLUEMOUND ROAD|SUITE 205|BROOKFIELD WI 53005|USA|||  ||TIM A. KONICKE|262/784-9690|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/15/1991|0|0|0|0|0|0
Chicago Regional Office| 110283|801-29690|WESTMINSTER FINANCIAL ADVISORY CORP|WESTMINSTER FINANCIAL ADVISORY CORP|400 COURTHOUSE PLAZA SW||DAYTON OH 45402|USA|||  ||CHRISTOPHER J. BRODERICK|937-898-5010|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|06/15/1987|0|1|0|0|0|0
Chicago Regional Office| 110284|801-18512|MONETARY MANAGEMENT GROUP INC|MONETARY MANAGEMENT GROUP INC|13537 BARRETT PARKWAY DRIVE|SUITE 325|ST LOUIS MO 63021|USA|||  ||TOM WRIGHT JR|(314) 909-0646|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/01/1983|0|3|0|0|0|0
Chicago Regional Office| 110289|801-44147|GUSTAFSON BAXTER FINANCIAL SERVICES INC|GUSTAFSON, BAXTER FINANCIAL SERVICES, INC.|3934 NORTH HAMPTON DRIVE||POWELL OH 43065|USA|||  ||BRUCE W BAXTER|(614) 413-0070|Corporation|Financial planning services, Market timing services|APPROVED|06/29/1993|0|0|0|0|0|0
Chicago Regional Office| 110297|801-52751|MADISON MOSAIC FUNDS|MADISON MOSAIC LLC|550 SCIENCE DRIVE||MADISON WI 53711|USA|||  ||W RICHARD MASON|480-443-9537|Limited Liability Company|Portfolio management for investment companies|APPROVED|08/29/1996|0|0|0|0|0|0
Chicago Regional Office| 110302|801-23526|JMG FINANCIAL GROUP LTD|JMG FINANCIAL GROUP LTD|2301 W. 22ND STREET SUITE 300||OAK BROOK IL 60523-1264|USA|||  ||ROBERT T. MEEKS|630-571-5252|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|02/13/1985|0|0|0|0|0|0
Chicago Regional Office| 110304|801-58276|PRESTIGE PLANNING, INC.|PRESTIGE PLANNING, INC.|8631 EAGLE POINT BLVD||LAKE ELMO MN 55042|USA|||  ||CHARLES A. BLOSSOM|651-209-9333|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|01/09/2001|0|0|0|0|0|0
Chicago Regional Office| 110309|801-49640|MADDEN FUNDS MANAGEMENT|MADDEN FUNDS MANAGEMENT LTD.|101 LAKE STREET SUITE 604||OAK PARK IL 60301|USA|||  ||MICHAEL MADDEN|708.848.3200|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|08/14/1995|0|0|0|0|0|0
Chicago Regional Office| 110317|801-57093|SUCCESSFUL RESOURCE MANAGEMENT, LTD.|SUCCESSFUL RESOURCE MANAGEMENT, LTD.|7017 HICKMAN ROAD||URBANDALE IA 50322|USA|||  ||GERRIT VRIEZE|515-279-1400|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/17/1999|0|0|0|0|0|0
Chicago Regional Office| 110351|801-2731|MAIRS AND POWER INC|MAIRS AND POWER INC|332 MINNESOTA STREET|W1520 FIRST NATIONAL BANK BLDG|ST PAUL MN 55101-1363|USA|||  ||JON A. THEOBALD|651-222-8478|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/15/1961|0|0|0|0|0|0
Chicago Regional Office| 110354|801-11728|WESTWOOD MANAGEMENT CORPORATION|WESTWOOD MANAGEMENT CORPORATION|208 S LASALLE ST||CHICAGO IL 60604|USA|||  ||CINDY MOODY|312-236-3336|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/18/1976|0|0|0|0|0|0
Chicago Regional Office| 110356|801-9840|MADISON INVESTMENT ADVISORS|MADISON INVESTMENT ADVISORS INC|550 SCIENCE DRIVE||MADISON WI 53711|USA|||  ||W RICHARD MASON|480-443-9537|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|05/08/1974|0|0|0|0|0|0
Chicago Regional Office| 110372|801-57370|ASSET STRATEGY CONSULTANTS OF MINNESOTA LLC|ASSET STRATEGY CONSULTANTS OF MINNESOTA LLC|7218 FOREST VIEW LANE||MAPLE GROVE MN 55369|USA|||  ||WILLIAM O. STRAND III|763-201-1025|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/10/2000|0|0|0|0|0|0
Chicago Regional Office| 110374|801-55585|BERTHEL SCHUTTER LLC|BERTHEL SCHUTTER LLC|FIRST NATIONAL BANK BUILDING|332 MINNESOTA STREET, SUITE WEST 1380|ST PAUL MN 55101|USA|||  ||DIANE BERTHEL|651-228-0750|Limited Liability Company|Pension consulting services, Selection of other advisers, Other|APPROVED|05/27/1998|0|0|0|0|0|0
Chicago Regional Office| 110377|801-46595|FIRST HEARTLAND CONSULTANTS, INC.|FIRST HEARTLAND CONSULTANTS, INC.|1839 LAKE ST LOUIS BLVD||LAKE ST LOUIS MO 63367|USA|||  ||STOYAN P. PETEV|636-625-0900|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|05/23/1994|1|0|0|0|0|0
Chicago Regional Office| 110382|801-13081|HABERER REGISTERED INVESTMENT ADVISOR INC|HABERER REGISTERED INVESTMENT ADVISOR INC|201 E FIFTH ST|SUITE 1100|CINCINNATI OH 45202|USA|||  ||PEGGY WAGONER|513-381-8200|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/09/1977|0|3|1|0|0|0
Chicago Regional Office| 110383|801-42319|HERITAGE CAPITAL MANAGEMENT INC|HERITAGE CAPITAL MANAGEMENT INC|500 PARK BLVD.|SUITE 810|ITASCA IL 60143|USA|||  ||ANN MARIANI-ISSEL|630-250-4700|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|09/15/1992|0|0|0|0|0|0
Chicago Regional Office| 110384|801-40371|PERSONAL CHOICE FINANCIAL ADVISORS, LLC|PERSONAL CHOICE FINANCIAL ADVISORS, LLC|4555 LAKE FOREST DRIVE|650 WESTLAKE CENTER|CINCINNATI OH 45242|USA|||  ||JOHN BRITTON|513-588-8080|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|12/16/1991|0|0|0|0|0|0
Chicago Regional Office| 110394|801-53829|WISCONSIN CAPITAL MANAGEMENT, LLC|WISCONSIN CAPITAL MANAGEMENT, LLC|1200 JOHN Q. HAMMONS DRIVE|2ND FLOOR|MADISON WI 53717|USA|P. O. BOX 1788||MADISON WI 53701|USA|CONNIE M. REDMAN|608/824-8800|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|01/29/1997|0|0|0|0|0|0
Chicago Regional Office| 110401|801-21826|POWERS INVESTMENT ADVISORY CORP|POWERS INVESTMENT ADVISORY CORP|279 SKYE RD.||HIGHLAND HTS. OH 44143|USA|||  ||WILLIAM P. POWERS|440-442-4483|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|09/07/1984|0|0|0|0|0|0
Chicago Regional Office| 110406|801-52746|BURR OAK GROUP INC.|BURR OAK GROUP INC|PARKDALE PLAZA, SUITE 426|1660 SOUTH HIGHWAY 100|ST LOUIS PARK MN 55416|USA|||  ||RANDALL J. SUKOVICH|952-512-1165|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|09/17/1996|0|0|0|0|0|0
Chicago Regional Office| 110422|801-15619|TERRIL & COMPANY|TERRIL BROTHERS INC|11906 MANCHESTER RD|SUITE 301|ST LOUIS MO 63131|USA|PO BOX 31277||SAINT LOUIS MO 63131|USA|JOHN J TERRIL|314-965-0344|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/12/1980|0|0|0|0|0|0
Chicago Regional Office| 110425|801-40176|ABUNDANCE TECHNOLOGIES, INC.|ABUNDANCE TECHNOLOGIES, INC.|3700 PARK 42 DRIVE|STE 105A|CINCINNATI OH 45241|USA|||  ||DANIEL J. LIST|513-563-8015|Corporation|Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|12/05/1991|0|0|0|0|0|0
Chicago Regional Office| 110433|801-12359|JAMES INVESTMENT RESEARCH INC|JAMES INVESTMENT RESEARCH INC|1349 FAIRGROUND ROAD||XENIA OH 45385|USA|P. O. BOX 8||ALPHA OH 45301|USA|THOMAS L. MANGAN|937-426-7640|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|10/02/1976|0|0|0|0|0|0
Chicago Regional Office| 110449|801-66712|TREECE INVESTMENT ADVISORY CORP|TREECE INVESTMENT ADVISORY CORP|6800 W. CENTRAL AVENUE|UNIT G-1|TOLEDO OH 43617|USA|||  ||DOCK D. TREECE|419-843-7744|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|05/03/2006|0|0|0|0|0|0
Chicago Regional Office| 110465|801-13491|HENDLEY & CO. INC.|HENDLEY & CO INC|822 ADAIR AVENUE||ZANESVILLE OH 43701|USA|P.O. BOX 3308||ZANESVILLE OH 43702|USA|SUSAN B. HENDLEY|740-452-4523|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/16/1977|0|0|0|0|0|0
Chicago Regional Office| 110482|801-58031|HARVEY INVESTMENT COMPANY, LLC|HARVEY INVESTMENT COMPANY, LLC|4965 U.S. HIGHWAY 42, SUITE 1600||LOUISVILLE KY 40222|USA|||  ||JOHN J. DAVIS III|502-339-8270|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/26/2000|0|0|0|0|0|0
Chicago Regional Office| 110483|801-53285|BOECKERMANN, GRAFSTROM & MAYER WEALTH MANAGEMENT, LLC|BOECKERMANN, GRAFSTROM & MAYER WEALTH MANAGEMENT, LLC|7900 XERXES AVENUE SOUTH|SUITE 1200|BLOOMINGTON MN 55431|USA|||  ||JON T. MEYER|952-844-2500|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Other|APPROVED|11/18/1996|0|0|0|0|0|0
Chicago Regional Office| 110491|801-40057|PPS & V ASSET MANAGEMENT CONSULTANTS INC|PPS & V ASSET MANAGEMENT CONSULTANTS INC|2750 OLD CENTRE AVE||PORTAGE MI 49024|USA|||  ||DONALD W. PRIOR|269-321-4444|Corporation|Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|10/28/1991|0|0|0|0|0|0
Chicago Regional Office| 110493|801-40822|MOLLER FINANCIAL SERVICES|JACK MOLLER & ASSOCIATES, INC.|ONE NORTHFIELD PLAZA, SUITE 200||NORTHFIELD IL 60093|USA|||  ||JOHN BENJAMIN NOWAK|847-441-7575|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/18/1992|0|0|0|0|0|0
Chicago Regional Office| 110499|801-39288|ALPHA CAPITAL MANAGEMENT INC.|ALPHA CAPITAL MANAGEMENT INC|3011 WEST GRAND BLVD|SUITE 1516|DETROIT MI 48202|USA|||  ||RALPH J. BURRELL|313-874-5079|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/26/1991|0|0|0|0|0|0
Chicago Regional Office| 110507|801-15995|ABBIT MANAGEMENT CORP|ABBIT MANAGEMENT CORP|ONE S HARBOR AVE||GRAND HAVEN MI 49417|USA|||  ||JOSEPH E. RISSELADE|616-842-0280|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/17/1981|0|0|0|0|0|0
Chicago Regional Office| 110532|801-60208|SILVEROAK WEALTH MANAGEMENT LLC|SILVEROAK WEALTH MANAGEMENT LLC|920 SECOND AVENUE SOUTH|SUITE 1550|MINNEAPOLIS MN 55402|USA|||  ||SHANNON KING|(612) 373-9049|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|04/27/2001|0|0|0|0|0|0
Chicago Regional Office| 110540|801-53560|CITADEL INVESTMENT ADVISORY INC|CITADEL INVESTMENT ADVISORY INC|12290 WEDGEFIELD LANE||CHESTERLAND OH 44026|USA|PO BOX 600||WILLOUGHBY OH 44096-0600|USA|KURT T. LIEDTKE|440-942-8877|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|03/05/1997|0|0|0|0|0|0
Chicago Regional Office| 110575|801-57426|QUANTITATIVE ADVANTAGE LLC|QUANTITATIVE ADVANTAGE LLC|10225 YELLOW CIRCLE DRIVE|SUITE 100|MINNETONKA MN 55343|USA|||  ||JOHN W. WING|952-944-3206|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|03/31/2000|0|0|0|0|0|0
Chicago Regional Office| 110593|801-17378|COYLE ASSET MANAGEMENT CO|COYLE ASSET MANAGEMENT CO|2700 PATRIOT BLVD.|SUITE 440|GLENVIEW IL 60026|USA|||  ||EDWARD J. KELLY, JR.|847-441-5644|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|07/22/1982|0|0|0|0|0|0
Chicago Regional Office| 110603|801-26809|NEW ERA FINANCIAL ADVISORS, INC.|NEW ERA FINANCIAL ADVISORS, INC|801 TWELVE OAKS CENTER DRIVE|SUITE 826|WAYZATA MN 55391-1493|USA|||  ||DONALD A. WARNER|952-473-1116|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies|APPROVED|04/25/1986|0|0|0|0|0|0
Chicago Regional Office| 110615|801-42983|PROPER ANALYSIS CORP|PROPER ANALYSIS CORP|3201 ENTERPRISE PARKWAY|SUITE 320|BEACHWOOD OH 44122-4640|USA|||  ||ANNE P. OGAN|216-595-3842|Corporation|Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|12/24/1992|0|0|0|0|0|0
Chicago Regional Office| 110638|801-32176|DIAMOND HILL CAPITAL MANAGEMENT INC|DIAMOND HILL CAPITAL MANAGEMENT INC|325 JOHN H. MCCONNELL BLVD.|SUITE 200|COLUMBUS OH 43215|USA|||  ||JAMES F. LAIRD|614-255-3353|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/02/1988|0|1|1|0|0|0
Chicago Regional Office| 110639|801-15052|CAPITAL INVESTMENT SERVICES OF AMERICA INC|CAPITAL INVESTMENT SERVICES OF AMERICA INC|700 N WATER ST STE 325||MILWAUKEE WI 53202|USA|||  ||RUTH A. BENBEN|414-278-7744|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/21/1980|0|1|0|0|0|0
Chicago Regional Office| 110642|801-63047|HORIZON INVESTMENT SERVICES, LLC.|HORIZON INVESTMENT SERVICES, LLC.|7412 CALUMET AVE||HAMMOND IN 46324-2692|USA|||  ||THOMAS J. HATHOOT|(219) 852-3215|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Other|APPROVED|04/08/2004|0|0|0|0|0|0
Chicago Regional Office| 110645|801-18825|INDEPENDENT SERVICE CO INC|INDEPENDENT SERVICE CO INC|7760 FRANCE AVENUE SOUTH, #270||MINNEAPOLIS MN 55435-4484|USA|||  ||ANTHONY ALBRIGHT|952 835-1560|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|07/08/1983|0|0|0|0|0|0
Chicago Regional Office| 110650|801-50052|CLARK FINANCIAL SERVICES GROUP, INC.|CLARK FINANCIAL SERVICES GROUP INC|14310 OLIVE BLVD||CHESTERFIELD MO 63017|USA|||  ||KEVIN CLARK|314-469-5000|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters, Market timing services|APPROVED|09/18/1995|0|0|0|0|0|0
Chicago Regional Office| 110660|801-41971|PAMPEL & ASSOCIATES INC|PAMPEL & ASSOCIATES INC|101 SOUTH MAIN STREET||MONTICELLO IN 47960|USA|||  ||ERIC J. PAMPEL|(574)583-7333|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|08/03/1992|0|0|0|0|0|0
Chicago Regional Office| 110692|801-20404|SPC|SIGMA PLANNING CORP|4261 PARK RD||ANN ARBOR MI 48103|USA|||  ||JENNIFER BACARELLA|734-663-1611|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Market timing services|APPROVED|01/11/1984|1|2|0|0|0|0
Chicago Regional Office| 110698|801-8513|MEAD ADAM & CO INC|MEAD ADAM & CO INC|2110 KETTERING TOWER||DAYTON OH 45423|USA|||  ||MICHELLE K. STROH|614-365-9103|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/23/1972|0|0|0|0|0|0
Chicago Regional Office| 110715|801-56726|HOWE BARNES CAPITAL MANAGEMENT, INC.|HOWE BARNES CAPITAL MANAGEMENT, INC.|C/O HOWE BARNES HOEFER & ARNETT, INC.|222 SOUTH RIVERSIDE PLAZA, 7TH FLOOR|CHICAGO IL 60606-5808|U.S.A.|||  ||DEAN A. FOLIAS|312-655-2771|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|07/29/1999|0|9|0|0|0|0
Chicago Regional Office| 110718|801-41736|ALL STAR FINANCIAL INC|ALL STAR FINANCIAL INC|3800 W. 80TH ST #750||MINNEAPOLIS MN 55431|USA|||  ||MAREN AIPPERSPACH|952-896-3820|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/18/1992|0|0|0|0|0|0
Chicago Regional Office| 110725|801-20781|PROFESSIONAL PLANNING CONSULTANTS INC|PROFESSIONAL PLANNING CONSULTANTS INC|5000 HORIZONS DR||COLUMBUS OH 43220|USA|||  ||DOUGLAS M SHEFFIELD|614-267-2600|Corporation|Financial planning services, Pension consulting services, Selection of other advisers|APPROVED|01/01/1984|0|0|0|0|0|0
Chicago Regional Office| 110739|801-14380|NEW ENGLAND RESEARCH & MANAGEMENT, INC.|NEW ENGLAND RESEARCH & MANAGEMENT, INC.|53 WEST JACKSON BLVD|603|CHICAGO IL 60604|USA|||  ||MARGUERITE M. MCMULLEN|312-212-1704|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|02/16/1979|0|0|0|0|0|0
Chicago Regional Office| 110740|801-56195|CINFIN CAPITAL MANAGEMENT|CINFIN CAPITAL MANAGEMENT COMPANY|6200 SOUTH GILMORE ROAD||FAIRFIELD OH 45014|USA|||  ||MICHAEL O'CONNOR|513-870-2649|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/25/1999|0|0|0|0|0|0
Chicago Regional Office| 110752|801-15258|PENSION ADMINISTRATORS & CONSULTANTS INC|PENSION ADMINISTRATORS & CONSULTANTS INC|1544 WOODLAKE DRIVE||CHESTERFIELD MO 63017|USA|||  ||DOUGLAS V WESTALL|314-878-1544|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|06/06/1980|0|0|0|0|0|0
Chicago Regional Office| 110754|801-36109|MESIROW ADVANCED STRATEGIES INC|MESIROW ADVANCED STRATEGIES INC|321 N. CLARK STREET||CHICAGO IL 60654|USA|||  ||STEVE FARMER|312-595-6874|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|03/02/1990|0|0|0|0|0|0
Chicago Regional Office| 110757|801-16937|WAYNE HUMMER ASSET MANAGEMENT COMPANY|WAYNE HUMMER ASSET MANAGEMENT COMPANY|222 SOUTH RIVERSIDE PLAZA|SUITE 2800|CHICAGO IL 60606|USA|PO BOX 750||CHICAGO IL 60606-0750|USA|ELLIOTT SILVER|(312) 431-1700|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/24/1982|0|1|0|0|0|0
Chicago Regional Office| 110762|801-21073|FLEXIBLE PLAN INVESTMENTS LTD|FLEXIBLE PLAN INVESTMENTS LTD|3883 TELEGRAPH RD|STE 100|BLOOMFIELD HILLS MI 48302-1432|USA|||  ||BETHANY J. MCHALE|248-642-6640|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters, Security ratings or pricing services, Other|APPROVED|04/12/1984|0|2|0|0|0|0
Chicago Regional Office| 110767|801-28092|ADVANCE CAPITAL MANAGEMENT INC|ADVANCE CAPITAL MANAGEMENT INC|ONE TOWNE SQUARE|SUITE 444|SOUTHFIELD MI 48076|USA|||  ||CHRIS KOSTIZ|248-350-8543|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/09/1986|0|0|0|0|0|0
Chicago Regional Office| 110769|801-16510|CHISHOLM & DAMES INC|CHISHOLM & DAMES INC|123 N. ASHLEY|SUITE 201|ANN ARBOR MI 48104|USA|||  ||SCOTT CHISHOLM|734-995-0829|Corporation|Portfolio management for individuals and/or small businesses, Market timing services|APPROVED|11/05/1981|0|0|0|0|0|0
Chicago Regional Office| 110781|801-16134|J.H. ELLWOOD & ASSOCIATES, INC.|J.H. ELLWOOD & ASSOCIATES, INC.|33 W MONROE|SUITE 1850|CHICAGO IL 60603|USA|||  ||SUE TOTH|312.782.5432|Corporation|Pension consulting services, Selection of other advisers, Other|APPROVED|06/22/1981|0|0|0|0|0|0
Chicago Regional Office| 110792|801-22099|LEMLEY YARLING MANAGEMENT CO|LEMLEY YARLING MANAGEMENT CO|42 S. WASHINGTON STREET|#3|HINSDALE IL 60521|USA|||  ||RALPH J. LEMLEY|630-323-8422|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters, Other|APPROVED|09/04/1984|0|3|0|0|0|0
Chicago Regional Office| 110799|801-36076|JOHN A. WOLFE & ASSOCIATES, INC.|JOHN A. WOLFE & ASSOCIATES, INC.|3050 OLD CENTRE ROAD|SUITE 101|PORTAGE MI 49024-4882|USA|||  ||JANICE B. CAMPBELL|(269) 324-1988|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|03/16/1990|0|0|0|0|0|0
Chicago Regional Office| 110824|801-21753|CAPITAL PROGRAMS ADVISORY CORP|CAPITAL PROGRAMS ADVISORY CORP|2755 EASTWOOD AVENUE|1ST FLOOR|EVANSTON IL 60201|USA|||  ||RICHARD A. GILLIS|847-328-7700|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Publication of periodicals or newsletters|APPROVED|08/06/1984|0|0|0|0|0|0
Chicago Regional Office| 110828|801-58224|DUNCKER, STREETT &CO., LLC|DUNCKER, STREETT & CO., LLC|8000 MARYLAND|SUITE 300|ST. LOUIS MO 63105|USA|||  ||KELLY B. SULLIVAN|314-726-2600|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/14/2000|0|0|0|0|0|0
Chicago Regional Office| 110829|801-46835|INVESTAMERICA INVESTMENT ADVISORS INC|INVESTAMERICA INVESTMENT ADVISORS INC|101 SECOND STREET, SE|SUITE 800|CEDAR RAPIDS IA 52401|USA|||  ||ROBERT A COMEY|319-363-8249|Corporation|Portfolio management for investment companies|APPROVED|06/29/1994|0|0|0|0|0|0
Chicago Regional Office| 110856|801-62310|VRAKAS/BLUM FINANCIAL ADVISORS, INC.|VRAKAS/BLUM FINANCIAL ADVISORS, INC.|445 S. MOORLAND ROAD|SUITE 400|BROOKFIELD WI 53005|USA|||  ||EVERETT J. STONE|262-797-0400|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|08/29/2003|0|0|0|0|0|0
Chicago Regional Office| 110862|801-16622|TOWLE & CO|TOWLE & CO|1610 DES PERES ROAD|SUITE 250|ST LOUIS MO 63131|USA|||  ||PETER J. LEWIS|314-822-0204|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/10/1981|0|0|0|0|0|0
Chicago Regional Office| 110867|801-32212|ORION INVESTMENT CO|ORION INVESTMENT CO|7800 FORSYTH AVE|8TH FLOOR|ST LOUIS MO 63105|USA|||  ||ANDY DAZEY|314-725-3800|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/18/1988|0|1|0|0|0|0
Chicago Regional Office| 110882|801-45239|FRY HENSLEY & CO|FRY HENSLEY & CO|700 WALNUT STREET|STE 650|CINCINNATI OH 45202|USA|||  ||NICHOLAS L. FRY|(513) 357-4440|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|01/05/1994|0|0|0|0|0|0
Chicago Regional Office| 110897|801-40592|ZACKS INVESTMENT MANAGEMENT, INC.|ZACKS INVESTMENT MANAGEMENT, INC.|100 N. RIVERSIDE PLAZA|SUITE 2200|CHICAGO IL 60606|USA|100 N. RIVERSIDE PLAZA|SUITE 2200|CHICAGO IL 60606|USA|THOMAS HERTOG|312-265-9266|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/17/1992|0|0|0|0|0|0
Chicago Regional Office| 110898|801-32996|MRM ASSET ALLOCATION GROUP INC|MRM ASSET ALLOCATION GROUP INC|12400 OLIVE BOULEVARD|SUITE 450|ST LOUIS MO 63141|USA|||  ||FRANKLIN K. CREWS|314-628-1100|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/14/1988|0|1|0|0|0|0
Chicago Regional Office| 110905|801-56928|BKD WEALTH ADVISORS, LLC|BKD WEALTH ADVISORS, LLC|901 EAST ST LOUIS ST|SUITE 1800|SPRINGFIELD MO 65806|USA|PO BOX 1900||SPRINGFIELD MO 65801|USA|NANCY JOHNSON JONES|303.837.3568|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|10/28/1999|0|0|0|0|0|0
Chicago Regional Office| 110912|801-28441|PPC PORTFOLIO CONSULTANTS, INC.|PPC PORTFOLIO CONSULTANTS, INC.|5000 HORIZONS DR||COLUMBUS OH 43220|USA|||  ||DOUGLAS M. SHEFFIELD|614-267-2600|Corporation|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|12/05/1986|0|0|0|0|0|0
Chicago Regional Office| 110917|801-30773|PONDER INVESTMENT CO|PONDER INVESTMENT CO|180 N. STETSON AVE. STE. 750||CHICAGO IL 60601|USA|||  ||JOHN TIMMERMANN|618-942-7321|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/04/1987|0|0|0|0|0|0
Chicago Regional Office| 110929|801-67082|CAPITAL ASSET ADVISORY SERVICES, LLC|CAPITAL ASSET ADVISORY SERVICES, LLC|15744 PEACOCK ROAD||HASLETT MI 48840|USA|||  ||KENNETH P. EVANGELISTA|517-339-7662|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|08/10/2006|0|1|0|0|0|0
Chicago Regional Office| 110933|801-60694|ALPINE INVESTMENT MANAGEMENT,LLC|ALPINE INVESTMENT MANAGEMENT,LLC|1401 S. BRENTWOOD BLVD|SUITE 595|ST. LOUIS MO 63144|USA|||  ||NICHOLAS TOMPRAS|314-962-8300|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/13/2001|0|0|0|0|0|0
Chicago Regional Office| 110934|801-16719|CEDAR CAPITAL MANAGEMENT, INC.|CEDAR CAPITAL MANAGEMENT, INC.|125 S. FIFTH AVE.||ANN ARBOR MI 48107-9902|USA|||  ||JAMES T. FORAN|734-327-0025|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/11/1982|0|0|0|0|0|0
Chicago Regional Office| 110943|801-18217|FIDUCIARY MANAGEMENT GROUP LTD|FIDUCIARY MANAGEMENT GROUP LTD|4421 CLAREMORE DRIVE||EDINA MN 55435|USA|PO BOX 390590||EDINA MN 55439|USA|STEPHEN|PETERSON|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|01/27/1983|0|0|0|0|0|0
Chicago Regional Office| 110944|801-61434|STEWARDSHIP CAPITAL, LTD.|STEWARDSHIP CAPITAL, LTD.|4200 LITTLE BLUE PARKWAY||INDEPENDENCE MO 64057|USA|||  ||GREGORY C. FINKE|816-833-6650|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|08/30/2002|0|0|0|0|0|0
Chicago Regional Office| 110953|801-68117|BRADFORD FINANCIAL CENTER|BRADFORD FINANCIAL CENTER|215 NORTH MAIN STREET||CLARION IA 50525-0540|USA|PO BOX 540||CLARION IA 50525-0540|USA|JAMES W TAUSZ|515.532.6661|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Market timing services|APPROVED|07/23/2007|0|0|0|0|0|0
Chicago Regional Office| 110960|801-25781|CTS FINANCIAL PLANNING, INC.|CERTIFIED TAX SERVICE, INC.|737 NORTH MICHIGAN AVENUE|SUITE 2120|CHICAGO IL 60611|USA|||  ||TODD W. MUCH|312-337-1040|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/22/1985|0|0|0|0|0|0
Chicago Regional Office| 110975|801-60070|D. SCOTT NEAL, INC.|D. SCOTT NEAL, INC.|157C BROADWAY STREET||LEXINGTON KY 40507|USA|P O BOX 2010||LEXINGTON KY 40588|USA|JEROME G. ZIMMERER|502-459-7199|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/06/2001|0|0|0|0|0|0
Chicago Regional Office| 110999|801-55360|AMBASSADOR CAPITAL MANAGEMENT|AMBASSADOR CAPITAL MANAGEMENT LLC|500 GRISWOLD STREET|SUITE 2800|DETROIT MI 48226|USA|||  ||BRIAN T. JEFFRIES|313-961-3111|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/27/1998|0|0|0|0|0|0
Chicago Regional Office| 111016|801-20003|AMERICAN FINANCIAL MANAGEMENT LTD|AMERICAN FINANCIAL MANAGEMENT LTD|6003 UNIVERSITY AVENUE|AFM PLAZA|CEDAR FALLS IA 50613|USA|||  ||H. RICHARD DOBSON, SR.|(319) 277-3553|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|10/26/1983|0|0|0|0|0|0
Chicago Regional Office| 111022|801-60525|PEPPERTREE PARTNERS|PEPPERTREE PARTNERS, LLC|3550 LANDER ROAD|SUITE 300|PEPPER PIKE OH 44124|USA|||  ||CARL J. TIPPIT|216-514-4955|Limited Liability Company|Portfolio management for individuals and/or small businesses, Other|APPROVED|08/29/2001|0|0|0|0|0|0
Chicago Regional Office| 111039|801-32681|LVM CAPITAL MANAGEMENT LTD|LVM CAPITAL MANAGEMENT LTD|7840 MOORSBRIDGE ROAD||PORTAGE MI 49024|USA|||  ||DAVID P. CLEVELAND|269-321-8120|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/15/1988|0|0|0|0|0|0
Chicago Regional Office| 111046|801-49181|THINKORSWIM ADVISORS, INC.|THINKORSWIM ADVISORS, INC.|600 WEST CHICAGO AVENUE|SUITE 100|CHICAGO IL 60610|USA|||  ||TOM SOSNOFF|(773) 435-3210|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters, Market timing services|APPROVED|05/17/1995|0|1|1|0|0|0
Chicago Regional Office| 111057|801-57505|IBBOTSON ASSOCIATES, INC.|IBBOTSON ASSOCIATES, INC.|225 N. MICHIGAN AVE|STE 700|CHICAGO IL 60601-7676|USA|||  ||D. SCOTT SCHILLING|312-696-6168|Corporation|Pension consulting services, Selection of other advisers|APPROVED|04/24/2000|0|0|0|0|0|0
Chicago Regional Office| 111063|801-20880|IDC PORTFOLIO MANAGEMENT INC|IDC PORTFOLIO MANAGEMENT INC|700 WALNUT RIDGE DRIVE|SUITE 201|HARTLAND WI 53029|USA|PO BOX 140||HARTLAND WI 53029|USA|JOHN E. RICKMEIER|262-367-6868|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|03/30/1984|0|1|0|0|0|0
Chicago Regional Office| 111074|801-67893|LCM CAPITAL MANAGEMENT INC|LCM CAPITAL MANAGEMENT INC|230 WEST MONROE|SUITE 310|CHICAGO IL 60606|USA|||  ||JOHN M. NOWICKI|312-705-3013|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|05/23/2007|0|1|0|0|0|0
Chicago Regional Office| 111079|801-58171|JACKSON NATIONAL ASSET MANAGEMENT, LLC|JACKSON NATIONAL ASSET MANAGEMENT, LLC|1 CORPORATE WAY||LANSING MI 48951|USA|||  ||SUSAN S. RHEE|(517) 367-4336|Limited Liability Company|Portfolio management for investment companies, Selection of other advisers|APPROVED|01/08/2001|0|26|0|0|0|0
Chicago Regional Office| 111084|801-58150|GREYSTONE INVESTMENT MANAGEMENT, LLC|GREYSTONE INVESTMENT MANAGEMENT, LLC|3805 EDWARDS ROAD|SUITE 180|CINCINNATI OH 45209|USA|||  ||SALLY HUMPHREY|513-731-8444|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/22/2000|0|0|0|0|0|0
Chicago Regional Office| 111086|801-55971|ASSOCIATED INVESTMENT MANAGEMENT LLC|ASSOCIATED INVESTMENT MANAGEMENT LLC|200 NORTH ADAMS STREET||GREEN BAY WI 54301|USA|1200 HANSEN ROAD||GREEN BAY WI 54304|USA|CURZON MARK HEASELDEN|414-278-1826|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|10/27/1998|0|1|0|0|0|0
Chicago Regional Office| 111112|801-16202|WEST & HOWARD INC|WEST & HOWARD INC|155 GLEASON LAKE ROAD|STE 205|WAYZATA MN 55391|USA|||  ||W.L HOWARD|952-475-1844|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|07/15/1981|0|0|0|0|0|0
Chicago Regional Office| 111116|801-56383|ABG PORTFOLIO STRATEGIES, INC.|ABG PORTFOLIO STRATEGIES, INC.|30100 TELEGRAPH RD|STE 100|BINGHAM FARMS MI 48025|USA|||  ||CAROL A. TRACEY|248-540-5300|Corporation|Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|04/09/1999|0|1|0|0|0|0
Chicago Regional Office| 111124|801-25982|CAPITAL FORMATION STRATEGIES INC|CAPITAL FORMATION STRATEGIES INC|2550 UNIVERSITY AVE|SUITE 145N|ST PAUL MN 55114|USA|||  ||DONALD A. JOHNSON|651-644-8412|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|12/19/1985|0|0|0|0|0|0
Chicago Regional Office| 111135|801-27047|MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC.|MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC.|350 N. CLARK ST||CHICAGO IL 60610|USA|||  ||BRIAN FRANC|312/595-6072|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|05/15/1986|0|0|0|0|0|0
Chicago Regional Office| 111144|801-11685|FIRST FIDUCIARY INVESTMENT COUNSEL INC|FIRST FIDUCIARY INVESTMENT COUNSEL INC|1375 E. 9TH STREET|ONE CLEVELAND CENTER #2450|CLEVELAND OH 44114|USA|||  ||SONIA MINTUN|216-623-7700|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/01/1976|0|0|0|0|0|0
Chicago Regional Office| 111162|801-47929|OKABENA INVESTMENT SERVICES INC|OKABENA INVESTMENT SERVICES INC|1800 IDS CENTER|80 S EIGHTH STREET|MINNEAPOLIS MN 55402|USA|||  ||SHERRY VAN ZEE|612-339-7151|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|11/29/1994|0|0|0|0|0|0
Chicago Regional Office| 111168|801-41391|COLUMBIA WANGER ASSET MANAGEMENT, L.P.|COLUMBIA WANGER ASSET MANAGEMENT, L.P.|227 W MONROE|SUITE 3000|CHICAGO IL 60606-5016|USA|||  ||BRUCE LAUER|312-634-9230|Partnership|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/11/1992|0|17|2|0|0|0
Chicago Regional Office| 111170|801-57070|MIDWEST INVESTMENT MANAGEMENT LLC|MIDWEST INVESTMENT MANAGEMENT LLC|1301 EAST NINTH ST|SUITE 1110|CLEVELAND OH 44114-1823|USA|||  ||NORMAN F. KLOPP|216-830-1135|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/21/1999|0|0|0|0|0|0
Chicago Regional Office| 111176|801-58047|GLENWOOD CAPITAL INVESTMENTS, L.L.C.|GLENWOOD CAPITAL INVESTMENTS, L.L.C.|123 NORTH WACKER DRIVE|SUITE 2800|CHICAGO IL 60606|USA|||  ||LESLIE OSBORN|(646) 452-9665|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|11/01/2000|0|1|0|0|0|0
Chicago Regional Office| 111221|801-57236|RSM MCGLADREY, INC.|RSM MCGLADREY, INC.|801 NICOLLET AVENUE|SUITE 1100 WEST TOWER|MINNEAPOLIS MN 55402-2526|USA|801 NICOLLET AVENUE|SUITE 1100 WEST TOWER|MINNEAPOLIS MN 55402-2526|USA|THOMAS KENNETH RIPPBERGER|612-376-9890|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|02/09/2000|0|6|0|0|0|0
Chicago Regional Office| 111230|801-60213|FAMILY CAPITAL MANAGEMENT|PAUL DAMON & ASSOCIATES, INC.|80 OTTAWA AVE. SUITE 101||GRAND RAPIDS MI 49503|USA|||  ||PAUL DAMON|(616) 774-4560|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|05/17/2001|0|0|0|0|0|0
Chicago Regional Office| 111234|801-63431|RMR FINANCIAL ADVISORS|RICH MIKKELSON RICH FINANCIAL ADVISORS LLC|6425 ODANA ROAD||MADISON WI 53719|USA|||  ||CHRISTOPHER D. RICH|608 275-3442|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|08/20/2004|0|0|0|0|0|0
Chicago Regional Office| 111246|801-60971|PAVLIC INVESTMENT ADVISORS, INC.|PAVLIC INVESTMENT ADVISORS, INC.|528C WELLS STREET||DELAFIELD WI 53018|USA|||  ||TERENCE V. PAVLIC|262-646-4300|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|03/05/2002|0|0|0|0|0|0
Chicago Regional Office| 111257|801-56362|NORTH POINT PORTFOLIO MANAGERS CORPORATION|NORTH POINT PORTFOLIO MANAGERS CORPORATION|5910 LANDERBROOK DR|SUITE 160|MAYFIELD HEIGHTS OH 44124-6500|USA|||  ||DIANE M. STACK|(440) 720-1105|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|03/29/1999|0|0|0|0|0|0
Chicago Regional Office| 111264|801-54994|VIRCHOW KRAUSE WEALTH MANAGEMENT LLC|VIRCHOW KRAUSE WEALTH MANAGEMENT LLC|TEN TERRACE COURT||MADISON WI 53718|USA|POST OFFICE BOX 7398||MADISON WI 53707-7398|USA|BRIAN POWERS|608-240-2652|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|10/23/1997|0|0|0|0|0|0
Chicago Regional Office| 111271|801-37453|HURLEY INVESTMENT COUNSEL LTD., INC.|HURLEY INVESTMENT COUNSEL LTD., INC.|123 SOUTH BROAD ST., SUITE 238||LANCASTER OH 43130|USA|||  ||SAMUEL C. HURLEY III|740-687-0425|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/20/1990|0|0|0|0|0|0
Chicago Regional Office| 111272|801-57657|LIBERTY FINANCIAL GROUP, INC.|LIBERTY FINANCIAL GROUP, INC.|700 PILGRIM PKWY|SUITE 300|ELM GROVE WI 53122-2063|USA|||  ||THOMAS M. WARGIN|262.785.1377|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/20/2000|0|0|0|0|0|0
Chicago Regional Office| 111297|801-58266|CLIFTON GUNDERSON|CLIFTON GUNDERSON FINANCIAL ADVISORS L.L.C.|8215 GREENWAY BLVD.|SUITE 610|MIDDLETON WI 53562|USA|||  ||TIMOTHY LUCHSINGER|608-662-9484|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|01/23/2001|0|1|0|0|0|0
Chicago Regional Office| 111331|801-60100|1ST SOURCE CORPORATION INVESTMENT ADVISORS, INC.|1ST SOURCE CORPORATION INVESTMENT ADVISORS, INC.|100 NORTH MICHIGAN STREET||SOUTH BEND IN 46634|USA|P.O BOX 1602||SOUTH BEND IN 46601|USA|PAUL W. GIFFORD, JR.|574-235-2751|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|03/22/2001|0|0|0|0|0|0
Chicago Regional Office| 111334|801-60141|BOULAY FINANCIAL ADVISORS, LLC|BOULAY FINANCIAL ADVISORS, LLC|7500 FLYING CLOUD DRIVE, SUITE 800||MINNEAPOLIS MN 55344|USA|||  ||DAVID E. BREMER|952-893-3821|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|04/17/2001|0|0|0|0|0|0
Chicago Regional Office| 111363|801-36259|STRATFORD INVESTMENT ADVISORY GROUP, INC.|STRATFORD INVESTMENT ADVISORY GROUP INC.|200 E. EVERGREEN AVE.|SUITE 114|MT. PROSPECT IL 60056|USA|||  ||ARTHUR J. BUSBY, JR.|847 577 7003|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/09/2000|0|0|0|0|0|0
Chicago Regional Office| 111414|801-37202|CARLSON CAPITAL MANAGEMENT|CARLSON CAPITAL MANAGEMENT INC|11 BRIDGE SQUARE||NORTHFIELD MN 55057|USA|||  ||JUSTIN D. STETS|507-645-8887|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/21/1990|0|0|0|0|0|0
Chicago Regional Office| 111421|801-60309|SUMNICHT & ASSOCIATES, LLC|SUMNICHT & ASSOCIATES, LLC|W6240 COMMUNICATION COURT|SUITE #1|APPLETON WI 54914-8549|USA|||  ||DAVID E HACKNEY|920-731-4455|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|05/25/2001|0|0|0|0|0|0
Chicago Regional Office| 111447|801-53760|STONEBRIDGE CAPITAL ADVISORS LLC|STONEBRIDGE CAPITAL ADVISORS LLC|2550 UNIVERSITY AVENUE WEST|SUITE 180-S|ST. PAUL MN 55114|USA|||  ||THERESA OLSEN|651-251-1006|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|01/30/1997|0|0|0|0|0|0
Chicago Regional Office| 111452|801-60176|HUNTINGTON ASSET ADVISORS, INC.|HUNTINGTON ASSET ADVISORS, INC.|HUNTINGTON CENTER, 5TH FLOOR|41 SOUTH HIGH STREET|COLUMBUS OH 43287|USA|||  ||MARYLOU DIDONATO|614.480.3738|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/18/2001|0|1|1|0|0|0
Chicago Regional Office| 111463|801-45256|STERNECK CAPITAL MANAGEMENT LLC|STERNECK CAPITAL MANAGEMENT LLC|4510 BELLEVIEW AVENUE|SUITE 204|KANSAS CITY MO 64111|USA|||  ||FRANK M. STERNECK|816-531-2254|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|12/20/1993|0|1|0|0|0|0
Chicago Regional Office| 111466|801-53274|ASPEN MANAGEMENT GROUP LTD|ASPEN MANAGEMENT GROUP LTD|6133 ROCKSIDE ROAD|SUITE 308|CLEVELAND OH 44131|USA|||  ||JOHN B. HLAY|216-369-0400|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|11/14/1996|0|0|0|0|0|0
Chicago Regional Office| 111494|801-60114|BROADVIEW ADVISORS, LLC|BROADVIEW ADVISORS, LLC|100 EAST WISCONSIN AVENUE, SUITE 2250||MILWAUKEE WI 53202|USA|||  ||OWEN L. HILL|(414) 918-3900|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/03/2001|0|0|0|0|0|0
Chicago Regional Office| 111536|801-60792|RJP INVESTMENT ADVISORS, LLP|RJP INVESTMENT ADVISORS, LLP|ONE INDIANA SQUARE|SUITE 1200|INDIANAPOLIS IN 46204|USA|||  ||BRENT M. WALKER|317-269-3454|Limited Liability Partnership|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|12/14/2001|0|0|0|0|0|0
Chicago Regional Office| 111537|801-61509|IMC ADVISORS, LLC|IMC ADVISORS, LLC|301 WASHINGTON STREET||COLUMBUS IN 47201-6743|USA|P.O. BOX 808||COLUMBUS IN 47202-0808|USA|DONALD LOUIS MICHAEL|812-376-3331|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|10/10/2002|0|0|0|0|0|0
Chicago Regional Office| 111538|801-60180|GLOBALBRIDGE|GLOBALBRIDGE ADVISORS, INC.|100 NORTH SIXTH STREET|SUITE 800 A|MINNEAPOLIS MN 55403|USA|||  ||SALLY A OBERSTAR|612-746-5853|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/12/2001|0|0|0|0|0|0
Chicago Regional Office| 111556|801-55054|WHITE PINE INVESTMENT CO|WHITE PINE INVESTMENT CO|17199 LAUREL PARK DR NORTH, #209||LIVONIA MI 48152|USA|||  ||DAVID J. SCULATI|734-464-2532|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|11/21/1997|0|0|0|0|0|0
Chicago Regional Office| 111578|801-58177|CHESLEY, TAFT & ASSOCIATES, LLC|CHESLEY, TAFT & ASSOCIATES, LLC|10 S. LASALLE STREET|SUITE 3250|CHICAGO IL 60603|USA|||  ||GREG O'LEARY|312-873-1249|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|12/08/2000|0|0|0|0|0|0
Chicago Regional Office| 111594|801-57905|DWM FINANCIAL GROUP, INC.|DWM FINANCIAL GROUP, INC.|220 N. SMITH STREET|SUITE 410|PALATINE IL 60067-2477|USA|||  ||BRETT M. DETTERBECK|847-934-6262|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters, Market timing services|APPROVED|08/23/2000|0|0|0|0|0|0
Chicago Regional Office| 111600|801-60612|HOGAN FINANCIAL MANAGEMENT, LLC|HOGAN FINANCIAL MANAGEMENT, LLC|250 W. COVENTRY CT. SUITE 202||MILWAUKEE WI 53217|USA|||  ||PAULA H. HOGAN|414-352-9111|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|10/19/2001|0|0|0|0|0|0
Chicago Regional Office| 111623|801-30378|PERRITT CAPITAL MANAGEMENT INC|PERRITT CAPITAL MANAGEMENT INC|300 S. WACKER DR., SUITE 2880||CHICAGO IL 60606-6703|USA|||  ||ROBERT A. LAATZ|(312)669-1650|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies|APPROVED|10/01/1987|0|0|0|0|0|0
Chicago Regional Office| 111681|801-57843|TRINITY FINANCIAL ADVISORS LLC|TRINITY FINANCIAL ADVISORS LLC|541 NORTH FAIRBANKS COURT|SUITE 1060|CHICAGO IL 60611-3319|USA|||  ||JOHN WIMBISCUS|312 245-1300|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|08/11/2000|0|0|0|0|0|0
Chicago Regional Office| 111686|801-55225|PRIM ADVISORS, INCORPORATED|PRIM ADVISORS INC|6500 ROCKSIDE ROAD|SUITE 370|INDEPENDENCE OH 44131|USA|||  ||CAROLYN C. KAUFMAN|216 830 1111|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|02/02/1998|0|0|2|0|0|0
Chicago Regional Office| 111694|801-57260|ENVESTNET ASSET MANAGEMENT, INC.|ENVESTNET ASSET MANAGEMENT, INC.|35 EAST WACKER DRIVE, STE. 1600||CHICAGO IL 60601-2206|USA|||  ||GEORGE L. ALVIN|(312) 827-3965|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/10/2000|0|0|0|0|0|0
Chicago Regional Office| 111698|801-69391|BILTMORE INVESTMENT MANAGEMENT, LLC|BILTMORE INVESTMENT MANAGEMENT, LLC|125 S. JEFFERSON STREET, SUITE 302||GREEN BAY WI 54301|USA|||  ||JAMES M. CURRAN|920/435-2555|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|07/10/2008|0|0|0|0|0|0
Chicago Regional Office| 111705|801-60143|HFR ASSET MANAGEMENT, L.L.C|HFR ASSET MANAGEMENT, L.L.C|10 SOUTH RIVERSIDE PLAZA|SUITE 700|CHICAGO IL 60606|USA|||  ||JOHN M. KLIMEK|312-628-0408|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|04/06/2001|0|0|0|0|0|0
Chicago Regional Office| 111717|801-41787|CAPITAL GAINS INCORPORATED|CAPITAL GAINS INC|8060 W. OAKTON STREET, SUITE 102||NILES IL 60714|USA|||  ||GARY EDWARD KARSHNA|847-318-9975|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|06/23/1992|0|0|0|0|0|0
Chicago Regional Office| 111725|801-10846|CCI FINANCIAL GROUP INC|CCI FINANCIAL GROUP INC|1653 MERRIMAN ROAD|SUITE 210|AKRON OH 44313|USA|||  ||DARLENE FOX|330-864-7030|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|06/18/1975|0|0|0|0|0|0
Chicago Regional Office| 111728|801-60390|MADISON FINANCIAL ADVISORS|MADISON FINANCIAL ADVISORS, LTD|2010 MADISON ROAD SUITE 200||CINCINNATI OH 45208|USA|||  ||CERN W. BASHER, CFA|513-871-4555|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/27/2001|0|0|0|0|0|0
Chicago Regional Office| 111737|801-37999|MARKMAN CAPITAL MANAGEMENT, INC.|MARKMAN CAPITAL MANAGEMENT, INC.|6600 FRANCE AVE. SOUTH|SUITE 485|EDINA MN 55435|USA|||  ||JUDITH FANSLER|952 920 4848|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/28/1990|0|0|0|0|0|0
Chicago Regional Office| 111746|801-45236|NATIONAL INVESTMENT SERVICES, INC|NATIONAL INVESTMENT SERVICES, INC|777 E. WISCONSIN AVENUE|SUITE 2350|MILWAUKEE WI 53202-5310|USA|PO BOX 3110||MILWAUKEE WI 53201-3110|USA|LARRY HASLEE|414.765.1980|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/22/1993|0|0|0|0|0|0
Chicago Regional Office| 111787|801-60188|SCOUT INVESTMENT ADVISORS, INC.|SCOUT INVESTMENT ADVISORS, INC.|1010 GRAND BLVD||KANSAS CITY MO 64106|USA|||  ||MARK EVAN OSBORNE|(816) 860-3845|Corporation|Portfolio management for investment companies|APPROVED|04/11/2001|0|0|0|0|0|0
Chicago Regional Office| 111795|801-39426|JEFFREY SLOCUM & ASSOCIATES, INC.|JEFFREY SLOCUM & ASSOCIATES, INC.|43 MAIN STREET SOUTHEAST|#148|MINNEAPOLIS MN 55414-1032|USA|||  ||JEFFREY CHARLES SLOCUM|612-252-7159|Corporation|Pension consulting services, Selection of other advisers, Other|APPROVED|07/25/1991|0|0|0|0|0|0
Chicago Regional Office| 111804|801-57668|KETTLER FINANCIAL SERVICES|KETTLER JAMES ROBERT|503 SOUTH SAGINAW ST STE 715||FLINT MI 48502|USA|||  ||JAMES KETTLER|810-233-3433|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/20/2000|0|0|0|0|0|0
Chicago Regional Office| 111826|801-57235|BURNS FINANCIAL ADVISORS, INC.|BURNS FINANCIAL ADVISORS, INC.|8903 BRECKSVILLE ROAD||BRECKSVILLE OH 44141|USA|||  ||ROBERT E. BURNS|(440) 526-5509|Corporation|Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|02/08/2000|0|0|0|0|0|0
Chicago Regional Office| 111849|801-58220|MACK FINANCIAL GROUP, INC.|MACK FINANCIAL GROUP, INC.|201 WEST 103RD STREET, SUITE 100||INDIANAPOLIS IN 46290|USA|||  ||LISA R. HAGY|317-805-6700|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|12/20/2000|0|0|0|0|0|0
Chicago Regional Office| 111872|801-56878|IPI ASSET MANAGEMENT, INC.|KOSHINSKI ASSET MANAGEMENT, INC.-DBA IPI ASSET MANAGEMENT, INC.|226 W. ELDORADO||DECATUR IL 62522|USA|P.O. BOX 170||DECATUR IL 62525-0170|USA|DAVID PAUL KOSHINSKI|217-425-6340|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|11/01/1999|0|0|0|0|0|0
Chicago Regional Office| 111879|801-57368|GRIFFON CAPITAL MANAGEMENT INC.|GRIFFON CAPITAL MANAGEMENT INC.|2032 E. SQUARE LAKE RD.|SUITE 200|TROY MI 48085|USA|||  ||DWIGHT D. LABADIE, JR.|248-828-3600|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|03/14/2000|0|0|0|0|0|0
Chicago Regional Office| 111912|801-60125|FAF ADVISORS, INC.|FAF ADVISORS, INC.|800 NICOLLET MALL|MAIL STOP BC-MN-H04N|MINNEAPOLIS MN 55402|USA|||  ||DAVID H. LUI|612-303-4772|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|04/13/2001|0|3|1|0|0|0
Chicago Regional Office| 111925|801-60167|ALLIANZ INVESTMENT MANAGEMENT LLC|ALLIANZ INVESTMENT MANAGEMENT LLC|5701 GOLDEN HILLS DRIVE||MINNEAPOLIS MN 55416-1297|USA|5701 GOLDEN HILLS DRIVE||MINNEAPOLIS MN 55416-1297|USA|CATHERINE MIELKE|763-765-6140|Limited Liability Company|Portfolio management for investment companies, Selection of other advisers|APPROVED|04/20/2001|0|42|0|0|0|0
Chicago Regional Office| 111943|801-57402|FULLER HYLAND ADVISORS LLC|FULLER HYLAND ADVISORS LLC|196 E. WESTMINISTER AVE.||LAKE FOREST IL 60045|USA|501 N. CLINTON ST.|#1605|CHICAGO IL 60610|USA|T. PETER HYLAND|312-258-1112|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/13/2000|0|0|0|0|0|0
Chicago Regional Office| 111950|801-67855|SHAKESPEARE WEALTH MANAGEMENT, INC.|SHAKESPEARE WEALTH MANAGEMENT, INC.|150 N. SUNNYSLOPE ROAD|SUITE 320|BROOKFIELD WI 53005|USA|||  ||KEVIN M REARDON|262-814-1600|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|05/04/2007|0|0|0|0|0|0
Chicago Regional Office| 111968|801-57125|INTRINSIC INVESTORS LLC|INTRINSIC INVESTORS LLC|1200 N MAYFAIR RD|SUITE 330|WAUWATOSA WI 53226|USA|||  ||DAWN M. WILLIAMS|414-831-5700|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Publication of periodicals or newsletters|APPROVED|02/18/2000|0|0|1|0|0|0
Chicago Regional Office| 111981|801-54799|MAINSTREAM INVESTMENT ADVISERS LLC|MAINSTREAM INVESTMENT ADVISERS LLC|101 WEST SPRING STREET|4TH FLOOR|NEW ALBANY IN 47150|USA|||  ||DIANE J. HULLS|812-981-8100|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|09/03/1997|0|0|0|0|0|0
Chicago Regional Office| 112008|801-55556|LANCASTER POLLARD INVESTMENT ADVISORY GROUP|LANCASTER POLLARD ASSET MANAGEMENT LLC|65 EAST STATE STREET|16TH FLOOR|COLUMBUS OH 43215-4213|USA|||  ||FRANK SOKOLOWSKY|614-224-8800|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|05/15/1998|0|0|0|0|0|0
Chicago Regional Office| 112029|801-60189|NCF INVESTMENT DEPARTMENT OF NEW COVENANT TRUST COMPANY, N.A.|NEW COVENANT TRUST COMPANY, NA|200 EAST 12TH STREET|SUITE B|JEFFERSONVILLE IN 47130-3854|USA|||  ||HARRY G. HARPER|800.858.6127 X5933|Other (specify)|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/13/2001|0|1|0|0|0|0
Chicago Regional Office| 112046|801-5921|GRAYBILL BARTZ ASSOCIATES, LTD|GRAYBILL BARTZ ASSOCIATES, LTD|568 S SPRING RD||ELMHURST IL 60126|USA|||  ||TALATH A. AHMED|630-941-9460|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/29/1969|0|0|0|0|0|0
Chicago Regional Office| 112048|801-60341|ARBOR ASSET MANAGEMENT, LLC|ARBOR ASSET MANAGEMENT, LLC|2155 JACKSON AVE.||ANN ARBOR MI 48103|USA|||  ||ANITA PAOLELLA|734-213-1390|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/11/2001|0|0|0|0|0|0
Chicago Regional Office| 112081|801-58191|ASPEN GOLD INVESTMENT MANAGEMENT, INC.|ASPEN GOLD INVESTMENT MANAGEMENT, INC.|4020 E. BELTLINE AVE NE|SUITE 103|GRAND RAPIDS MI 49525|USA|||  ||WILLIAM J. ALPHENAAR|616-361-2500|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|12/08/2000|0|0|0|0|0|0
Chicago Regional Office| 112084|801-57914|MESIROW FINANCIAL PRIVATE EQUITY ADVISORS, INC.|MESIROW FINANCIAL PRIVATE EQUITY ADVISORS, INC.|350 NORTH CLARK ST||CHICAGO IL 60610|USA|||  ||NANCY ANDERSON|(312) 595-6241|Corporation|Other|APPROVED|09/11/2000|0|0|0|0|0|0
Chicago Regional Office| 112086|801-26096|CAMBRIDGE CONNECTION INC|CAMBRIDGE CONNECTION INC|26111 W. 14 MILE RD SUITE LL6||FRANKLIN MI 48025|USA|||  ||CAROL JOHNSON|248-737-7090|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|08/29/1988|0|0|0|0|0|0
Chicago Regional Office| 112087|801-49315|TIS GROUP INC|T I S GROUP INC|100 VILLAGE CENTER DRIVE|SUITE 260|NORTH OAKS MN 55127-3024|USA|||  ||LARRY E. JEDDELOH|651-379-5070|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|06/02/1995|0|0|0|0|0|0
Chicago Regional Office| 112123|801-48171|TFG ADVISORS|TFG ADVISORS, INC.|3121 UNIVERSITY DRIVE|SUITE 100|AUBURN HILLS MI 48326|USA|||  ||THOMAS J. RABAUT, CFP|248-724-0090|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/17/1995|0|1|0|0|0|0
Chicago Regional Office| 112158|801-44058|PLANTE MORAN FINANCIAL ADVISORS|PLANTE & MORAN FINANCIAL ADVISORS LTD PARTNERSHIP|27400 NORTHWESTERN HWY||SOUTHFIELD MI 48034|USA|||  ||ROBERT M. PALMER|248-223-3315|Partnership|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/03/1993|0|0|0|0|0|0
Chicago Regional Office| 112169|801-57849|MILLER CAPITAL ADVISORY, INC.|MILLER CAPITAL ADVISORY, INC.|5750 OLD ORCHARD ROAD|SUITE 400|SKOKIE IL 60077|USA|||  ||MICHAEL A. GOLDBERG|(847) 966-9600|Corporation|Pension consulting services, Other|APPROVED|08/15/2000|0|0|0|0|0|0
Chicago Regional Office| 112175|801-42158|LPC REALTY ADVISORS I LTD|LPC REALTY ADVISORS I LTD|120 NORTH LA SALLE, SUITE 1750||CHICAGO IL 60602|USA|3300 LINCOLN PLAZA|500 N. AKARD|DALLAS TX 75201-3394|USA|GREGORY COURTWRIGHT|214 740 3300|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|08/19/1992|0|0|0|0|0|0
Chicago Regional Office| 112179|801-35002|JAMES REED FINANCIAL SERVICES, INC.|JAMES REED FINANCIAL SERVICES, INC.|3690 ORANGE PLACE SUITE 240||BEACHWOOD OH 44122|USA|||  ||JAMES M. REED|216-464-2090|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|08/17/1989|0|0|0|0|0|0
Chicago Regional Office| 112181|801-61931|WARNKE/NICHOLS LTD.|WARNKE/NICHOLS LTD.|5307 S. 92ND STREET, SUITE 125||HALES CORNERS WI 53130|USA|||  ||STEVEN R. NICHOLS|414-427-1020|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/03/2003|0|0|0|0|0|0
Chicago Regional Office| 112187|801-60227|CMG INVESTMENT ADVISORS, L.L.C.|CMG INVESTMENT ADVISORS, L.L.C.|3551 7TH STREET|SUITE 104|MOLINE IL 61265|USA|||  ||STEVEN C. DESPOTOVICH|515-327-1000|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|05/22/2001|0|0|0|0|0|0
Chicago Regional Office| 112196|801-61020|INTREPID FINANCIAL PLANNING GROUP, LLC|INTREPID FINANCIAL PLANNING GROUP, LLC|3021 E. 98TH STREET|SUITE 115|INDIANAPOLIS IN 46280|USA|||  ||JULIE FIFE|317-818-1776|Partnership|Portfolio management for individuals and/or small businesses|APPROVED|04/09/2002|0|1|0|0|0|0
Chicago Regional Office| 112202|801-60273|UNITED INVESTMENT MANAGERS, INC.|UNITED INVESTMENT MANAGERS, INC.|10 SOUTH LASALLE STREET||CHICAGO IL 60603|USA|||  ||YOLANDA WAGGONER|312.332.4751|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/11/2001|0|0|0|0|0|0
Chicago Regional Office| 112203|801-57360|S4 CAPITAL, LLC|S4 CAPITAL, LLC|345 EAST OHIO STREET, SUITE 4212||CHICAGO IL 60611|USA|||  ||SHARATH M. SURY|312-334-1500|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/10/2000|0|0|0|0|0|0
Chicago Regional Office| 112254|801-26539|CAMBRIDGE FINANCIAL GROUP, INC.|CAMBRIDGE FINANCIAL GROUP, INC.|4100 HORIZONS DRIVE, SUITE 200||COLUMBUS OH 43220|USA|||  ||GREGORY J. BAUER|614-457-1530|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/14/1986|0|0|0|0|0|0
Chicago Regional Office| 112256|801-17015|SS&H FINANCIAL ADVISORS, INC.|SS&H FINANCIAL ADVISORS, INC.|31500 NORTHWESTERN HIGHWAY SUITE 175||FARMINGTON HILLS MI 48334-2521|USA|||  ||ROBERT T. SINNAEVE|248 538-9755|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/09/1982|0|0|0|0|0|0
Chicago Regional Office| 112271|801-66548|CHICAGO WEALTH MANAGEMENT, INC.|CHICAGO WEALTH MANAGEMENT, INC.|1515 NORTH HARLEM AVENUE|SUITE 306|OAK PARK IL 60302|USA|||  ||JEFFREY G. CRIBBS|708-209-2000|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/19/2006|0|0|0|0|0|0
Chicago Regional Office| 112338|801-21|BARTLETT & CO|BARTLETT & CO|600 VINE STREET, SUITE 2100||CINCINNATI OH 45202|USA|||  ||THOMAS ALLEN STEELE|513-621-4612|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|11/01/1940|0|0|0|0|0|0
Chicago Regional Office| 112352|801-19290|GARLIKOV ADVISORS INC|GARLIKOV ADVISORS INC|41 S HIGH ST STE 3400||COLUMBUS OH 43215|USA|||  ||MATTHEW WOLFE|614-221-0900|Corporation|Portfolio management for individuals and/or small businesses, Market timing services|APPROVED|07/14/1983|0|0|0|0|0|0
Chicago Regional Office| 112374|801-57344|HART CAPITAL MANAGEMENT LLC|HART CAPITAL MANAGEMENT LLC|1114 AUDUBON ROAD||GROSSE POINTE MI 48230|USA|P. O. BOX 36414||GROSSE POINTE MI 48236||ALLAN D. HART|313 417 9740|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|03/13/2000|0|0|0|0|0|0
Chicago Regional Office| 112399|801-68150|GARDNER ADVISORS INC.|GARDNER ADVISORS INC.|8421 WAYZATA BLVD.|SUITE 350|MINNEAPOLIS MN 55426|USA|||  ||LARRY O. BUMGARDNER|952-935-4601|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|07/11/2007|1|0|1|0|0|0
Chicago Regional Office| 112413|801-51307|STANDARD VALUATIONS, INC.|STANDARD VALUATIONS INC|790 CLEVELAND AVE SOUTH STE 220||ST PAUL MN 55116|USA|||  ||DEANN DERBY ELVIN|651-690-5441|Corporation|Pension consulting services|APPROVED|02/15/1996|0|0|0|0|0|0
Chicago Regional Office| 112441|801-57323|ALLIED ASSET ADVISORS INC|ALLIED ASSET ADVISORS INC|745 MCCLINTOCK DR STE 314||BURR RIDGE IL 60527|USA|||  ||USMAN MANNAN|(630)789-0453|Corporation|Portfolio management for investment companies|APPROVED|03/03/2000|0|0|0|0|0|0
Chicago Regional Office| 112447|801-56483|COE CAPITAL MANAGEMENT, LLC|COE CAPITAL MANAGEMENT, LLC|100 TRI-STATE INTERNATIONAL|SUITE 110|LINCOLNSHIRE IL 60069|USA|||  ||KAREN SCOTT|847-405-9600|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/11/1999|0|0|0|0|0|0
Chicago Regional Office| 112456|801-51728|WILSON DONALD J ASSOCIATES|WILSON DONALD JOHN|582 CARY WOODS CIRCLE||CARY IL 60013|USA|||  ||DONALD J. WILSON|847-516-3699|Sole Proprietorship|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Other|APPROVED|04/19/1996|0|0|0|0|0|0
Chicago Regional Office| 112525|801-60401|MORNINGSTAR INVESTMENT SERVICES,INC|MORNINGSTAR INVESTMENT SERVICES, INC|225 NORTH MICHIGAN AVENUE|SUITE 700|CHICAGO IL 60601-7676|USA|||  ||D. SCOTT SCHILLING|(312) 696-6168|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/09/2001|0|0|0|0|0|0
Chicago Regional Office| 112533|801-60329|WEALTH PLANNING & MANAGEMENT, LLC|WEALTH PLANNING & MANAGEMENT, LLC|8840 SHAGBARK ROAD||INDIANAPOLIS IN 46260|USA|P.O. BOX 40994||INDIANAPOLIS IN 46240-0994|USA|DIANE KENNEDY|317-254-1443 EX 224|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Publication of periodicals or newsletters|APPROVED|06/01/2001|0|0|0|0|0|0
Chicago Regional Office| 112571|801-55516|ALPHA ASSET MANAGEMENT|JCT INVESTMENT COUNSEL, INC.|50 SOUTH MAIN STREET|SUITE 1210|AKRON OH 44308|USA|||  ||JEFFREY C. THOMAS|330.374.7500|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/08/1998|0|0|0|0|0|0
Chicago Regional Office| 112587|801-60937|VOIT & HAMILTON, LLC|VOIT & HAMILTON, LLC|235 N EXECUTIVE DR|SUITE 240|BROOKFIELD WI 53005|USA|||  ||TODD KEVIN VOIT|262-784-2775|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/15/2002|0|0|0|0|0|0
Chicago Regional Office| 112601|801-47808|CONSULTING FIDUCIARIES, INC.|CONSULTING FIDUCIARIES, INC.|400 SKOKIE BLVD., STE 260||NORTHBROOK IL 60062|USA|||  ||DAVID L. HEALD|847-559-9838|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|11/28/1994|0|0|0|0|0|0
Chicago Regional Office| 112602|801-57364|PRIVATE WEALTH CONSULTANTS LTD|PRIVATE WEALTH CONSULTANTS LTD|6591 WEST CENTRAL AVE, SUITE 108||TOLEDO OH 43617|USA|||  ||MARIE N. GROVES|419-842-0334|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|03/13/2000|0|0|0|0|0|0
Chicago Regional Office| 112611|801-15642|SENTINEL MANAGEMENT GROUP, INC.|SENTINEL MANAGEMENT GROUP, INC.|EDENS CORPORATE CENTER|650 DUNDEE ROAD STE 460|NORTHBROOK IL 60062|USA|||  ||MATTHEW KEEL|847-412-4426|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/05/1980|0|0|0|0|0|0
Chicago Regional Office| 112626|801-56923|THE STEWARDSHIP CENTER, INC.|THE STEWARDSHIP CENTER,INC.|3415 BRIDGELAND DRIVE||ST.LOUIS MO 63044|USA|PO BOX 16165||ST LOUIS MO 63105|USA|ROBERT BAMBERGER|314 291 0500|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|10/26/1999|0|0|0|0|0|0
Chicago Regional Office| 112632|801-57442|JAMERICA FINANCIAL, INC.|JAMERICA INC.|BROADWAY PLACE EAST (SUITE 135))|3433 BROADWAY STREET NE|MINNEAPOLIS MN 55413|USA|||  ||SHERWIN P. BROWN|612-331-3012|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/11/2000|0|1|1|0|0|0
Chicago Regional Office| 112642|801-57448|ACCESS PARTNERS LLC|ACCESS PARTNERS LLC|100 N.W. SECOND ST, SUITE 310||EVANSVILLE IN 47708|USA|||  ||ROBERT F. MEHRINGER|812-402-8040 X 101|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|04/10/2000|0|0|0|0|0|0
Chicago Regional Office| 112683|801-62207|GREYSTONE FINANCIAL GROUP, INC.|GREYSTONE FINANCIAL GROUP, INC.|1301 WEST LONG LAKE ROAD|SUITE 255|TROY MI 48098|USA|||  ||KELLY BRYAN|248-267-1270|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|07/14/2003|0|0|0|0|0|0
Chicago Regional Office| 112701|801-60235|SOSNOWY INVESTMENT MANAGEMENT COMPANY|NEW SIMCO, INC.|3883 TELEGRAPH ROAD, SUITE 100||BLOOMFIELD HILLS MI 48302|USA|||  ||JERRY C. WAGNER|248-642-6640|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters, Market timing services|APPROVED|05/11/2001|0|0|0|0|0|0
Chicago Regional Office| 112702|801-60264|ALLEY COMPANY, LLC|ALLEY COMPANY, LLC|585 BANK LANE|SUITE 2400|LAKE FOREST IL 60045|USA|||  ||STEVEN J. ALLEY|847-482-0938|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|05/14/2001|0|0|0|0|0|0
Chicago Regional Office| 112705|801-47741|DAEDALUS CAPITAL, L.L.C.|DAEDALUS CAPITAL, L.L.C.|500 NORTH BROADWAY|SUITE 1450|ST. LOUIS MO 63102|USA|||  ||STEPHEN M. COLEMAN|314-241-3590|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/01/1994|0|0|1|0|0|0
Chicago Regional Office| 112802|801-67743|PATRICK M. SWEENEY & ASSOCIATES, INC|PATRICK M. SWEENEY & ASSOCIATES, INC|18-3 E DUNDEE ROAD|SUITE 101|BARRINGTON IL 60010|USA|||  ||PATRICK M SWEENEY|(847) 277-7771|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|04/19/2007|0|0|0|0|0|0
Chicago Regional Office| 112809|801-47193|GREAT NORTHERN ASSET MANAGMENT INC|GREAT NORTHERN ASSET MANAGMENT INC|332 MINNESOTA ST.|SUITE W 2900|ST. PAUL MN 55101|USA|||  ||JAY ROTHMEIER|651-222-6130|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/11/1994|0|0|0|0|0|0
Chicago Regional Office| 112997|801-61043|SCHENCK INVESTMENT SOLUTIONS LLC|SCHENCK INVESTMENT SOLUTIONS LLC|200 EAST WASHINGTON STREET||APPLETON WI 54912-1739|USA|||  ||KATHRYN A. JAMESON|920-996-1316|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/12/2002|0|0|0|0|0|0
Chicago Regional Office| 113016|801-49645|RETIREMENT FUNDING ADVISORS INC.|RETIREMENT FUNDING ADVISORS INC.|8031 M-15||CLARKSTON MI 48348|USA|||  ||DONALD I. GREGG|248-620-8035|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|07/14/1995|0|0|0|0|0|0
Chicago Regional Office| 113020|801-33545|ADVISORS MANAGEMENT GROUP INC|ADVISORS MANAGEMENT GROUP INC|505 KING ST STE 208||LA CROSSE WI 54601|USA|||  ||ROGER D.DEETS|608-782-0200|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/13/1989|0|0|0|0|0|0
Chicago Regional Office| 113042|801-60367|HARBOR CAPITAL ADVISORS, INC.|HARBOR CAPITAL ADVISORS, INC.|111 SOUTH WACKER DRIVE|34TH FLOOR|CHICAGO IL 60606-4302|USA|||  ||CHARLES F. MCCAIN|(312) 443-4420|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|06/07/2001|0|1|0|0|0|0
Chicago Regional Office| 113046|801-60332|CASTLE ADVISORY GROUP, L.L.C.|CASTLE ADVISORY GROUP, L.L.C.|9820 WESTPOINT DRIVE, SUITE 100||INDIANAPOLIS IN 46256-3335|USA|||  ||CHARLES T. SHEARMAN|(317) 849-9559|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|06/14/2001|0|2|0|0|0|0
Chicago Regional Office| 113078|801-60551|NUVEEN HYDEPARK GROUP, LLC|NUVEEN HYDEPARK GROUP, LLC|111 WEST JACKSON BOULEVARD SUITE 1411||CHICAGO IL 60604|USA|||  ||MARY E. KEEFE|312-917-7868|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/11/2001|0|0|0|0|0|0
Chicago Regional Office| 113086|801-60972|FIRST ASSOCIATED INVESTMENT ADVISORS, INC.|FIRST ASSOCIATED INVESTMENT ADVISORS, INC.|5161 MILLER TRUNK HIGHWAY||DULUTH MN 55811|USA|||  ||CURTIS A. TEBERG|(218) 722-8248|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Market timing services|APPROVED|03/06/2002|0|0|0|0|0|0
Chicago Regional Office| 113110|801-61933|FINANCIAL PLANNING AND INFORMATION SERVICES, INC.|FINANCIAL PLANNING AND INFORMATION SERVICES, INC.|320 MAIN AVENUE|SUITE 101|DE PERE WI 54115|USA|||  ||LONNIE L. MISHLER|920-983-7511|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|03/28/2003|0|0|0|0|0|0
Chicago Regional Office| 113136|801-61063|AA CAPITAL PARTNERS, INC.|AA CAPITAL PARTNERS, INC.|10 S. LASALLE ST.|SUITE 1430|CHICAGO IL 60603-1024|USA|||  ||W. SCOTT PORTERFIELD|(312) 629-7450|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/08/2002|0|1|1|0|0|0
Chicago Regional Office| 113175|801-35303|NEWPORT INVESTMENT ADVISORS INC|NEWPORT INVESTMENT ADVISORS INC|23775 COMMERCE PARK RD, SUITE 5||BEACHWOOD OH 44122|USA|||  ||KENNETH M HOLESKI|216 514 5151|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/09/1989|0|0|0|0|0|0
Chicago Regional Office| 113179|801-60293|MMA TRUST COMPANY|MMA TRUST COMPANY|1110 NORTH MAIN STREET||GOSHEN IN 46528|USA|PO BOX 483||GOSHEN IN 46527|USA|RODNEY D. DILLER|(574) 533-9511|Other (specify)|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|05/23/2001|0|0|0|0|0|0
Chicago Regional Office| 113212|801-60319|THIRD STREET ADVISORS, LLC|THIRD STREET ADVISORS, LLC|109 NORTH THIRD STREET||GENEVA IL 60134|USA|||  ||CRAIG ROBERT NEADER|630-513-8815|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|06/01/2001|0|0|0|0|0|0
Chicago Regional Office| 113242|801-60344|SECURITIES MONITORING GROUP, LLC|SECURITIES MONITORING GROUP, LLC|103 MARTY DRIVE|SUITE 101|BUFFALO MN 55313|USA|||  ||MICHAEL J. DOUGHERTY|763-682-4014|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|06/25/2001|0|0|0|0|0|0
Chicago Regional Office| 113328|801-63133|NETOLS ASSET MANAGEMENT INC|NETOLS ASSET MANAGEMENT INC|1045 W. GLEN OAKS LANE|SUITE 202|MEQUON WI 53092|USA|||  ||JEFF NETOLS|262-240-2930|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/14/2004|0|0|0|0|0|0
Chicago Regional Office| 113370|801-61841|BROOKFIELD INVESTMENT PARTNERS, LLC|BROOKFIELD INVESTMENT PARTNERS, LLC|330 SOUTH EXECUTIVE DRIVE|SUITE 307|BROOKFIELD WI 53005-4275|USA|||  ||DUSTINE M.GUILLERMO|262-785-6751 EXT.10|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters, Other|APPROVED|02/27/2003|0|0|0|0|0|0
Chicago Regional Office| 113412|801-62677|HUNTLEIGH ADVISORS, INC.|HUNTLEIGH ADVISORS, INC.|7800 FORSYTH BLVD.|5TH FLOOR|ST. LOUIS MO 63105|USA|||  ||CHRISTOPHER OCONNELL|314-236-8888|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/22/2004|0|1|0|0|0|0
Chicago Regional Office| 113481|801-68628|PROPHET ASSET MANAGEMENT|PROPHET ASSET MANAGEMENT , INC.|708 57TH STREET||KENOSHA WI 53140|USA|||  ||MARC PAUL HUJIK|262-657-5555|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/02/2008|0|0|0|0|0|0
Chicago Regional Office| 113527|801-61039|LESTER GEORGE JACKSON|LESTER GEORGE JACKSON|444 N. NORTHWEST HWY.|SUITE 195|PARK RIDGE IL 60068|USA|||  ||LESTER JACKSON|847-825-7770|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/29/2002|0|0|0|0|0|0
Chicago Regional Office| 113546|801-60685|CHAMPS INVESTMENTS, LLC|CHAMPS INVESTMENTS, LLC|THREE STAR PLAZA|1226 HURON ROAD EAST|CLEVELAND OH 44115|USA|||  ||PHILIP C. MAZANEC|(216) 696-6900|Limited Liability Company|Pension consulting services, Selection of other advisers|APPROVED|11/09/2001|0|0|0|0|0|0
Chicago Regional Office| 113570|801-64327|SOLUTIONS FOR WEALTH MANAGEMENT, LLC|SOLUTIONS FOR WEALTH MANAGEMENT, LLC|1605 N CONVENT||BOURBONNAIS IL 60914|USA|||  ||MARK L SMITH|815-935-6636|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|05/27/2005|0|0|0|0|0|0
Chicago Regional Office| 113630|801-60368|BALASA DINVERNO FOLTZ LLC|BALASA DINVERNO FOLTZ LLC|500 PARK BOULEVARD|SUITE 1400|ITASCA IL 60143|USA|||  ||MICHAEL C. FOLTZ|630-875-4926|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|06/20/2001|0|0|0|0|0|0
Chicago Regional Office| 113650|801-67948|MADISON WEALTH MANAGEMENT SERVICES, INC.|MADISON WEALTH MANAGEMENT SERVICES, INC.|579 D'ONOFRIO DR., SUITE 207||MADISON WI 53719|USA|||  ||GARY K. DOUGHMAN|(608)833-9393|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/22/2007|0|0|0|0|0|0
Chicago Regional Office| 113735|801-60555|RESOURCES PLANNING GROUP INC|RESOURCES PLANNING GROUP INC|190 S LASALLE ST|1640|CHICAGO IL 60603-3597|USA|||  ||TERRANCE R HENNESSY|312-781-2111|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|09/07/2001|0|0|0|0|0|0
Chicago Regional Office| 113740|801-62938|BARRINGTON ASSET MANAGEMENT, INC.|BARRINGTON ASSET MANAGEMENT, INC.|161 NORTH CLARK ST., SUITE 2950||CHICAGO IL 60601|USA|||  ||ALEXANDER P. PARIS|312-634-6363|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|03/30/2004|0|0|0|0|0|0
Chicago Regional Office| 113799|801-63744|FAMILY INVESTMENT CENTER|FAMILY INVESTMENT CENTER, INC.|3805 BECK ROAD||ST. JOSEPH MO 64506|USA|3805 BECK ROAD|P.O. BOX 8807|ST. JOSEPH MO 64508-8807|USA|THADDUS "DAN" S DANFORD|816-233-4100|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Publication of periodicals or newsletters|APPROVED|01/03/2005|0|0|0|0|0|0
Chicago Regional Office| 113878|801-60399|MCDONNELL INVESTMENT MANAGEMENT, LLC|MCDONNELL INVESTMENT MANAGEMENT, LLC|1515 W. 22ND STREET, 11TH FLR||OAK BROOK IL 60523|USA|||  ||PAUL CARTER|630-684-8600|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|07/09/2001|0|0|1|0|0|0
Chicago Regional Office| 113906|801-66577|STRATEGIC ADVISORS OF ILLINOIS|AMM ACCOUNTING SERVICES INC|1701 E. LAKE AVENUE|SUITE 280|GLENVIEW IL 60025|USA|||  ||ALAN MORGAN|847-729-7700|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|04/17/2006|0|0|0|0|0|0
Chicago Regional Office| 113914|801-56704|PENSION CONSULTANTS INC|PENSION CONSULTANTS INC|300 SOUTH CAMPBELL AVE.||SPRINGFIELD MO 65806|USA|||  ||BRIAN D. ALLEN|417.889.4918|Corporation|Pension consulting services, Selection of other advisers, Other|APPROVED|07/23/1999|0|1|0|0|0|0
Chicago Regional Office| 113941|801-62880|EQUITRUST FINANCIAL GROUP, LTD.|EQUITRUST FINANCIAL GROUP, LTD.|570 LAKE COOK RD.|SUITE 101|DEERFIELD IL 60015|USA|||  ||CHARLES M. NOPARSTAK|847-317-0200|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|03/12/2004|0|0|0|0|0|0
Chicago Regional Office| 114003|801-60805|LINCOLN ADVISORY GROUP, LTD.|LINCOLN ADVISORY GROUP, LTD.|120 NORTH LASALLE, SUITE 1750||CHICAGO IL 60602|USA|ATTN: GREGORY S. COURTWRIGHT|3300 LINCOLN PLAZA, 500 NORTH AKARD|DALLAS TX 75201-3394|USA|GREGORY S. COURTWRIGHT|214-740-3300|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|12/28/2001|0|0|0|0|0|0
Chicago Regional Office| 114048|801-60440|HOTCHKISS ASSOCIATES LLC|HOTCHKISS ASSOCIATES LLC|303 W. MADISON STREET - SUITE 1050||CHICAGO IL 60606-3387|USA|||  ||JOHN FRANCIS CREGAN|312-368-4633|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/03/2001|0|0|0|0|0|0
Chicago Regional Office| 114085|801-60721|MASON STREET ADVISORS, LLC|MASON STREET ADVISORS, LLC|720 EAST WISCONSIN AVENUE||MILWAUKEE WI 53202|USA|||  ||MICHAEL W. ZIELINSKI|(414) 665-6103|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|12/17/2001|0|21|2|0|0|0
Chicago Regional Office| 114094|801-55954|LONGSHIP ADVISERS, LLC|LONGSHIP ADVISERS, LLC|100 N SIXTH ST|SUITE 300A|MINNEAPOLIS MN 55403|USA|100 N SIXTH STREET|PO BOX 3353|MINNEAPOLIS MN 55403-0353|USA|JON E. BRUSVEN|612.746.0551|Limited Liability Company|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|10/30/1998|0|0|0|0|0|0
Chicago Regional Office| 114173|801-60451|BROOKTREE CAPITAL MANAGEMENT INC.|BROOKTREE CAPITAL MANAGEMENT INC.|25 IONIA SW|SUITE 310|GRAND RAPIDS MI 49503|USA|PO BOX 6367||GRAND RAPIDS MI 49516-6367|USA|BRIAN ELLIS|616-774-3159|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/02/2001|0|0|0|0|0|0
Chicago Regional Office| 114370|801-67525|SESSIONS FINANCIAL GROUP, INC.|SESSIONS FINANCIAL GROUP, INC.|7084 E. FISH LAKE ROAD||MAPLE GROVE MN 55311|USA|||  ||JOSEPH J. SESSIONS|763-494-0095|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/05/2007|0|0|0|0|0|0
Chicago Regional Office| 114390|801-62870|DORION-GRAY RETIREMENT PLANNING, INC.|DORION GRAY FINANCIAL SERVICES INC.|2602 IL ROUTE 176||PRAIRIE GROVE IL 60014-2225|USA|||  ||PAULA L. DORION-GRAY|815-459-6800|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Publication of periodicals or newsletters, Other|APPROVED|03/25/2004|0|2|0|0|0|0
Chicago Regional Office| 114537|801-60667|AEGON USA INVESTMENT MANAGEMENT, LLC|AEGON USA INVESTMENT MANAGEMENT, LLC|4333 EDGEWOOD ROAD NE||CEDAR RAPIDS IA 52499-5338|USA|||  ||JESSICA L. COLE|502/560-2630|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|11/01/2001|0|0|0|0|0|0
Chicago Regional Office| 114674|801-63115|LARAWAY FINANCIAL ADVISORS, INC.|LARAWAY FINANCIAL ADVISORS, INC.|1219 33RD STREET SOUTH||ST. CLOUD MN 56301|USA|||  ||STEVEN A. LARAWAY|320.353.2490|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/14/2004|0|0|0|0|0|0
Chicago Regional Office| 114727|801-60577|LIFESTAGE WEALTH MANAGEMENT LLC|LIFESTAGE WEALTH MANAGEMENT LLC|11100 WAYZATA BOULEVARD|SUITE 510|MINNETONKA MN 55305|USA|||  ||BRUCE C. KUEHL|763-542-8884|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|09/24/2001|0|0|0|0|0|0
Chicago Regional Office| 114801|801-60481|ARLINGTON CAPITAL MANAGEMENT, INC.|ARLINGTON CAPITAL MANAGEMENT, INC.|21 S. EVERGREEN AVENUE|SUITE 210|ARLINGTON HEIGHTS IL 60005-7800|USA|||  ||JOSEPH LOPRESTI|847-670-4030|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|08/10/2001|0|0|0|0|0|0
Chicago Regional Office| 114803|801-57702|GLOBAL FINANCIAL PLANNING GROUP, LLC|GLOBAL FINANCIAL PLANNING GROUP, LLC|3155 WEST BIG BEAVER|SUITE 123|TROY MI 48084|USA|||  ||DAVID LESZCYNSKI|248-643-4820|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/18/2000|0|0|0|0|0|0
Chicago Regional Office| 114866|801-60510|RWB CAPITAL MANAGEMENT, LLC|RWB CAPITAL MANAGEMENT, LLC|985 PARCHMENT DRIVE, S.E.||GRAND RAPIDS MI 49546|USA|||  ||SANDRA LEE BURNHAM|616-940-9124|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/24/2001|0|0|0|0|0|0
Chicago Regional Office| 114888|801-68098|STRATEGIC INVESTMENT ADVISORS, LTD.|STRATEGIC INVESTMENT ADVISORS, LTD.|364 S BROADVIEW||CAPE GIRARDEAU MO 63703|USA|||  ||JAMES M. HILLIN|573-334-8200|Corporation|Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|07/02/2007|0|0|0|0|0|0
Chicago Regional Office| 114970|801-67664|THE FINANCIAL JUNCTION|CADE GROUP, INC.|7320 US 31 SOUTH||INDIANAPOLIS IN 46227|USA|||  ||MARK AARON CADE|317-215-2473|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|03/15/2007|0|0|0|0|0|0
Chicago Regional Office| 115050|801-60925|VON HOLT FINANCIAL ADVISORS, INC.|VON HOLT FINANCIAL ADVISORS, INC.|4801 EMERSON AVENUE|SUITE 102|PALATINE IL 60067|USA|||  ||ALBERT JOHN VON HOLT|847-303-6050|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/15/2002|0|0|0|0|0|0
Chicago Regional Office| 115071|801-63137|WALRUS PARTNERS, LLC|WALRUS PARTNERS, LLC|5020 COLONIAL DRIVE||GOLDEN VALLEY MN 55416|USA|8014 OLSON MEMORIAL HWY|# 232|MINNEAPOLIS MN 55427-4712|USA|R. RUSSELL LAST|763-595-7074|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|05/07/2004|0|0|0|0|0|0
Chicago Regional Office| 115095|801-64055|TRUSTED FINANCIAL PARTNERS, LLC|TRUSTED FINANCIAL PARTNERS, LLC|3140 HARBOR LANE, SUITE 100||PLYMOUTH MN 55447|USA|||  ||DIANE MILLER|763.550.1100|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|03/11/2005|0|0|0|0|0|0
Chicago Regional Office| 115096|801-62404|INVESTMENT CONSULTING & RESEARCH INC.|INVESTMENT CONSULTING & RESEARCH INC.|7973 WASHINGTON WOODS DR.||CENTERVILLE OH 45459|USA|||  ||FRED E. BALSER|937-433-2735|Corporation|Portfolio management for individuals and/or small businesses, Market timing services|APPROVED|10/01/2003|0|0|0|0|0|0
Chicago Regional Office| 115108|801-69354|DICKINSON INVESTMENT ADVISORS|R.E. DICKINSON INVESTMENT ADVISORS, LLC|533 SOUTH MAIN STREET||COUNCIL BLUFFS IA 51503|USA|||  ||RON DICKINSON|712-328-2600|Limited Liability Company|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|07/02/2008|0|0|0|0|0|0
Chicago Regional Office| 115121|801-60794|PRAIRIE FINANCIAL GROUP ADVISORY SERVICES|PRAIRIE FINANCIAL SERVICES, INC.|1813 N. MILL STREET|SUITE H|NAPERVILLE IL 60563|USA|||  ||JERRY L. WEBB|630-778-8785|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Publication of periodicals or newsletters, Other|APPROVED|12/21/2001|0|0|0|0|0|0
Chicago Regional Office| 115155|801-64379|FOUNDATION FINANCIAL PLANNING LLP|FOUNDATION FINANCIAL PLANNING LLP|11375 ROBINSON DRIVE|SUITE 210|COON RAPIDS MN 55433|USA|||  ||ROGER C. KRUSE|763-231-2760|Limited Liability Partnership|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|07/12/2005|1|1|0|0|0|0
Chicago Regional Office| 115165|801-63114|COUNSEL FINANCIAL, INC.|COUNSEL FINANCIAL, INC.|1900 SILVER LAKE ROAD|SUITE 314|NEW BRIGHTON MN 55112|USA|||  ||RICHARD VASTERLING|651-639-8707|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|05/07/2004|0|0|0|0|0|0
Chicago Regional Office| 115171|801-60542|PATRICK BECKER AGENCY|PATRICK LLOYD BECKER|127 SOUTH KINGSTON STREET||CALEDONIA MN 55921|USA|||  ||JEAN BECKER|507-725-2039|Sole Proprietorship|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies|APPROVED|09/05/2001|0|0|0|0|0|0
Chicago Regional Office| 115193|801-64754|NUMBERS BY TOM PASKE & DIANE KRAMER, INC.|NUMBERS BY TOM PASKE & DIANE KRAMER, INC.|7900 TELEGRAPH ROAD||BLOOMINGTON MN 55438|USA|||  ||ERIN HANSON|(952) 944-5577|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|10/19/2005|0|0|0|0|0|0
Chicago Regional Office| 115211|801-62857|EDUCATOR'S FINANCIAL SERVICES, INC.|EDUCATOR'S FINANCIAL SERVICES, INC.|440 EMERSON ST N SUITE 2||CAMBRIDGE MN 55008|USA|||  ||KENT SCHUTTE|763.689.9023|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|03/11/2004|0|0|0|0|0|0
Chicago Regional Office| 115213|801-60553|LAGER & COMPANY, INC.|LAGER & COMPANY, INC.|6306 GOLDEN VALLEY ROAD||GOLDEN VALLEY MN 55427|USA|||  ||FREDRIC J. LAGER|763-377-2006|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|09/24/2001|0|0|0|0|0|0
Chicago Regional Office| 115238|801-64357|GREAT RIVER ASSET MANAGEMENT LLC|GREAT RIVER ASSET MANAGEMENT LLC|320 NORTH THIRD ST, SUITE 501||BURLINGTON IA 52601|USA|320 NORTH THIRD ST, SUITE 501|PO BOX 725|BURLINGTON IA 52601|USA|JAMES R. WALKER|319-758-6792|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|06/21/2005|0|0|0|0|0|0
Chicago Regional Office| 115253|801-66445|T. ROSE & ASSOCIATES, INC.|T. ROSE & ASSOCIATES, INC.|222 SOUTH 9TH STREET, SUITE 3260||MINNEAPOLIS MN 55402|USA|||  ||TIMOTHY M. ROSE|612-371-4705|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/31/2006|0|0|0|0|0|0
Chicago Regional Office| 115277|801-64497|NORTH COMPASS FINANCIAL ADVISORS, INC.|NORTH COMPASS FINANCIAL ADVISORS, INC.|21 NE 5TH STREET|SUITE 301|GRAND RAPIDS MN 55744|USA|21 NE 5TH STREET|SUITE  301|GRAND RAPIDS MN 55744|USA|DALE A. ANICH|218-326-4722|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Other|APPROVED|07/15/2005|0|0|0|0|0|0
Chicago Regional Office| 115290|801-60566|RYAN CAPITAL ADVISORS, LLC|RYAN CAPITAL ADVISORS, LLC|11113 BLUESTEM LANE||EDEN PRAIRIE MN 55347|USA|||  ||MICHAEL COCKSON|952-237-1400|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|09/12/2001|0|0|0|0|0|0
Chicago Regional Office| 115308|801-60796|HERITAGE CAPITAL ADVISORS, LLC|HERITAGE CAPITAL ADVISORS, LLC|225 SOUTH SIXTH STREET|SUITE 4390|MINNEAPOLIS MN 55402|USA|||  ||MARK BARRETT|612-372-0094|Limited Liability Company|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|12/21/2001|0|0|0|0|0|0
Chicago Regional Office| 115321|801-62766|LUNDQUIST, SCHILTZ AND ASSOCIATES, INC.|LUNDQUIST, SCHILTZ AND ASSOCIATES, INC.|2600 GRAND AVENUE|SUITE 216|DES MOINES IA 50312|USA|||  ||SUE GLADSON|515-284-1011|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/06/2004|0|0|0|0|0|0
Chicago Regional Office| 115361|801-66457|ACCESS FINANCIAL SERVICES, INC.|ACCESS FINANCIAL SERVICES, INC.|1650 WEST 82ND STREET|SUITE 850|MINNEAPOLIS MN 55431|USA|||  ||BRANT T KAIRIES|952-885-2732|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|04/24/2006|0|0|0|0|0|0
Chicago Regional Office| 115364|801-62815|DAVID R. KERN ASSET MANAGEMENT|ADVANTAGE FINANCIAL PLANNING, INC.|16616 LIMA ROAD||HUNTERTOWN IN 46748|USA|||  ||DAVID R. KERN|260-637-1019|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Market timing services|APPROVED|02/20/2004|0|0|0|0|0|0
Chicago Regional Office| 115367|801-66541|BRENEMAN WINBUSH AND ASSOCIATES, LLP|BRENEMAN WINBUSH AND ASSOCIATES, LLP|1530 GREENVIEW DRIVE SW|SUITE 205|ROCHESTER MN 55902|USA|||  ||MARK W. BRENEMAN|507 280-4322|Limited Liability Partnership|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|05/04/2006|0|0|0|0|0|0
Chicago Regional Office| 115384|801-62026|LEGACY FINANCIAL ADVISORS CORPORATION|LEGACY FINANCIAL ADVISORS CORPORATION|3500 AMERICAN BLVD W|SUITE 675|BLOOMINGTON MN 55431|USA|||  ||SHAWN JACOBSON|952-893-5555|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/05/2003|0|0|0|0|0|0
Chicago Regional Office| 115399|801-66575|SHEARWATER CAPITAL|SHEARWATER CAPITAL, LLC|8304 KINGSBURY BLVD.||ST. LOUIS MO 63105|USA|||  ||JEFFREY J. BROWN|314-497-6809|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|05/01/2006|0|0|0|0|0|0
Chicago Regional Office| 115416|801-61949|FINANCIAL INVESTMENTS RESEARCH & MANAGEMENT LLC|FINANCIAL INVESTMENTS RESEARCH & MANAGEMENT LLC|1101 5TH STREET|SUITE 204|CORALVILLE IA 52241|USA|||  ||JOHN CUERVORST|319-339-0314|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/28/2003|0|0|0|0|0|0
Chicago Regional Office| 115439|801-60559|PREMIER ASSET MANAGEMENT LLC|PREMIER ASSET MANAGEMENT LLC|111 S. WACKER STE 4940||CHICAGO IL 60606|USA|||  ||DENISE M. SEMINETTA|312 727 0819|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|09/10/2001|0|0|0|0|0|0
Chicago Regional Office| 115501|801-60576|TOUCHSTONE PARTNERS, L.L.C.|TOUCHSTONE PARTNERS, L.L.C.|260 E. BROWN ST., SUITE 250||BIRMINGHAM MI 48009-6231|USA|||  ||SHELAGH MERENIUS|248-646-9200|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/18/2001|0|0|1|0|0|0
Chicago Regional Office| 115586|801-61007|KILKENNY CAPITAL MANAGEMENT, L.L.C.|KILKENNY CAPITAL MANAGEMENT, L.L.C.|311 SOUTH WACKER DRIVE|SUITE 6350|CHICAGO IL 60606|USA|||  ||TERRENCE J. WALSH|312-913-1259|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/28/2002|0|0|0|0|0|0
Chicago Regional Office| 115605|801-62565|PERSONAL FINANCIAL PLANNING, INC.|PERSONAL FINANCIAL PLANNING, INC.|707 LAKE COOK ROAD|SUITE 109|DEERFIELD IL 60015|USA|||  ||MARC STEINMAN|847-205-2591|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|01/02/2004|0|0|0|0|0|0
Chicago Regional Office| 115606|801-58256|BEDFORD FINANCIAL GROUP, INC.|MICHAEL R ROESER AND ASSOCIATES, INC.|1206 E PARK AVE||LIBERTYVILLE IL 60048|USA|||  ||MARGIE RICHTER|847-966-2040|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/10/2001|0|1|0|0|0|0
Chicago Regional Office| 115644|801-60621|CHARTWELL BENEFITS CONSULTING, LLC|CHARTWELL BENEFITS CONSULTING, LLC|19855 CHARTWELL HILL||SHOREWOOD MN 55331|USA|||  ||ROBERT R. SNYDER|952-474-6708|Limited Liability Company|Pension consulting services, Selection of other advisers|APPROVED|10/04/2001|0|0|0|0|0|0
Chicago Regional Office| 115699|801-60963|CLARITY ASSET MANAGEMENT, INC.|CLARITY ASSET MANAGEMENT, INC.|2001 WESTOWN PARKWAY|SUITE 110|WEST DES MOINES IA 50265|USA|P.O. BOX 3898||URBANDALE IA 50323|USA|MARY DOTTERER PITCHER|515-252-7489|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/28/2002|0|0|0|0|0|0
Chicago Regional Office| 115717|801-60718|ALCOS, INC.|ALCOS, INC.|35735 MOUND ROAD||STERLING HEIGHTS MI 48310|USA|P.O. BOX 8029||STERLING HEIGHTS MI 48311-8029|USA|GERALD ZACCARDELLI|586-977-6300|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|11/19/2001|0|0|0|0|0|0
Chicago Regional Office| 115736|801-66755|MINDSHARE CAPITAL MANAGEMENT, LLC|MINDSHARE CAPITAL MANAGEMENT, LLC|7733 FORSYTH BOULEVARD, SUITE 1900||ST. LOUIS MO 63105|USA|||  ||NICOLE M. GILBERT|(314) 719-3470|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/01/2006|0|0|0|0|0|0
Chicago Regional Office| 115762|801-58064|HEACOCK & JONES FINANCIAL SERVICES, INC.|HEACOCK & JONES FINANCIAL SERVICES, INC.|1635 ASSOCIATES DRIVE, SUITE 103||DUBUQUE IA 52002|USA|||  ||SHARON KLUESNER|563-585-1400|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/26/2000|0|0|1|0|0|0
Chicago Regional Office| 115785|801-60701|THRIVENT FINANCIAL FOR LUTHERANS|THRIVENT FINANCIAL FOR LUTHERANS|625 FOURTH AVENUE SOUTH||MINNEAPOLIS MN 55415|USA|||  ||DAVID S. ROYAL|612-340-4249|Corporation|Portfolio management for investment companies|APPROVED|11/13/2001|0|6|0|0|0|0
Chicago Regional Office| 115849|801-64307|TABER ASSET MANAGEMENT L.L.C.|TABER ASSET MANAGEMENT L.L.C.|2913 VIRGINIA PLACE||DES MOINES IA 50321-1534|USA|||  ||WILLIAM EMMETT TABER|515-557-1860|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/12/2005|0|0|0|0|0|0
Chicago Regional Office| 115944|801-68836|FINANCIAL LEGACY ASSOCIATES|FINANCIAL LEGACY ASSOCIATES, LLC|16020 SWINGLEY RIDGE ROAD|SUITE 100|CHESTERFIELD MO 63017|USA|||  ||C. MICHAEL UNTERREINER|636-777-7099|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/21/2008|0|1|0|0|0|0
Chicago Regional Office| 116127|801-69368|HEARTLAND CAPITAL ADVISORS, L.C.|HEARTLAND CAPITAL ADVISORS, L.C.|4200 LITTLE BLUE PARKWAY|SUITE 610|INDEPENDENCE MO 64057|USA|||  ||KENNETH D. STOCKARD|(816)-478-1818|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/29/2008|0|0|0|0|0|0
Chicago Regional Office| 116214|801-61161|DEWAAY CAPITAL MANAGEMENT|DEWAAY CAPITAL MANAGEMENT, INC.|13001 UNIVERSITY AVENUE||CLIVE IA 50325|USA|||  ||CHARLES WIEGERT|515-273-1302|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|05/20/2002|0|0|0|0|0|0
Chicago Regional Office| 116296|801-60763|BREEN FINANCIAL CORPORATION|BREEN FINANCIAL CORPORATION|1603 ORRINGTON AVE|SUITE 1044|EVANSTON IL 60201|USA|||  ||GREGORY KAMEIKA|847-866-8900|Corporation|Portfolio management for individuals and/or small businesses, Pension consulting services, Other|APPROVED|12/11/2001|0|0|0|0|0|0
Chicago Regional Office| 116386|801-68480|UNIVERSAL FINANCIAL PLANNING CONSULTANTS, INC.|UNIVERSAL FINANCIAL PLANNING CONSULTANTS, INC.|7751 CARONDELET AVE., SUITE 708||ST. LOUIS MO 63105|USA|||  ||ALBERT L. LOCK, JR|314-721-5522|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|11/06/2007|0|0|0|0|0|0
Chicago Regional Office| 116398|801-67638|EQUITY ADVISORS OF KENTUCKY INC|EQUITY ADVISORS OF KENTUCKY INC|9219 WADDY ROAD||WADDY KY 40076|USA|PO BOX 5009||WADDY KY 40059|USA|BRIAN GUILLIOM|502 419 5959|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|04/11/2007|0|1|0|0|0|0
Chicago Regional Office| 116407|801-60749|WEALTH ENHANCEMENT ADVISORY SERVICES, LLC|WEALTH ENHANCEMENT ADVISORY SERVICES, LLC|505 NORTH HWY 169|SUITE 900|PLYMOUTH MN 55441|USA|||  ||MICHAEL STEFANO|763-417-1444|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|12/21/2001|0|2|1|0|0|0
Chicago Regional Office| 116408|801-61526|ASTOR ASSET MANAGEMENT, LLC|ASTOR ASSET MANAGEMENT, L.L.C.|111 SOUTH WACKER DRIVE|SUITE 3950|CHICAGO IL 60606|USA|||  ||ROB STEIN|312-373-6280|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|10/11/2002|0|0|0|0|0|0
Chicago Regional Office| 116418|801-60751|CARDINAL INVESTMENT ADVISORS, L.L.C.|CARDINAL INVESTMENT ADVISORS, L.L.C.|2345 WAUKEGAN ROAD SUITE 170||BANNOCKBURN IL 60015|USA|222 S. MERAMEC|#303|CLAYTON MO 63105|USA|C. RICHARD BEARD, CFA|314-726-9911|Limited Liability Company|Pension consulting services, Selection of other advisers, Other|APPROVED|12/06/2001|0|0|0|0|0|0
Chicago Regional Office| 116543|801-66503|TRADEMARK FINANCIAL MANAGEMENT, LLC|TRADEMARK FINANCIAL MANAGEMENT, LLC|7301 OHMS LANE|#535|EDINA MN 55439|USA|||  ||JOHN MOWERY|952-358-3395|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|04/26/2006|0|0|0|0|0|0
Chicago Regional Office| 116548|801-63769|FINANCIAL CONCEPTS, INC.|FINANCIAL CONCEPTS OF THE TWIN CITIES, INC.|9655 SCHMIDT LAKE ROAD||PLYMOUTH MN 55442|USA|||  ||BARB LINDERHOLM|763-450-1803|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|01/03/2005|0|1|0|0|0|0
Chicago Regional Office| 116726|801-66701|KIPLINGER WEALTH MANAGEMENT GROUP|KIPLINGER INVESTMENT ADVISORS, LLC.|15300 PEARL ROAD|SUITE 201|STRONGSVILLE OH 44136-5091|USA|||  ||BRAD E. KIPLINGER|440-238-6776|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/10/2006|0|0|0|0|0|0
Chicago Regional Office| 116844|801-60716|BROOKFIELD REDDING LLC|BROOKFIELD REDDING LLC|71 SOUTH WACKER DRIVE|SUITE 3400|CHICAGO IL 60606-2841|USA|||  ||JOSEPH T. SOMMER|312-377-8254|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|11/19/2001|0|0|0|0|0|0
Chicago Regional Office| 116888|801-60877|BUTTERFIELD CAPITAL ADVISORS|TODD WENDELL BUTTERFIELD|316 EAST 1150TH ST.||PAYSON IL 62360|USA|||  ||TODD BUTTERFIELD|217-656-4630|Sole Proprietorship|Portfolio management for individuals and/or small businesses, Market timing services|APPROVED|01/24/2002|0|0|0|0|0|0
Chicago Regional Office| 116896|801-67765|ADVANCED FINANCIAL PLANNING, INC.|THE CADEZ GROUP, LTD.|17294 FARMINGTON RD.||LIVONIA MI 48152|USA|||  ||DANIEL CADEZ|734-524-9408|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/10/2007|0|4|0|0|0|0
Chicago Regional Office| 116900|801-60702|PENSIONTREND INVESTMENT ADVISERS, LLC|PENSIONTREND INVESTMENT ADVISERS, LLC|2149 JOLLY RD SUITE 200||OKEMOS MI 48864|USA|||  ||LEE M. KLIEBERT|517-249-2149 X218|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|11/13/2001|0|0|0|0|0|0
Chicago Regional Office| 116909|801-62021|RUBINBROWN ADVISORS|RUBINBROWN BENEFITS GROUP LLC|ONE NORTH BRENTWOOD||ST. LOUIS MO 63105|USA|||  ||DONALD L. ESSTMAN|314-290-3322|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|05/02/2003|0|0|0|0|0|0
Chicago Regional Office| 116986|801-61400|INVESTAMERICA N.D. MANAGEMENT, INC.|INVESTAMERICA N.D. MANAGEMENT, INC.|101 2ND STREET SE|SUITE 800|CEDAR RAPIDS IA 52401|USA|||  ||ROBERT A COMEY|319-363-8249|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/23/2002|0|0|0|0|0|0
Chicago Regional Office| 117048|801-60689|SENA WELLER ROHS WILLIAMS LLC|SENA WELLER ROHS WILLIAMS LLC|300 MAIN STREET||CINCINNATI OH 45202|USA|||  ||LOUIS B. DETEMPLE|513-621-2875|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/09/2001|0|0|0|0|0|0
Chicago Regional Office| 117054|801-60676|JOHNSON INVESTMENT COUNSEL, INC.|JOHNSON INVESTMENT COUNSEL, INC.|3777 WEST FORK ROAD||CINCINNATI OH 45247|USA|||  ||BISCHOFF, SCOTT J.|513-661-3100|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|11/20/2001|0|0|0|0|0|0
Chicago Regional Office| 117129|801-60956|COMPASS WEALTH ADVISORS, LLC|COMPASS WEALTH ADVISORS, LLC|100 S. MAIN ST.||ELKHART IN 46516-3122|USA|||  ||LINDA BOSS|(574)522-3738|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/25/2002|0|0|0|0|0|0
Chicago Regional Office| 117287|801-63925|STERLING INVESTMENT ADVISORS,LLC|STERLING INVESTMENT ADVISORS,LLC|2095 S. BOSTON PLACE||BOLIVAR MO 65613|USA|||  ||JAMES G. JONES|417-777-7677|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/10/2005|0|0|0|0|0|0
Chicago Regional Office| 117295|801-60709|TILLAR-WENSTRUP ADVISORS, LLC|TILLAR-WENSTRUP ADVISORS, LLC|92 E. FRANKLIN STREET||CENTERVILLE OH 45459|USA|||  ||JAMES G. TILLAR, CFA|937-428-9700|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|11/23/2001|0|0|0|0|0|0
Chicago Regional Office| 117388|801-66329|PARADIGM WEALTH ADVISORS, LLC|PARADIGM WEALTH ADVISORS, LLC|12231 MANCHESTER ROAD||DES PERES MO 63131|USA|||  ||STACEY CHEEK|314-966-3400|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/08/2006|0|1|0|0|0|0
Chicago Regional Office| 117436|801-63825|GENEREUX INVESTMENT MANAGEMENT, INC.|GENEREUX INVESTMENT MANAGEMENT, INC.|1221 EAST PIERCE STREET|SUITE 100|COUNCIL BLUFFS IA 51503|USA|||  ||MARK A. GENEREUX|712-256-7500|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Other|APPROVED|01/03/2005|0|0|0|0|0|0
Chicago Regional Office| 117438|801-69050|HOGAN CAPITAL MANAGEMENT, INC.|HOGAN CAPITAL MANAGEMENT, INC.|3128 BROCKWAY ROAD||WATERL00 IA 50701|USA|P.O. BOX 756||WATERLOO IA 50704-0756|USA|KARLA R. HOPPES|319-233-2683|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|04/21/2008|0|0|0|0|0|0
Chicago Regional Office| 117491|801-60922|KCPAG FINANCIAL ADVISORS LLC|KCPAG FINANCIAL ADVISORS LLC|302 E. WALNUT STREET|P. O. BOX 529|ROBINSON IL 62454|USA|||  ||THOMAS A. MOORE|(618) 544-4993|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|02/11/2002|0|0|0|0|0|0
Chicago Regional Office| 117527|801-62920|SHANKERVALLEAU INVESTMENT ADVISORS, INC.|SHANKERVALLEAU INVESTMENT ADVISORS, INC.|1421 SHERMAN AVENUE|SUITE 101|EVANSTON IL 60201|USA|||  ||JOHN D. VALLEAU, JR.|847-475-2900|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/26/2004|0|0|0|0|0|0
Chicago Regional Office| 117566|801-68587|HORIZON CONSULTING & INVESTMENT SERVICES, INC.|HORIZION CONSULTING AND INVESTMENT SERVICES INC.|2400-86TH STREET|SUITE 19|DES MOINES IA 50322-4306|USA|||  ||WAYNE|515-252-0796|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/07/2008|0|0|0|0|0|0
Chicago Regional Office| 117599|801-64109|HOPKINS FINANCIAL ADVISORS, LLC|HOPKINS FINANCIAL ADVISORS, LLC|33 TENTH AVENUE SOUTH|SUITE 200|HOPKINS MN 55343-0507|USA|||  ||JOHN G. JELINEK|952-253-1099|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/25/2005|0|0|0|0|0|0
Chicago Regional Office| 117611|801-67590|LOCKE FINANCIAL SERVICES, INC.|LOCKE FINANCIAL SERVICES, INC.|662 N. FIRST BANK DRIVE||PALATINE IL 60067|USA|||  ||ALAN LOCKE|847-991-2705|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/20/2007|0|0|0|0|0|0
Chicago Regional Office| 117631|801-62495|KB INVESTMENT ADVISORS, LLC|KB INVESTMENT ADVISORS, LLC|701 EMERSON|SUITE 201|ST. LOUIS MO 63141|USA|||  ||NATHAN J. RAGES|(314) 432-6704|Limited Liability Company|Portfolio management for individuals and/or small businesses, Pension consulting services, Publication of periodicals or newsletters|APPROVED|11/07/2003|0|0|0|0|0|0
Chicago Regional Office| 117665|801-64082|LIVELSBERGER FINANCIAL ADVISORY|LIVELSBERGER, LYNN LOUIS|122 W. WASHINGTON ST|STE D|ASHLAND OH 44805|USA|||  ||CATHY L. KANZIG|419/289-7165|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|08/03/2005|0|0|0|0|0|0
Chicago Regional Office| 117678|801-61112|ALLIANCE BENEFIT GROUP|ALLIANCE BENEFIT GROUP OF ILLINOIS, INC.|456 FULTON AVENUE|SUITE 345|PEORIA IL 61602-1202|USA|||  ||LINDA BLOSSOM|309-671-4200|Corporation|Pension consulting services, Selection of other advisers, Other|APPROVED|04/29/2002|0|0|0|0|0|0
Chicago Regional Office| 117681|801-62013|NORTH STAR INVESTMENT MANAGEMENT CORPORATION|NORTH STAR INVESTMENT MANAGEMENT CORPORATION|20 N. WACKER DRIVE|SUITE 1416|CHICAGO IL 60606-2902|USA|||  ||PETER GOTTLIEB|312-580-0900|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|04/28/2003|0|0|0|0|0|0
Chicago Regional Office| 117734|801-66993|AMD FINANCIAL SERVICES LLC|AMD FINANCIAL SERVICES LLC|705 OLIVE STREET|SUITE 900|ST. LOUIS MO 63101|USA|||  ||STANLEY D. ROYER|314-655-5504|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|07/07/2006|0|0|0|0|0|0
Chicago Regional Office| 117743|801-61446|HIGH POINTE CAPITAL MANAGEMENT, LLC|HIGH POINTE CAPITAL MANAGEMENT, LLC|ONE NORTH LASALLE STREET|SUITE 2001|CHICAGO IL 60602|USA|||  ||GAUTAM DHINGRA|312-726-2500 (X-101)|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/13/2002|0|0|0|0|0|0
Chicago Regional Office| 117751|801-61000|DAVIS-ROSS INVESTMENT ADVISERS, LLC|DAVIS-ROSS INVESTMENT ADVISERS, LLC|330 W. SPRING STREET, SUITE 210||COLUMBUS OH 43215|USA|||  ||MARK ALLEN DAVIS|614-224-1629 EXT 100|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/22/2002|0|0|0|0|0|0
Chicago Regional Office| 117756|801-61089|SEQUOIA FINANCIAL ADVISORS, L.L.C.|SEQUOIA FINANCIAL ADVISORS, L.L.C.|121 SOUTH MAIN STREET|SUITE 300|AKRON OH 44308|USA|||  ||MELANIE M SCHVARTZ|330-375-9480|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|04/19/2002|0|1|0|0|0|0
Chicago Regional Office| 117766|801-66382|FQ ADVISORS, LLC|FQ ADVISORS, LLC|8770 WEST BRYN MAWR AVE|SUITE 1300|CHICAGO IL 60631|USA|||  ||LAJAUNE FRENCH|301-775-0925|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/31/2006|0|0|0|0|0|0
Chicago Regional Office| 117824|801-62416|JRA FINANCIAL ADVISORS, INC.|JRA FINANCIAL ADVISORS, INC.|7373 KIRKWOOD COURT|SUITE 300|MAPLE GROVE MN 55369|USA|||  ||COLETTE STOTTS|763-315-8000|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|11/10/2003|0|1|0|0|0|0
Chicago Regional Office| 117893|801-61209|L.A. BURTON & ASSOCIATES, INC.|L.A. BURTON & ASSOCIATES, INC.|1224 CENTRE WEST DRIVE|SUITE 200D|SPRINGFIELD IL 62704|USA|||  ||ANN BURTON|217-726-8100|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|06/06/2002|0|0|0|0|0|0
Chicago Regional Office| 117909|801-63013|STEVE ROBBINS, INC.|STEVE ROBBINS, INC.|325 RUE SAINT FRANCOIS||FLORISSANT MO 63031|USA|||  ||LISA M. AVENEVOLI|314-839-4600|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|04/15/2004|0|0|0|0|0|0
Chicago Regional Office| 117935|801-62965|KEB ASSET MANAGEMENT, LLC|KEB ASSET MANAGEMENT, LLC|1000 MYERS BUILDING||SPRINGFIELD IL 62701|USA|||  ||J. MARC CARTER|217-789-0960|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|04/07/2004|0|0|0|0|0|0
Chicago Regional Office| 117958|801-61481|HANCOCK INVESTMENT ADVISORS, LLC|HANCOCK INVESTMENT ADVISORS, LLC|383 MARSHALL AVENUE||ST. LOUIS MO 63119|USA|||  ||CLINT J LEWIS|314-997-3191|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/24/2002|0|2|0|0|0|0
Chicago Regional Office| 117962|801-61205|PUNCH & ASSOCIATES INVESTMENT MANAGEMENT, INC.|PUNCH & ASSOCIATES INVESTMENT MANAGEMENT, INC.|3601 W. 76TH STREET|#225|EDINA MN 55435|USA|||  ||NANCY BOHLMAN|952-224-4350|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/31/2002|0|0|0|0|0|0
Chicago Regional Office| 117982|801-61297|BUCKINGHAM FINANCIAL GROUP, INC.|BUCKINGHAM FINANCIAL GROUP, INC.|6856 LOOP RD.||DAYTON OH 45459|USA|||  ||JAY A. BUCKINGHAM|937-435-2742|Corporation|Financial planning services, Publication of periodicals or newsletters, Other|APPROVED|07/18/2002|0|0|0|0|0|0
Chicago Regional Office| 117984|801-61296|BUCKINGHAM CAPITAL MANAGEMENT, INC.|BUCKINGHAM CAPITAL MANAGEMENT, INC.|6856 LOOP ROAD||DAYTON OH 45459|USA|||  ||JAY A. BUCKINGHAM|937-435-2742|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters, Other|APPROVED|07/18/2002|0|0|0|0|0|0
Chicago Regional Office| 118048|801-62198|VOISARD ASSET MANAGEMENT GROUP|VAM GROUP, INC.|146 MONROE CENTER NW|SUITE 820|GRAND RAPIDS MI 49503|USA|P.O. BOX 205||OTSEGO MI 49078|USA|DOUGLAS E. VOISARD|616-988-5778|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Publication of periodicals or newsletters, Other|APPROVED|07/03/2003|0|0|0|0|0|0
Chicago Regional Office| 118108|801-61188|ASSET ADVISORS, LLC|ASSET ADVISORS, LLC|3310 W. BIG BEAVER|SUITE 127|TROY MI 48084|USA|||  ||CARL D. GILL|248-649-4759|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters, Market timing services, Other|APPROVED|05/31/2002|0|2|0|0|0|0
Chicago Regional Office| 118419|801-67262|THE NESTEGG GROUP, INC.|THE NESTEGG GROUP, INC.|6676 N. LINCOLN AVE.|2ND FLOOR|LINCOLNWOOD IL 60712|USA|||  ||STEVEN C. GOODMAN|847-677-6378|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/16/2006|0|0|0|0|0|0
Chicago Regional Office| 118573|801-60859|KYLE FINANCIAL SERVICES|KYLE COMPANY|10850 WEST PARK PLACE, SUITE 500||MILWAUKEE WI 53224|USA|||  ||KEVIN P. ELLIS|414-359-2020|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|01/22/2002|0|0|0|0|0|0
Chicago Regional Office| 118616|801-61001|ADVOCATE ASSET MANAGEMENT, LLC|ADVOCATE INVESTMENT ADVISORS, L.L.C.|55 W. MONROE|SUITE 910|CHICAGO IL 60603|USA|||  ||MIKE KIMBAROVSKY|312-578-8300|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/14/2002|0|0|0|0|0|0
Chicago Regional Office| 118737|801-66325|DOUGLAS PLATT INVESTMENT COUNSEL, LLC.|DOUGLAS PLATT INVESTMENT COUNSEL, LLC.|5917 DEWEY HILL ROAD||EDINA MN 55439|USA|||  ||DOUGLAS PLATT|952.942.5602|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/08/2006|0|0|0|0|0|0
Chicago Regional Office| 118739|801-60978|SHEAFF BROCK INVESTMENT ADVISORS, LLC|SHEAFF BROCK INVESTMENT ADVISORS, LLC|10401 N. MERIDIAN STREET|SUITE 100|INDIANAPOLIS IN 46290|USA|||  ||DAVID S. GILREATH|317-705-5700|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|03/19/2002|0|0|0|0|0|0
Chicago Regional Office| 118891|801-60958|ATTUCKS ASSET MANAGEMENT, LLC|ATTUCKS ASSET MANAGEMENT, LLC|200 WEST MADISON|SUITE 2260|CHICAGO IL 60606|USA|||  ||KEVIN B. WICKLIFFE|913-312-8081|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|02/25/2002|0|0|0|0|0|0
Chicago Regional Office| 118971|801-60923|MERIDIAN ADVISORY SERVICES|MERIDIAN ADVISORY SERVICES LLC|04755 LAKESHORE DR.||CHARLEVOIX MI 49720|USA|PO BOX 227||CHARLEVOIX MI 49720||JAMES CARANO|231-237-9715|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|02/14/2002|0|0|0|0|0|0
Chicago Regional Office| 118994|801-61051|THE PLANNING CENTER, INC.|THE PLANNING CENTER ADVISORS, INC.|1701 RIVER DRIVE|SUITE 300|MOLINE IL 61265|USA|||  ||SUSAN SERRE|309-797-4030|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|04/12/2002|0|0|0|0|0|0
Chicago Regional Office| 118996|801-69078|DEW WEALTH STRATEGIES, LLC|DEW WEALTH STRATEGIES, LLC|101 SOUTH HANLEY RD., SUITE 240||CLAYTON MO 63105|USA|||  ||JASON WOODS|314-862-1500|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/10/2008|0|0|0|0|0|0
Chicago Regional Office| 119106|801-62835|THE MUTUAL FUND STORE- SPRINGFIELD|TMFS - SPRINGFIELD, LLC|1835 E. REPUBLIC ROAD, STE. 104||SPRINGFIELD MO 65804|USA|||  ||TERRY A. CONNER|417-889-9997|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/27/2004|0|1|0|0|0|0
Chicago Regional Office| 119113|801-62861|LOGIX INVESTMENT MANAGEMENT|THE LOGIX GROUP, LLC|2 BRATENAHL PLACE|9AC|CLEVELAND OH 44108|USA|||  ||JEFFREY LUNGER|216-249-4119|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/27/2004|0|1|0|0|0|0
Chicago Regional Office| 119135|801-60907|SHAKER INVESTMENTS|SHAKER INVESTMENTS, L.L.C.|3690 ORANGE PLACE|SUITE 400|CLEVELAND OH 44122|USA|||  ||RAYMOND J. RUND|216-292-2950|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/01/2002|0|0|0|0|0|0
Chicago Regional Office| 119142|801-61976|DANIEL G PAPPANO|DANIEL G PAPPANO|1003 MICHIGAN AVE||WILMETTE IL 60091|USA|P. O. BOX 248||WILMETTE IL 60091|U.S.A.|DANIEL G. PAPPANO|312-343-8237|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/17/2003|0|0|0|0|0|0
Chicago Regional Office| 119209|801-62598|APPLETON GROUP WEALTH MANAGEMENT LLC|APPLETON GROUP WEALTH MANAGEMENT LLC|100 W. LAWRENCE ST|THIRD FLOOR|APPLETON WI 54911|USA|||  ||MARK SCHEFFLER|920/993-7727|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|12/04/2003|0|0|0|0|0|0
Chicago Regional Office| 119239|801-69058|VERMILLION FINANCIAL ADVISORS, INC.|VERMILLION FINANCIAL ADVISORS, INC.|16 EXECUTIVE COURT|SUITE 3|SOUTH BARRINGTON IL 60010|USA|||  ||MARK LASPISA|847-382-9999|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|05/12/2008|0|0|0|0|0|0
Chicago Regional Office| 119300|801-60952|TAYLOR ADVISORS, INC.|TAYLOR ADVISORS, INC.|806 STONE CREEK PARKWAY|SUITE 11|LOUISVILLE KY 40223|USA|||  ||JAMES "TODD" TAYLOR|502-425-0250|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/22/2002|0|0|0|0|0|0
Chicago Regional Office| 119326|801-60957|HOLT & SHAPARD CAPITAL MANAGEMENT, L.L.C.|HOLT & SHAPARD CAPITAL MANAGEMENT, L.L.C.|212 N. KINGSHIGHWAY BLVD. 1027||ST. LOUIS MO 63108|USA|||  ||CHARLES B. SHAPARD|314/367-6300|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|02/26/2002|0|0|0|0|0|0
Chicago Regional Office| 119347|801-60928|FIRST FINANCIAL CAPITAL ADVISORS LLC|FIRST FINANCIAL CAPITAL ADVISORS LLC|9120 UNION CENTRE BLVD|SUITE 300|WEST CHESTER OH 45069|USA|||  ||KEVIN WOODARD|513-603-3486|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/15/2002|0|0|0|0|0|0
Chicago Regional Office| 119403|801-61460|LIFESTAGE WEALTH MANAGEMENT GROUP LLC|LIFESTAGE WEALTH MANAGEMENT GROUP LLC|33 1ST STREET N.|SUITE 1|LONG PRAIRIE MN 56347|USA|||  ||LOREN E. LIESEMEYER|320-732-3575|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/27/2002|0|0|0|0|0|0
Chicago Regional Office| 119451|801-63897|THE ALPINE FINANCIAL GROUP|THE CARROLL FINANCIAL GROUP|2142 ALPINE PLACE||CINCINNATI OH 45206|USA|||  ||ROBERT P. CARROLL|513-861-1889|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/28/2005|0|0|0|0|0|0
Chicago Regional Office| 119467|801-62376|CLANCO MANAGEMENT CORP.|CLANCO MANAGEMENT CORP.|30195 CHAGRIN BLVD., SUITE 250||CLEVELAND OH 44124|USA|||  ||JOHN PAUL BATT|216-831-9667|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|10/15/2003|0|0|0|0|0|0
Chicago Regional Office| 119480|801-67430|PENSION BUILDERS & CONSULTANTS|DARRIN FARROW & ASSOCIATES, INC.|29065 CLEMENS ROAD|BUILDING B|WESTLAKE OH 44145|USA|||  ||DARRIN B. FARROW|(440) 871-4015|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/03/2007|0|0|0|0|0|0
Chicago Regional Office| 119485|801-61152|EXECUTIVE ASSET MANAGEMENT, INC.|EXECUTIVE ASSET MANAGEMENT, INC.|110 TREALOUT DR|SUITE 101|FENTON MI 48430|USA|||  ||STEVEN MUNTIN|810-750-1744|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers, Other|APPROVED|05/10/2002|0|0|0|0|0|0
Chicago Regional Office| 119501|801-68948|CHRIS MILLER CONSULTING, LLC|CHRIS MILLER CONSULTING, LLC|3889 NORTH WHEELING AVENUE||MUNCIE IN 47304|USA|PO BOX 1702||MUNCIE IN 47308-1702|USA|CHRIS ALAN MILLER|765-289-9050|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|03/11/2008|0|0|0|0|0|0
Chicago Regional Office| 119569|801-68411|AMDG FINANCIAL|AMDG FINANCIAL ADVISORY SERVICES, LLC|684 DEER STREET||PLYMOUTH MI 48170|USA|||  ||WAYNE BROWN TITUS III|734-737-0866|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters, Other|APPROVED|10/01/2007|0|0|0|0|0|0
Chicago Regional Office| 119656|801-61048|CENTER POINT CONSULTING, LLC|CENTER POINT CONSULTING, LLC|56 N. MAIN STREET||ZIONSVILLE IN 46077|USA|||  ||BRIAN J. BRUNNER|(317) 733-3444|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|04/08/2002|0|0|0|0|0|0
Chicago Regional Office| 119682|801-67427|BERTHEL FISHER & COMPANY PLANNING, INC.|BERTHEL FISHER & COMPANY PLANNING, INC.|701 TAMA STREET||MARION IA 52302|USA|||  ||LESLIE SMITH|319-447-5700|Corporation|Portfolio management for investment companies|APPROVED|01/03/2007|0|2|7|0|0|0
Chicago Regional Office| 119695|801-64485|CONSOLIDATED FINANCIAL|CONSOLIDATED FINANCIAL MANAGEMENT GROUP, LLC|5850 VENTURE DR.|SUITE A|DUBLIN OH 43017|USA|||  ||ANDREW ROSEBERRY|614-932-0000|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|07/15/2005|0|0|0|0|0|0
Chicago Regional Office| 119708|801-66444|CAPITAL PORTFOLIO ADVISORS, INC.|CAPITAL PORTFOLIO ADVISORS, INC.|3131 S. DIXIE DRIVE|SUITE 105|DAYTON OH 45439|USA|||  ||DENNIS DELPHENICH|937-299-9111|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|03/27/2006|0|0|0|0|0|0
Chicago Regional Office| 119762|801-64142|PETER DAG & ASSOCIATES, INC.|PETER DAG & ASSOCIATES, INC.|65 LAKEFRONT DRIVE||AKRON OH 44319|USA|||  ||GEORGE DAGNINO|330-644-2782|Corporation|Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|04/08/2005|0|0|0|0|0|0
Chicago Regional Office| 119812|801-63582|BUCKEYE ADVISORS, LLC.|BUCKEYE ADVISORS,LLC|105 SHEFFIELD CENTER|SUITE 201|LORAIN OH 44055|USA|||  ||EDWARD J. BAKER|(440) 233-7007|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Other|APPROVED|10/18/2004|0|0|0|0|0|0
Chicago Regional Office| 119813|801-64815|RCP ADVISORS, LLC|RCP ADVISORS, LLC|100 NORTH RIVERSIDE PLAZA|SUITE 2400|CHICAGO IL 60606|USA|||  ||NELL BLATHERWICK|312-266-7300|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/04/2005|0|0|0|0|0|0
Chicago Regional Office| 119818|801-67328|IRONGATE INTERNATIONAL LLC|IRONGATE INTERNATIONAL LLC|3422 RIVER DRIVE||MOLINE IL 61265-1747|USA|||  ||PATRICK E. TRIMBLE|309-762-0111|Limited Liability Company|Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers, Other|APPROVED|01/03/2007|0|0|0|0|0|0
Chicago Regional Office| 119833|801-66619|RESOURCE FINANCIAL GROUP, LTD.|RESOURCE FINANCIAL GROUP, LTD.|1000 SKOKIE BLVD.|SUITE 450|WILMETTE IL 60091|USA|||  ||PETER MARIS|847-256-7495|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/09/2006|0|0|0|0|0|0
Chicago Regional Office| 119850|801-68466|OJM GROUP|THE O'DELL GROUP, LLC|8041 HOSBROOK ROAD|SUITE 208|CINCINNATI OH 45236|USA|||  ||JASON O'DELL|513-791-7525|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters, Other|APPROVED|10/24/2007|0|0|0|0|0|0
Chicago Regional Office| 119859|801-61760|ADVANCED ASSET MANAGEMENT ADVISORS, INC.|ADVANCED ASSET MANAGEMENT ADVISORS, INC.|255 BRADENTON AVE., SUITE 200||DUBLIN OH 43017|USA|||  ||ROBERT BAKER|614-717-4451|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|01/24/2003|0|0|0|0|0|0
Chicago Regional Office| 119880|801-67471|HORTER INVESTMENT MANAGEMENT, LLC|HORTER INVESTMENT MANAGEMENT, LLC|8316 CORNELL ROAD||CINCINNATI OH 45249|USA|||  ||KIRK HORTER|513-984-9933|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|01/12/2007|0|2|0|0|0|0
Chicago Regional Office| 119900|801-66587|THE FINANCIAL STRATEGIES GROUP, INC|THE FINANCIAL STRATEGIES GROUP, INC|US BANK CENTRE ON PLAYHOUSE SQUARE|1350 EUCLID AVENUE, SUITE 220|CLEVELAND OH 44115-1815|USA|||  ||PAMELA SANDY, CFP|216-436-6000|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/03/2006|0|0|0|0|0|0
Chicago Regional Office| 119901|801-61633|RITTER DANIHER FINANCIAL ADVISORY, LLC|RITTER DANIHER FINANCIAL ADVISORY, LLC|7529-A STATE ROAD||CINCINNATI OH 45255|USA|||  ||JOHN K. RITTER|513.233.0715|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|11/27/2002|0|0|0|0|0|0
Chicago Regional Office| 119902|801-67163|SPRENG & PIGMAN FINANCIAL|SPRENG & PIGMAN FINANCIAL ADVISORY GROUP, INC.|201 WEST CHARLES STREET||BUCYRUS OH 44820|USA|BOX 47||BUCYRUS OH 44820-0047|UNITED STATES|JAMES A. SPRENG|419-563-0084|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Financial planning services|APPROVED|09/20/2006|0|0|0|0|0|0
Chicago Regional Office| 119903|801-64202|MAINSTREET FINANCIAL ADVISORS, LLC|MAINSTREET FINANCIAL ADVISORS, LLC|2632 S. 11TH STREET||KALAMAZOO MI 49009|USA|||  ||JOHN S. RUZZA|269-492-9701|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|04/28/2005|0|0|0|0|0|0
Chicago Regional Office| 119939|801-68404|FOSSETT HUGHES AND JABIN INVESTMENT ADVISORS|ANDERSON HILLS INVESTMENT ADVISORS, INC.|1095 NIMITZVIEW DRIVE, SUITE 302||CINCINNATI OH 45230|USA|P.O. BOX 30099||CINCINNATI OH 45230|USA|TIMOTHY P. JABIN|513.624.9300|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|09/28/2007|0|0|0|0|0|0
Chicago Regional Office| 119969|801-63876|FINANCIAL COUNSELING, INC.|FINANCIAL COUNSELING, INC.|582 N. MAIN ST.||SPRINGBORO OH 45066|USA|||  ||STEVAN M. VAUGHAN|(937) 748-8710|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|04/05/2005|0|0|0|0|0|0
Chicago Regional Office| 119973|801-69122|PIERCE FINANCIAL PLANNING, INC.|PIERCE FINANCIAL PLANNING, INC.|33 PARK AVENUE, WEST||MANSFIELD OH 44902|USA|||  ||MICHAEL G. SPARKS|419-525-2525|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|05/08/2008|0|0|0|0|0|0
Chicago Regional Office| 120006|801-61019|BPS CAPITAL MANAGEMENT, INC.|BPS CAPITAL MANAGEMENT, INC.|7900 INTERNATIONAL DRIVE|SUITE 1050|BLOOMINGTON MN 55425|USA|||  ||GARY R. WALEN|952-893-0177|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/01/2002|0|0|0|0|0|0
Chicago Regional Office| 120035|801-62387|RUBY CORPORATION|RUBY CORPORATION|23775 COMMERCE PARK ROAD||BEACHWOOD OH 44122|USA|||  ||GEORGE B. FRANZ, III|216-595-8282|Corporation|Portfolio management for individuals and/or small businesses, Market timing services|APPROVED|10/06/2003|0|0|0|0|0|0
Chicago Regional Office| 120038|801-68697|APPALACHIAN CAPITAL MANAGEMENT LTD.|APPALACHIAN CAPITAL MANAGEMENT LTD|51461 JENNIFER LANE|SUITE 215|ST. CLAIRSVILLE OH 43950|USA|||  ||JOHN W. PARKINSON|740-695-3434|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|01/03/2008|0|0|0|0|0|0
Chicago Regional Office| 120039|801-68731|GERBER FINANCIAL ADVISORS, LLC|GERBER FINANCIAL ADVISORS, LLC|450 WEST WILSON BRIDGE RD|SUITE 100|WORTHINGTON OH 43085|USA|||  ||TAMMI A BERES|614-431-4343|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|01/25/2008|0|0|0|0|0|0
Chicago Regional Office| 120086|801-67059|NCA FINANCIAL PLANNERS|FINANCIAL PLANNERS OF CLEVELAND, INC.|6095 PARKLAND BLVD., SUITE 210||MAYFIELD HEIGHTS OH 44124|USA|||  ||KELLY RUSSELL|440-473-1115|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|08/10/2006|0|0|1|0|0|0
Chicago Regional Office| 120106|801-69410|DEMMING FINANCIAL SERVICES CORP.|DEMMING FINANCIAL SERVICES CORP.|13 NEW HUDSON RD.||AURORA OH 44202|USA|||  ||DAVID W. DEMMING|(330) 562-2122|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED-120|07/23/2008|0|0|1|0|0|0
Chicago Regional Office| 120110|801-68608|BERNARDI ASSET MANAGEMENT, LLC|BERNARDI ASSET MANAGEMENT, LLC|105 W. ADAMS ST. SUITE 1900||CHICAGO IL 60603|USA|||  ||ERIC BEDERMAN|312-281-2010|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/02/2008|0|1|0|0|0|0
Chicago Regional Office| 120296|801-61106|FAIRWAY WEALTH MANAGEMENT LLC|FAIRWAY WEALTH MANAGEMENT LLC|6393 OAK TREE BLVD.|SUITE 108|CLEVELAND OH 44131|USA|||  ||MARK WEISKIND|(216)573-7200|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|05/07/2002|0|0|0|0|0|0
Chicago Regional Office| 120338|801-61115|EVANSTON CAPITAL MANAGEMENT, LLC|EVANSTON CAPITAL MANAGEMENT, LLC|1560 SHERMAN AVENUE, SUITE 960||EVANSTON IL 60201-4811|USA|||  ||KENNETH A. MEISTER|847-328-4961|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/02/2002|0|0|0|0|0|0
Chicago Regional Office| 120458|801-62184|JOHN D. DOVICH & ASSOCIATES, LLC|JOHN D. DOVICH & ASSOCIATES, LLC|625 EDEN PARK DRIVE|SUITE  310|CINCINNATI OH 45202|USA|||  ||JOHN D. DOVICH|513-579-9400|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/01/2003|0|0|0|0|0|0
Chicago Regional Office| 120529|801-63107|MARC J. LANE INVESTMENT MANAGEMENT,INC.|MARC J. LANE INVESTMENT MANAGEMENT,INC.|180 NORTH LASALLE STREET|SUITE 2100|CHICAGO IL 60601-2701|USA|||  ||MARC J. LANE|312-372-1040|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/29/2004|0|0|1|0|0|0
Chicago Regional Office| 120533|801-61183|PATTON FUND MANAGEMENT, INC.|PATTON FUND MANAGEMENT, INC.|6510 TELECOM DRIVE|SUITE 195|INDIANAPOLIS IN 46278|USA|||  ||MICHELE WILSON|(317) 630-0141|Corporation|Portfolio management for individuals and/or small businesses, Other|APPROVED|05/23/2002|0|0|0|0|0|0
Chicago Regional Office| 120597|801-68849|CAPITAL ASSET MANAGEMENT, INC.|CAPITAL ASSET MANAGEMENT, INC.|445 HUTCHINSON AVENUE, SUITE 800||COLUMBUS OH 43235-8615|USA|||  ||CHRISTOPHER T. FRY|614-785-6426|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/12/2008|0|0|0|0|0|0
Chicago Regional Office| 120641|801-61249|BEACON CAPITAL MANAGEMENT, INC.|BEACON CAPITAL MANAGEMENT, INC.|323 REGENCY RIDGE||DAYTON OH 45459|USA|||  ||JAMES CHRISTOPHER COOK|937-439-9093|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|06/13/2002|0|0|0|0|0|0
Chicago Regional Office| 120642|801-61138|ALTAIR ADVISERS, LLC|ALTAIR ADVISERS, LLC|303 W. MADISON ST.|SUITE 600|CHICAGO IL 60606|USA|||  ||RICHARD K. BLACK|312-429-3000|Limited Liability Company|Financial planning services, Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters, Other|APPROVED|05/07/2002|0|0|0|0|0|0
Chicago Regional Office| 120683|801-61195|ANTARES CAPITAL MANAGEMENT|ANTARES CAPITAL MANAGEMENT|3701 N. RAVENSWOOD AVENUE|SUITE 201|CHICAGO IL 60613-3553|USA|||  ||JILL TERMAN POTTER|773-942-5105 EXT. 2|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/23/2002|0|0|0|0|0|0
Chicago Regional Office| 120742|801-61284|BIECHELE ROYCE ADVISORS, INC.|BIECHELE ROYCE ADVISORS, INC.|8784 STATION STREET||FISHERS IN 46038|USA|||  ||CATHY SUTTER|317-913-7000|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/03/2002|0|0|0|0|0|0
Chicago Regional Office| 120818|801-66641|FINANCIAL MANAGEMENT STRATEGIES, INC.|FINANCIAL MANAGEMENT STRATEGIES, INC.|9050 SWEET VALLEY DRIVE||VALLEY VIEW OH 44125-4220|USA|||  ||JEFFREY C. KNOX|216-642-1099|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/17/2006|0|0|0|0|0|0
Chicago Regional Office| 120822|801-63336|ASCEND ADVISORY GROUP|ASCEND ADVISORY GROUP LLC|7600 OLENTANGY RIVER ROAD|SUITE 200|COLUMBUS OH 43235|USA|||  ||MATTHEW E. LEE|614/784-6000|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/14/2004|0|0|0|0|0|0
Chicago Regional Office| 120844|801-64143|CENTRUST WEALTH MANAGEMENT, INC.|CENTRUST WEALTH MANAGEMENT, INC.|3200 W. MARKET STREET|SUITE 105|AKRON OH 44333|USA|||  ||CRAIG D. WIGGINS|(330) 873-1100|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|04/08/2005|0|0|0|0|0|0
Chicago Regional Office| 120851|801-63323|ENTRUST FINANCIAL GROUP|ENTRUST FINANCIAL GROUP, INC.|24400 HIGHPOINT RD||BEACHWOOD OH 44122|USA|||  ||CHARLES J. SCHENKELBERG|216-292-6450|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers, Other|APPROVED|07/16/2004|0|0|0|0|0|0
Chicago Regional Office| 120898|801-63651|CROSSROADS FINANCIAL PLANNING, INC.|CROSSROADS FINANCIAL PLANNING, INC.|5001 HORIZONS DRIVE, SUITE 201||UPPER ARLINGTON OH 43220|USA|||  ||JULIE M. JARVIS|614-459-1145|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/03/2005|0|0|0|0|0|0
Chicago Regional Office| 120909|801-64310|SUSSEX INVESTMENTS, LTD.|SUSSEX INVESTMENTS, LTD.|ONE CHAGRIN HIGHLANDS|2000 AUBURN DRIVE, SUITE 200|BEACHWOOD OH 44122|USA|||  ||THOMAS F. COHEN|216-292-8221|Limited Liability Company|Portfolio management for individuals and/or small businesses, Other|APPROVED|05/19/2005|0|0|0|0|0|0
Chicago Regional Office| 120941|801-68713|RESONATE ADVISORS, INC.|RESONATE ADVISORS, INC.|8837 CHAPELSQUARE DRIVE|SUITE B|CINCINNATI OH 45249|USA|||  ||KATHY M. CULVER|(513) 605-2500|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|01/18/2008|0|0|2|0|0|0
Chicago Regional Office| 121064|801-63725|WHITCOMB & HESS, INC.|WHITCOMB & HESS, INC.|1020 CLEVELAND AVENUE||ASHLAND OH 44805|USA|||  ||TIMOTHY ROWSEY|419-289-7007|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|01/03/2005|0|0|0|0|0|0
Chicago Regional Office| 121065|801-63327|PINNACLE WEALTH MANAGEMENT, INC.|PINNACLE WEALTH MANAGEMENT, INC.|9075 CENTRE POINTE DRIVE|SUITE 180|WEST CHESTER OH 45069|USA|||  ||JEFFREY SCOTT SIMS|(513)874-4440|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|07/09/2004|0|0|0|0|0|0
Chicago Regional Office| 121085|801-61240|AIS PLANNING|ACCREDITED INVESTOR SERVICES, INC.|3701 12TH NORTH STREET, SUITE 103||ST. CLOUD MN 56303|USA|||  ||MICHAEL E. SIPE|320-252-6552|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/06/2002|0|0|0|0|0|0
Chicago Regional Office| 121123|801-68852|H.C.MEYER, INC.|H.C.MEYER, INC.|26250 EUCLID AVENUE #105||EUCLID OH 44132-3602|USA|||  ||HOWARD MEYER|216-261-5222|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|03/10/2008|0|0|3|0|0|0
Chicago Regional Office| 121124|801-61409|PALISADE INVESTMENT ADVISORS, LLC|PALISADE INVESTMENT ADVISORS, LLC|333 SOUTH SEVENTH STREET|SUITE 440|MINNEAPOLIS MN 55402|USA|||  ||PAUL KENWORTHY|612-455-2902|Limited Liability Company|Portfolio management for individuals and/or small businesses, Financial planning services|APPROVED|08/01/2002|0|0|0|0|0|0
Chicago Regional Office| 121173|801-61593|NLP INVESTMENTS, INC.|NLP INVESTMENTS, INC.|TWO CITYPLACE DRIVE, SUITE 200||ST. LOUIS MO 63141|USA|||  ||JOHN NODDINGS|314-812-2650|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|11/08/2002|0|0|0|0|0|0
Chicago Regional Office| 121194|801-67545|YERKES FINANCIAL ADVISORS, INC.|YERKES FINANCIAL ADVISORS, INC.|431 OHIO PIKE NORTH|SUITE 210|CINCINNATI OH 45255|USA|||  ||MATTHEW A. YERKES, CPA|513-528-8270|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|02/09/2007|0|0|0|0|0|0
Chicago Regional Office| 121222|801-64172|SCOTT SNOW (FINANCIAL ADVISORS) LLC|SCOTT SNOW (FINANCIAL ADVISORS) LLC|24601 CENTER RIDGE ROAD, SUITE 175||WESTLAKE OH 44145|USA|||  ||SCOTT SNOW|440-871-7669|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/26/2005|0|0|0|0|0|0
Chicago Regional Office| 121269|801-67388|M.K. BROWN & ASSOCIATES|M.K. BROWN & ASSOCIATES|580 LINCOLN PARK BLVD.|SUITE 333|KETTERING OH 45429|USA|||  ||LISA K. AYERS|(937) 298-8904|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|01/18/2007|0|0|0|0|0|0
Chicago Regional Office| 121279|801-64751|NIES FINANCIAL GROUP INC.|NIES FINANCIAL GROUP INC.|125 TWIN RIVERS COURT|SUITE 205|SARTELL MN 56377|USA|||  ||SHANNON NIES|320-258-3533|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|10/14/2005|0|0|0|0|0|0
Chicago Regional Office| 121307|801-61444|ACROPOLIS INVESTMENT MANAGEMENT, L.L.C.|ACROPOLIS INVESTMENT MANAGEMENT, L.L.C.|14755 NORTH OUTER FORTY ROAD|SUITE 100|ST. LOUIS MO 63017|USA|||  ||DANNELLE D. WARD|(888) 882-0072|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|08/27/2002|0|0|0|0|0|0
Chicago Regional Office| 121376|801-63305|LIFEPLAN FINANCIAL GROUP, INC.|LIFEPLAN FINANCIAL GROUP, INC.|ONE PRESTIGE PLACE|SUITE 750|MIAMISBURG OH 45342|USA|||  ||TYRONE C. PHILLIPPI, CFP, CSA|(937) 438-8000|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Other|APPROVED|07/02/2004|0|0|0|0|0|0
Chicago Regional Office| 121382|801-62990|SHUTTLEWORTH & COMPANY|SHUTTLEWORTH & COMPANY|7263 SAWMILL ROAD|SUITE 100|DUBLIN OH 43016-9000|USA|||  ||DAVID L. SHUTTLEWORTH|614-760-7738|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|04/14/2004|0|0|0|0|0|0
Chicago Regional Office| 121495|801-69236|TUDOR FINANCIAL, INC.|TUDOR FINANCIAL, INC.|8111 TIMBERLODGE TRAIL||DAYTON OH 45458-2103|USA|||  ||GRANT S. DONALDSON|937-439-9292|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Publication of periodicals or newsletters|APPROVED|06/05/2008|0|0|0|0|0|0
Chicago Regional Office| 121522|801-67739|CLARUS FINANCIAL, LLC|CLARUS FINANCIAL, LLC|8150 CORPORATE PARK DRIVE|SUITE 205|CINCINNATI OH 45242|USA|||  ||LORI SMITH|513-469-2050|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/16/2007|0|0|0|0|0|0
Chicago Regional Office| 121560|801-61316|DEROY & DEVEREAUX PRIVATE INVESTMENT COUNSEL, INC.|DEROY & DEVEREAUX PRIVATE INVESTMENT COUNSEL, INC.|26777 CENTRAL PARK BLVD.|STE. 180|SOUTHFIELD MI 48076|USA|||  ||JOAN WATKINS|248/358-3220|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/16/2002|0|0|0|0|0|0
Chicago Regional Office| 121601|801-66990|CAPITAL ASSET MANAGEMENT, LLC|CAPITAL ASSET MANAGEMENT, LLC|702 NORTH SHORE DRIVE|SUITE 500|JEFFERSONVILLE IN 47130|USA|||  ||GREGORY N. ROGERS|812.288.2881|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|07/07/2006|0|0|0|0|0|0
Chicago Regional Office| 121628|801-68759|FREEMAN, WILL & NIEMEIER, INC.|FREEMAN, WILL & NIEMEIER, INC.|1919 WEST FRANKLIN STREET||EVANSVILLE IN 47712|USA|P.O. BOX 6930||EVANSVILLE IN 47719-0107|USA|EVAN FREEMAN|(812) 425-1030|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|01/25/2008|0|0|0|0|0|0
Chicago Regional Office| 121629|801-61890|GENEVA INVESTMENT MANAGEMENT OF CHICAGO, LLC|GENEVA INVESTMENT MANAGEMENT OF CHICAGO, LLC|181 W. MADISON|SUITE 3575|CHICAGO IL 60602-4690|USA|||  ||THOMAS W. ULRICH|312-422-1724|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/17/2003|0|1|0|0|0|0
Chicago Regional Office| 121631|801-67729|QUANTUM FINANCIAL SERVICES INC.|QUANTUM FINANCIAL SERVICES INC.|7400 SHADELAND AVE|SUITE 220|INDIANAPOLIS IN 46250|USA|||  ||JACK T. KOWAL|317-845-1786|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/16/2007|0|0|0|0|0|0
Chicago Regional Office| 121658|801-61324|FUND EVALUATION GROUP, LLC|FUND EVALUATION GROUP, LLC|201 EAST FIFTH STREET|SUITE 1600|CINCINNATI OH 45202|USA|||  ||KENTON PETTIT|513-977-4400|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|06/30/2002|0|0|0|0|0|0
Chicago Regional Office| 121666|801-68023|S.C. THOMAS & ASSOCIATES, CPA|THOMAS, SANDRA CATHERINE|801 E. WASHINGTON STREET|STE #210|MEDINA OH 44256|USA|||  ||SANDRA C. THOMAS|330-725-3162|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/26/2007|0|0|0|0|0|0
Chicago Regional Office| 121696|801-62072|MCDONALD PRESLEY CAPITAL MANAGEMENT, INC.|MCDONALD PRESLEY CAPITAL MANAGEMENT, INC.|6319-D MUTUAL DRIVE||FORT WAYNE IN 46825|USA|||  ||KEITH A. MCDONALD|260-969-6767|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/03/2003|0|0|0|0|0|0
Chicago Regional Office| 121712|801-61335|LOWERY ASSET CONSULTING, LLC|LOWERY ASSET CONSULTING, LLC|20 NORTH WACKER DRIVE|SUITE 1475|CHICAGO IL 60606|USA|||  ||WILLIAM G. LOWERY|(312) 759-2314|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|08/06/2002|0|0|0|0|0|0
Chicago Regional Office| 121764|801-66989|SHORELINE ASSET MANAGEMENT, LLC|SHORELINE ASSET MANAGEMENT, LLC|412 SOUTH MAIN STREET||NEW CASTLE IN 47362-3311|USA|||  ||MARION E. SHORE|765-593-2485|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|07/20/2006|0|0|0|0|0|0
Chicago Regional Office| 121794|801-67400|SAVANT INVESTMENT ADVISERS, INC.|SAVANT INVESTMENT ADVISERS, INC.|1135 W. 175TH STREET||HOMEWOOD IL 60430|USA|||  ||ELIZABETH A. SAVANT|708 799-7477|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/03/2007|0|0|0|0|0|0
Chicago Regional Office| 121841|801-63581|DESERANNO WEALTH MANAGEMENT|DESERANNO CORPORATION|18720 MACK AVENUE|SUITE 100|GROSSE POINTE FARMS MI 48236|USA|||  ||DON JOSEPH DESERANNO|(313)300-1037|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/29/2004|1|0|0|0|0|0
Chicago Regional Office| 121859|801-62241|FORTRESS PARTNERS CAPITAL MANAGEMENT, LTD.|FORTRESS PARTNERS CAPITAL MANAGEMENT, LTD.|700 WALNUT RIDGE DRIVE|SUITE 200|HARTLAND WI 53029|USA|||  ||JON C. BRUSS|262-369-5369|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/30/2003|0|0|0|0|0|0
Chicago Regional Office| 121880|801-63627|PILLAR FINANCIAL ADVISORS, LLC|PILLAR FINANCIAL ADVISORS, LLC|4500 BOWLING BLVD.|SUITE 100|LOUISVILLE KY 40207|USA|||  ||GREGORY M. CURRY|502-894-6035|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|10/29/2004|0|0|0|0|0|0
Chicago Regional Office| 121897|801-66728|ALTRUIST FINANCIAL ADVISORS LLC|ALTRUIST FINANCIAL ADVISORS LLC|3754 65TH ST||HOLLAND MI 49423-9739|USA|||  ||ERIC E. HAAS|269-857-2743|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/10/2006|0|0|0|0|0|0
Chicago Regional Office| 121974|801-61414|AMERICAN CENTURY ADVISORY SERVICES, INC.|AMERICAN CENTURY ADVISORY SERVICES, INC.|4500 MAIN STREET||KANSAS CITY MO 64141-0141|USA|||  ||OTIS H. COWAN|816-340-3335|Corporation|Financial planning services|APPROVED|09/04/2002|0|3|0|0|0|0
Chicago Regional Office| 121975|801-61352|ROBERT LESHNER AND ASSOCIATES, INC.|ROBERT LESHNER AND ASSOCIATES, INC.|10101 ALLIANCE RD., SUITE 222||CINCINNATI OH 45242|USA|||  ||MARYELLEN PERETZKY|(513) 792-7681|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/31/2002|0|0|0|0|0|0
Chicago Regional Office| 121993|801-62418|SCHULTZ INVESTMENT ADVISORS, INC.|SCHULTZ INVESTMENT ADVISORS, INC.|160 E. GRAND RIVER|SUITE B|WILLIAMSTON MI 48895|USA|||  ||SCOTT T. SCHULTZ|517-347-2700|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|10/15/2003|0|1|0|0|0|0
Chicago Regional Office| 121995|801-65882|WHITEBOX ADVISORS LLC|WHITEBOX ADVISORS LLC|3033 EXCELSIOR BOULEVARD|SUITE 300|MINNEAPOLIS MN 55416|USA|||  ||JULIE VON ARX|612-253-6012|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/31/2006|0|0|0|0|0|0
Chicago Regional Office| 122020|801-61533|RIVERNORTH CAPITAL MANAGEMENT, INC.|RIVERNORTH CAPITAL MANAGEMENT, INC.|325 N LASALLE|SUITE 645|CHICAGO IL 61610|USA|||  ||RICHARD FRANCISCO|312-832-1440|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|10/15/2002|0|0|0|0|0|0
Chicago Regional Office| 122064|801-61387|INVESTMENT CONSULTING SERVICES, LLC|INVESTMENT CONSULTING SERVICES, LLC|2215 YORK ROAD|SUITE 501|OAK BROOK IL 60523|USA|||  ||SANDRA J. WENDLING|(630) 928-1052|Limited Liability Company|Pension consulting services|APPROVED|08/29/2002|0|0|0|0|0|0
Chicago Regional Office| 122082|801-61898|USA WEALTH MANAGEMENT LLC|USA WEALTH MANAGEMENT LLC|50 LOUIS STREET NW|SUITE 400|GRAND RAPIDS MI 49503-2642|USA|||  ||FREDERICK GEARHART|800-553-7526|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters, Market timing services|APPROVED|04/03/2003|2|0|0|0|0|0
Chicago Regional Office| 122084|801-67784|MCAVOY KEMP WEALTH MANAGEMENT, LLC|MCAVOY KEMP WEALTH MANAGEMENT, LLC|2121  25TH STREET|SUITE A|COLUMBUS IN 47201-3214|USA|||  ||JIM D. KEMP|812-376-6463|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|04/17/2007|0|0|0|0|0|0
Chicago Regional Office| 122134|801-68141|ROBERT A. MECCA & ASSOCIATES, LLC|ROBERT A. MECCA & ASSOCIATES, LLC|3785 BORDEAUX||HOFFMAN ESTATES IL 60192|USA|||  ||ROBERT A. MECCA|847-359-2900|Limited Liability Company|Financial planning services|APPROVED|08/17/2007|0|0|0|0|0|0
Chicago Regional Office| 122170|801-62912|RICHARD L. EVANS INVESTMENT MANAGEMENT|RICHARD LEE EVANS|1540 CAMBRIDGE AVENUE||FLOSSMOOR IL 60422|USA|||  ||RICHARD EVANS|708-957-4246|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|04/06/2004|0|0|0|0|0|0
Chicago Regional Office| 122212|801-62577|MARKET STREET WEALTH MANAGEMENT ADVISORS, LLC|MARKET STREET WEALTH MANAGEMENT ADVISORS, LLC|300 NORTH MERIDIAN STREET, SUITE 1100||INDIANAPOLIS IN 46204|USA|||  ||KEVIN J. ERVIN|317-860-1078|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|01/02/2004|0|0|0|0|0|0
Chicago Regional Office| 122222|801-61408|PROXYVOTE PLUS, LLC|PROXYVOTE PLUS, LLC|1200 SHERMER ROAD|SUITE 216|NORTHBROOK IL 60062|USA|||  ||CRAIG ROSENBERG|847 205-0275, EXT. 1|Limited Liability Company|Pension consulting services, Other|APPROVED|08/19/2002|0|0|0|0|0|0
Chicago Regional Office| 122231|801-61405|THE WEALTH ADVANTAGE GROUP, INC.|KING DODSON ARMSTRONG FINANCIAL ADVISORS, INC.|5005 HORIZONS DRIVE|SUITE 100|COLUMBUS OH 43220|USA|||  ||KEN A. DODSON|614-459-9000|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/28/2002|0|0|0|0|0|0
Chicago Regional Office| 122266|801-61372|WINDSOR ADVISORY GROUP, LLC|WINDSOR ADVISORY GROUP, LLC|21 W. BROAD STREET|3RD FLOOR|COLUMBUS OH 43215-4100|USA|||  ||BEVERLY J. LANGLEY|614-545-0300|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|08/08/2002|0|0|0|0|0|0
Chicago Regional Office| 122268|801-61436|FALMOUTH INVESTMENT COMPANY, INC.|FALMOUTH INVESTMENT COMPANY, INC.|20820 CHARGIN BOULEVARD|SUITE 300|SHAKER HEIGHTS OH 44122|USA|||  ||TERENCE C. SULLIVAN|(216)491-3990|Corporation|Selection of other advisers, Other|APPROVED|09/13/2002|0|0|0|0|0|0
Chicago Regional Office| 122273|801-68240|HURST FINANCIAL MANAGEMENT, INC.|HURST FINANCIAL MANAGEMENT, INC.|330 EAST MAIN STREET||MUNCIE IN 47305|USA|||  ||PHILLIP G. HURST|765-289-8888|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|08/08/2007|0|0|0|0|0|0
Chicago Regional Office| 122299|801-66979|VEROS PARTNERS, INC.|VEROS PARTNERS, INC.|5955 SOUTH EMERSON AVE.|SUITE 500|INDIANAPOLIS IN 46237|USA|||  ||MATTHEW D. HAAB|(317) 781-9300|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|07/10/2006|0|0|0|0|0|0
Chicago Regional Office| 122357|801-68449|CAPSTONE WEALTH ADVISORS,INC.|CAPSTONE WEALTH ADVISORS,INC.|5875 CASTLE CREEK PARKWAY SUITE 185||INDIANPOLIS IN 46250|USA|||  ||RONALD J. RICH|317-577-8233|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/16/2007|0|0|0|0|0|0
Chicago Regional Office| 122360|801-66570|ALDEBARAN CAPITAL, LLC|ALDEBARAN CAPITAL, LLC|10293 N. MERIDIAN STREET|SUITE 100|INDIANAPOLIS IN 46290-1073|USA|||  ||EDWARD A. SKARBECK|317-818-7827|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/01/2006|0|0|0|0|0|0
Chicago Regional Office| 122408|801-67271|SECURITY FIRST FINANCIAL|SECURITY FIRST FINANCIAL INC.|2240 EAST HILL RD.|SUITE E|GRAND BLANC MI 48439|USA|||  ||MARK HERHOLD|810-694-6080|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|11/09/2006|0|0|0|0|0|0
Chicago Regional Office| 122412|801-65970|MAJESTIC CAPITAL MANAGEMENT, LLC|MAJESTIC CAPITAL MANAGEMENT, LLC|21 KERCHEVAL|SUITE 265|GROSSE POINTE FARMS MI 48236|USA|||  ||GREGORY W BROWN|313-640-7911|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/27/2006|0|0|0|0|0|0
Chicago Regional Office| 122479|801-64199|FO INVESTMENTS, LLC|FO INVESTMENTS, LLC|4571 STEPHEN CIRCLE, N.W. SUITE 200||CANTON OH 44718|USA|||  ||JOHN T. KONOVSKY, JR.|330-497-8270|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/25/2005|0|0|0|0|0|0
Chicago Regional Office| 122500|801-67390|OLD OAK FINANCIAL PLANNING, INC.|OLD OAK FINANCIAL PLANNING, INC.|7077 FIELDCREST DR.|SUITE 400|BRIGHTON MI 48116|USA|||  ||ANN M SCHWARTZ|810-220-4400|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/03/2007|0|0|0|0|0|0
Chicago Regional Office| 122513|801-62447|LEHMAN, J.F.|LEHMAN, JOHN FREEMAN|112B WEST WACKERLY RD.||MIDLAND MI 48640|USA|||  ||JANE B. JOHNSON|989-832-2522|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|10/21/2003|0|0|0|0|0|0
Chicago Regional Office| 122547|801-64192|SONAS FINANCIAL GROUP, INC.|SONAS FINANCIAL GROUP, INC.|BOARD OF TRADE BUILDING 4800 MAIN STREET|SUITE 330|KANSAS CITY MO 64112|USA|||  ||JAMES D.MEYSENBURG|(816)753-2210|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers, Other|APPROVED|04/18/2005|0|0|0|0|0|0
Chicago Regional Office| 122576|801-67778|RIVERCITIES ASSET MANAGEMENT, LLC|RIVERCITIES ASSET MANAGEMENT, LLC|2900 VEACH ROAD|SUITE 2|OWENSBORO KY 42303|USA|||  ||GREGORY L. MOORE|270-926-4540|Limited Liability Company|Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|04/24/2007|0|0|0|0|0|0
Chicago Regional Office| 122593|801-64503|FINANCIAL RESOURCES|FINANCIAL RESOURCES TAX AND FINANCIAL CONSULTING SERVICES, INC.|803 WEST BIG BEAVER ROAD|SUITE 355|TROY MI 48084|USA|||  ||RUSSELL JONES|248-362-2165|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|08/02/2005|0|0|0|0|0|0
Chicago Regional Office| 122594|801-68659|SPYGLASS INVESTMENT MANAGEMENT|SPYGLASS INVESTMENT MANAGEMENT CORPORATION|1205 SOUTH 3RD ST||TERRE HAUTE IN 47802|USA|||  ||JON BEARDSLEY|812-238-8484|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/07/2008|0|0|0|0|0|0
Chicago Regional Office| 122617|801-61462|NADLER FINANCIAL GROUP, INC.|NADLER FINANCIAL GROUP, INC.|570 LAKE COOK ROAD|SUITE 120|DEERFIELD IL 60015-4953|USA|||  ||MICHAEL A. NADLER|847-940-4040|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|09/13/2002|0|0|0|0|0|0
Chicago Regional Office| 122625|801-67497|FINANCIAL PLANNING ADVISORS, INC.|FINANCIAL PLANNING ADVISORS, INC.|20 TERMINAL DRIVE|SUITE 104|EAST ALTON IL 62024|USA|PO BOX 25||BETHALTO IL 62010|USA|ALFRED HICKS|618-259-1600|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/26/2007|0|0|0|0|0|0
Chicago Regional Office| 122638|801-68487|PREMIER ESTATE PLANNERS, LLC|PREMIER ESTATE PLANNERS, LLC|16950 19 MILE RD|SUITE 4|CLINTON TOWNSHIP MI 48038|USA|||  ||DONALD P. CARNAGHI|586-228-7772|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|11/06/2007|0|2|0|0|0|0
Chicago Regional Office| 122641|801-65036|HARMAN INVESTMENT ADVISORS|HARMAN INVESTMENT ADVISORS INCORPORATED|20 NORTH WACKER DRIVE|SUITE 2807|CHICAGO IL 60606-3101|USA|||  ||DOUGLAS K. HARMAN|(312) 364-9490|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/03/2006|0|0|0|0|0|0
Chicago Regional Office| 122655|801-66416|CHAPMAN & CHAPMAN ADVISORS LLC|CHAPMAN & CHAPMAN ADVISORS LLC|2307 EAST AURORA RD|SUITE B-13|TWINSBURG OH 44087|USA|||  ||GEORGE B. CHAPMAN III, CFA|(440)287-7603|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|03/20/2006|0|0|0|0|0|0
Chicago Regional Office| 122675|801-68954|WALL STREET FINANCIAL GROUP, INC.|WALL STREET FINANCIAL GROUP, INC.|217 W. MAIN ST.||CARLINVILLE IL 62626|USA|PO BOX 706||CARLINVILLE IL 62626|USA|CARL W. ZEIDLER|217-854-2691|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|04/09/2008|0|1|0|0|0|0
Chicago Regional Office| 122692|801-68385|SAXONY CAPITAL MANAGEMENT, LLC|SAXONY CAPITAL MANAGEMENT LLC.|86 KENRICK PLAZA||SAINT LOUIS MO 63119|USA|||  ||MARK THOMPSON|314-963-9336|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|10/15/2007|0|1|0|0|0|0
Chicago Regional Office| 122704|801-69320|WILDWOOD WEALTH MANAGEMENT|WILDWOOD WEALTH MANAGEMENT, LLC|105 FIFTH AVENUE SOUTH|#300|MINNEAPOLIS MN 55401|USA|||  ||STEPHEN H. FISCHER|612-338-0677|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|07/08/2008|0|1|0|0|0|0
Chicago Regional Office| 122709|801-64601|SKINNER FINANCIAL SERVICES|SKINNER FINANCIAL SERVICES, INC.|10311 DAWSONS CREEK BLVD|SUITE A|FORT WAYNE IN 46825|USA|||  ||C. RICK SKINNER|260-496-8560|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Other|APPROVED|08/19/2005|0|0|0|0|0|0
Chicago Regional Office| 122730|801-64128|SHERMAN & ARMBRUSTER, P.C.|SHERMAN & ARMBRUSTER, P.C.|609 TREYBOURNE DR. SUITE A||GREENWOOD IN 46142|USA|||  ||MARTIN J ARMBRUSTER|317-881-6670|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|04/25/2005|0|0|0|0|0|0
Chicago Regional Office| 122742|801-67707|PATRICK MAURO INVESTMENT ADVISOR, INC., INC.|PATRICK MAURO INVESTMENT ADVISOR, INC.|38 MOCKINGBIRD LANE||OAK BROOK IL 60523-1749|USA|||  ||PATRICK MAURO|(630) 789-3374|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|03/30/2007|0|0|0|0|0|0
Chicago Regional Office| 122743|801-64906|FREDERICK CAPITAL MANAGEMENT|JOHN RICHARD FREDERICK|1788 VERMONT COURT||ROLLING MEADOWS IL 60008|USA|||  ||DAWN PETTIGLIO|603.938.5192|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|12/09/2005|0|0|0|0|0|0
Chicago Regional Office| 122750|801-67547|ANDREWS & COMPANY|ANDREWS & COMPANY|40 PEARL STREET, N.W.|SUITE 333-A   TRUST BUILDING|GRAND RAPIDS MI 49503|USA|||  ||CHARLES E. ANDREWS|616-458-3870|Corporation|Portfolio management for individuals and/or small businesses, Other|APPROVED|02/08/2007|0|0|0|0|0|0
Chicago Regional Office| 122758|801-63261|RETIREMENT PLAN ADVISORS, LLC|RETIREMENT PLAN ADVISORS, LLC|105 WEST ADAMS|SUITE 2175|CHICAGO IL 60603|USA|||  ||JOSHUA F SCHWARTZ|312-701-1100|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|07/14/2004|0|0|0|0|0|0
Chicago Regional Office| 122768|801-63573|PATHFINDER ADVISORY, INC.|PATHFINDER WEALTH MANAGEMENT, INC.|6981 REDANSA DR||ROCKFORD IL 61108|USA|||  ||PHILIP W. GUSKE|815.399.9806|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|10/29/2004|0|1|0|0|0|0
Chicago Regional Office| 122866|801-66518|MPS-LORIA FINANCIAL PLANNERS,LLC|MPS-LORIA FINANCIAL PLANNERS,LLC|7500 SOUTH COUNTY LINE ROAD||BURR RIDGE IL 60527-6955|USA|||  ||RICK T. LORIA|(630) 887-4404|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|04/05/2006|0|0|0|0|0|0
Chicago Regional Office| 122895|801-68619|KADISAK FINANCIAL SERVICES, INC.|KADISAK FINANCIAL SERVICES, INC.|710 E. OGDEN AVE|SUITE 670|NAPERVILLE IL 60563|USA|||  ||ROGER KADISAK|630-369-3336|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|01/02/2008|0|0|0|0|0|0
Chicago Regional Office| 122898|801-67096|STRATEGIC FINANCIAL DESIGNS, INC.|STRATEGIC FINANCIAL DESIGNS, INC.|1780 ASH STREET|SUITE 200|NORTHFIELD IL 60093|USA|||  ||ELLEN ROGIN|847-441-8700|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|08/18/2006|0|0|0|0|0|0
Chicago Regional Office| 122916|801-69270|CAPITAL CITIES, L.L.C.|CAPITAL CITIES, L.L.C.|47 SOUTH MERIDIAN STREET|SUITE 425|INDIANAPOLIS IN 46204-3580|USA|||  ||WILLIAM M. MAUGER|(317) 475-4500|Limited Liability Company|Pension consulting services, Selection of other advisers, Other|APPROVED|06/17/2008|0|1|0|0|0|0
Chicago Regional Office| 122941|801-62844|SEBOLD CAPITAL MANAGEMENT, INC|SEBOLD CAPITAL MANAGEMENT, INC|1979 N. MILL STREET|STE 107|NAPERVILLE IL 60563|USA|||  ||SEAN SEBOLD|630-548-9700|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/26/2004|0|0|0|0|0|0
Chicago Regional Office| 122950|801-67856|AQ-TIMER FINANCIAL SERVICES|CHANG, CECILIA FANG|2627 STILLWATER RD E.|STE A|MAPLEWOOD MN 55119|USA|||  ||CECILIA CHANG|651-702-0563|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED-120|05/11/2007|0|0|0|0|0|0
Chicago Regional Office| 122959|801-63806|PHASE III ADVISORY SERVICES, LTD|PHASE III ADVISORY SERVICES, LTD|1110 W.LAKE COOK RD|SUITE #265|BUFFALO GROVE IL 60089|USA|||  ||THERESA KELLOCK|847-520-5545|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|02/11/2005|0|0|0|0|0|0
Chicago Regional Office| 123043|801-61929|STEVENS PORTFOLIO DESIGN LLC|STEVENS PORTFOLIO DESIGN LLC|861 FOUNTAIN VIEW DRIVE||DEERFIELD IL 60015|USA|SUITE 350|500 LAKE COOK ROAD|DEERFIELD IL 60015|US|SUSAN STEVENS|847-444-0209|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|03/26/2003|0|0|0|0|0|0
Chicago Regional Office| 123047|801-64587|REHMANN FINANCIAL|REHMANN CAPITAL ADVISORY GROUP, LLC|4086 LEGACY PARKWAY||LANSING MI 48911-4261|USA|||  ||NANCY S. WALLS|517-316-2445|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/16/2005|0|0|0|0|0|0
Chicago Regional Office| 123048|801-64910|JOHN MILLER & ASSOCIATES, INC.|JOHN MILLER & ASSOCIATES, INC.|112 MAIN STREET||LEMONT IL 60439-3623|USA|||  ||JOHN ORVILLE MILLER|630-257-1399|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|12/21/2005|0|0|0|0|0|0
Chicago Regional Office| 123067|801-66558|BOWYER,WEYDERT WEALTH PLANNING PARTNERS, INC.|BOWYER,WEYDERT WEALTH PLANNING PARTNERS,INC.|1580 N. NORTHWEST HIGHWAY,|SUITE 115|PARK RIDGE IL 60068|USA|||  ||GARY N. BOWYER|847-789-5000|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|06/16/2006|0|0|0|0|0|0
Chicago Regional Office| 123092|801-68578|KOEHLER FINANCIAL SERVICES, INC.|KOEHLER FINANCIAL SERVICES, INC.|5764 JAMES DRIVE||STEVENSVILLE MI 49127|USA|||  ||RANDY P. KOEHLER|269-429-0650|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|11/29/2007|0|0|0|0|0|0
Chicago Regional Office| 123122|801-61502|NUVEEN INVESTMENTS ADVISERS INC.|NUVEEN INVESTMENTS ADVISERS INC.|333 WEST WACKER DRIVE||CHICAGO IL 60606|USA|||  ||MARY E. KEEFE|312-917-7868|Corporation|Other|APPROVED|10/07/2002|0|0|0|0|0|0
Chicago Regional Office| 123176|801-64556|MENTOR CAPITAL MANAGEMENT INC.|MENTOR CAPITAL MANAGEMENT INC.|105 S. YORK ST.|SUITE 450|ELMHURST IL 60126|USA|||  ||JOHN STEPHEN DAVIS|630-530-1191|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|08/24/2005|0|0|0|0|0|0
Chicago Regional Office| 123182|801-66502|A. ROBERT TAYLOR FINANCIAL ADVISORY SERVICES, LTD.|A. ROBERT TAYLOR FINANCIAL ADVISORY SERVICES, LTD.|825 GREEN BAY ROAD|SUITE 120|WILMETTE IL 60091|USA|||  ||MARIE BECKMAN|847-251-2099|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/04/2006|0|0|0|0|0|0
Chicago Regional Office| 123230|801-62483|KRD FINANCIAL, LLC|KRD FINANCIAL, LLC|1101 PERIMETER DRIVE|SUITE 730|SCHAUMBURG IL 60173|USA|||  ||ALLEN I. KUTCHINS|847-517-7967|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|10/31/2003|0|0|0|0|0|0
Chicago Regional Office| 123247|801-66182|MERITUS CAPITAL MANAGEMENT, INC.|MERITUS CAPITAL MANAGEMENT, INC.|645 TOLLGATE ROAD, SUITE 140||ELGIN IL 60123|USA|||  ||LYNN M. SCHMIDT|(847) 289-7700|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/01/2006|0|0|0|0|0|0
Chicago Regional Office| 123252|801-63732|BUENA VISTA INVESTMENT MANAGEMENT LLC|BUENA VISTA INVESTMENT MANAGEMENT LLC|320 WEST GRAND AVE., SUITE 302||WISCONSIN RAPIDS WI 54495|USA|||  ||JOEL SULLIVAN|715-422-0700|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|01/03/2005|0|0|0|0|0|0
Chicago Regional Office| 123259|801-62122|R.A.S. FUND MANAGEMENT|STRAUSS, RICHARD ALAN|6033 N. SHERIDAN ROAD|UNIT #9A|CHICAGO IL 60660-3006|USA|||  ||RICHARD ALAN STRAUSS|773-334-1125|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/11/2003|0|0|0|0|0|0
Chicago Regional Office| 123279|801-68543|WOODFIELD PLANNING CORPORATION|WOODFIELD PLANNING CORPORATION|3701 ALGONQUIN, SUITE 720||ROLLING MEADOWS IL 60008|USA|||  ||JAMES B. DOBBS|847-590-8300|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|11/30/2007|0|0|0|0|0|0
Chicago Regional Office| 123283|801-65824|DBS INVESTMENT ADVISERS, LLC|DBS INVESTMENT ADVISERS, LLC|6006 WEST SIDE SAGINAW ROAD P.O. BOX 280||BAY CITY MI 48707|USA|||  ||MICHAEL G. CIACIUCH|989-686-6222|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters, Other|APPROVED|01/30/2006|0|0|0|0|0|0
Chicago Regional Office| 123287|801-64625|PACESETTER FINANCIAL GROUP, L.L.C.|PACESETTER FINANCIAL GROUP, L.L.C.|207 S. MCLEAN STREET||LINCOLN IL 62656-2858|USA|||  ||KRISTEN R.M. LANNING|217-735-1576|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|08/29/2005|0|0|0|0|0|0
Chicago Regional Office| 123321|801-67075|STRATEGIC WEALTH MANAGEMENT, LLC|STRATEGIC WEALTH MANAGEMENT, LLC|114 STATE STREET, SUITE 2E||PEORIA IL 61602|USA|||  ||ALAN L. LEE|309-673-7526|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|08/21/2006|0|0|0|0|0|0
Chicago Regional Office| 123340|801-61558|ICG ADVISORS, LLC|ICG ADVISORS, LLC|42 HASKELL DRIVE||BRATENAHL OH 44108|USA|||  ||MICHAEL THOMAS O'NEILL|216-470-6327|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|10/25/2002|0|0|0|0|0|0
Chicago Regional Office| 123392|801-69018|D C VOSS & COMPANY, LLC|D C VOSS & COMPANY, LLC|6195 REDHAWK CT.||LOVELAND OH 45140|USA|||  ||DAVID VOSS|513-774-8850|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|04/03/2008|0|0|0|0|0|0
Chicago Regional Office| 123452|801-62584|WILLMS, S.C.|WILLMS, S.C.|414 N. MAIN STREET||THIENSVILLE WI 53092|USA|||  ||ANDREW J. WILLMS|262-238-6996|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|04/29/2004|0|0|0|0|0|0
Chicago Regional Office| 123475|801-67369|PCA INVESTMENT ADVISORY SERVICES, INC.|PCA INVESTMENT ADVISORY SERVICES, INC.|2133 LURAY AVENUE||CINCINNATI OH 45206|USA|||  ||MARK D. HOLLY|513.281.3366, EXT. 181|Corporation|Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|12/15/2006|0|0|0|0|0|0
Chicago Regional Office| 123526|801-68259|LANDMARK CAPITAL INC.|LANDMARK CAPITAL INC.|1000 JORIE BLVD. SUITE 140||OAK BROOK IL 60523|USA|||  ||KATHLEEN A. GFRORER|630-990-1800|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|08/20/2007|0|0|0|0|0|0
Chicago Regional Office| 123569|801-62768|GUTHOFF FINANCIAL CONSULTANTS, INC.|GUTHOFF FINANCIAL CONSULTANTS, INC.|2710 E. LINCOLN||BLOOMINGTON IL 61702-1445|USA|||  ||CATHERINE L. ALLEN|309-662-4356|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Publication of periodicals or newsletters|APPROVED|02/12/2004|0|0|0|0|0|0
Chicago Regional Office| 123600|801-67294|D3 FINANCIAL COUNSELORS LLC|D3 FINANCIAL COUNSELORS LLC|1043 CURTSS ST|SUITE 1|DOWNERS GROVE IL 60515|USA|||  ||DONALD D. DUNCAN|630-271-0033|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|11/20/2006|0|0|0|0|0|0
Chicago Regional Office| 123602|801-63670|PLAN SPONSOR ADVISORS, INC.|PLAN SPONSOR ADVISORS, INC.|111 W WASHINGTON ST.|SUITE 1560|CHICAGO IL 60602|USA|||  ||JENNIFER FLODIN|312-214-1500|Corporation|Pension consulting services|APPROVED|01/12/2005|0|0|0|0|0|0
Chicago Regional Office| 123609|801-66667|CIG ASSET MANAGEMENT, INC.|CIG ASSET MANAGEMENT, INC.|28411 NORTHWESTERN HIGHWAY|SUITE 1350|SOUTHFIELD MI 48034|USA|||  ||OSMAN RADWAN MINKARA|248-827-1010|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|05/02/2006|0|0|0|0|0|0
Chicago Regional Office| 123674|801-64131|ALTON CAPITAL MANAGEMENT, INC.|ALTON CAPITAL MANAGEMENT, INC.|2410 STATE ST.||ALTON IL 62002|USA|||  ||GREGORY H. BRAY|618-466-9700|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/15/2005|0|0|0|0|0|0
Chicago Regional Office| 123691|801-67994|NORTHEAST ASSET MANAGEMENT GROUP,INC.|NORTHEAST ASSET MANAGEMENT GROUP,INC.|300 ST. ANDREWS ROAD||SAGINAW MI 48638|USA|||  ||BRUCE E. POLLARD|989-790-3908|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|06/13/2007|0|0|0|0|0|0
Chicago Regional Office| 123729|801-64258|SIGNATURE FINANCIAL SERVICES, LTD|SIGNATURE FINANCIAL SERVICES, LTD|855 EAST GOLF ROAD, SUITE 2128||ARLINGTON HEIGHTS IL 60005|USA|||  ||BRADLEY K. WALTON|(847) 545-8070|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/27/2005|0|0|0|0|0|0
Chicago Regional Office| 123741|801-67482|MADER & SHANNON WEALTH MANAGEMENT|MADER & SHANNON WEALTH MANAGEMENT, INC.|4505 MADISON||KANSAS CITY MO 64111|USA|||  ||BRET GUILLAUME|816-751-0575|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|01/12/2007|0|0|0|0|0|0
Chicago Regional Office| 123798|801-61627|INVESTAMERICA L&C MANAGEMENT,INC.|INVESTAMERICA L&C MANAGEMENT,INC.|101 2ND STREET SE, SUITE 800||CEDAR RAPIDS IA 52401|USA|||  ||ROBERT A. COMEY|(319) 363-8249|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/10/2002|0|0|0|0|0|0
Chicago Regional Office| 123802|801-67028|ESTATE & TRUST ADVISORS|ESTATE & TRUST ADVISORS, INC.|555 SKOKIE BLVD.|SUITE 495|NORTHBROOK IL 60062|USA|||  ||MARK J. SCHWARTZ|847-498-0800|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|07/21/2006|0|0|0|0|0|0
Chicago Regional Office| 123805|801-64011|LCV WEALTH MANAGEMENT, LTD.|LCV WEALTH MANAGEMENT, LTD.|4949 HARRISION AVENUE|SUITE 300|ROCKFORD IL 61125-0407|USA|4949 HARRISION AVENUE|SUITE 300, P.O. BOX 5407|ROCKFORD IL 61125-0407|USA|SCOT P. ROCHE|815 399-7700|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|03/25/2005|0|0|0|0|0|0
Chicago Regional Office| 123807|801-65901|GASAWAY INVESTMENT ADVISORS, INC.|GASAWAY INVESTMENT ADVISORS, INC.|1300 WEST CENTRE AVENUE|SUITE 100|PORTAGE MI 49024|USA|||  ||JAMES GASAWAY|269-324-0080|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|01/25/2006|0|0|0|0|0|0
Chicago Regional Office| 123849|801-61625|COOPER MANAGEMENT SERVICE, INC.|COOPER MANAGEMENT SERVICE, INC.|106 WEST VINE STREET,SUITE 700||LEXINGTON KY 40507|USA|||  ||MIKETHOMPSON|859-259-0063|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|12/03/2002|0|0|0|0|0|0
Chicago Regional Office| 123955|801-62084|COX FINANCIAL GROUP, LTD.|COX FINANCIAL GROUP, LTD.|3330 DUNDEE ROAD|SUITE S-3|NORTHBROOK IL 60062-2327|USA|||  ||TERI WILLIAMS|847.498.2690 EXT. 12|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/30/2003|0|0|0|0|0|0
Chicago Regional Office| 124018|801-61660|JVL ASSOCIATES, LLC|JVL ASSOCIATES, LLC|1535 44TH ST SW SUITE 400||WYOMING MI 49509|USA|||  ||GERALD R. VANDERLUGT|616-261-2800|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|12/10/2002|0|0|0|0|0|0
Chicago Regional Office| 124064|801-69004|MICHIGAN ADVISORS, INC|MICHIGAN ADVISORS, INC|21415 CIVIC CENTER DRIVE|SUITE 200|SOUTHFIELD MI 48076|USA|||  ||WILLIAM E. RICE|1-248-358-4393|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Market timing services|APPROVED|04/08/2008|0|0|0|0|0|0
Chicago Regional Office| 124107|801-67654|SECURITY FINANCIAL ADVISORS,LLC|SECURITY FINANCIAL ADVISORS,LLC|1945 PAULINE, SUITE 21A||ANN ARBOR MI 48103|USA|||  ||WILLIAM D. MARKS|734-769-3755|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|03/20/2007|0|0|0|0|0|0
Chicago Regional Office| 124174|801-62115|COLUMBIA ASSET MANAGEMENT, L.L.C.|COLUMBIA ASSET MANAGEMENT, L.L.C.|213 WEST LIBERTY ST|SUITE 110|ANN ARBOR MI 48104|USA|||  ||BRIAN WEISMAN|(734)665-1454|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Publication of periodicals or newsletters|APPROVED|06/12/2003|0|0|0|0|0|0
Chicago Regional Office| 124197|801-68812|NORTHBROOK INVESTMENT MANAGEMENT, LLC|NORTHBROOK INVESTMENT MANAGEMENT, LLC|2149 JOLLY RD|SUITE 500|OKEMOS MI 48864|USA|||  ||KENNETH J KLEIN|(517) 347-0347|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/14/2008|0|0|0|0|0|0
Chicago Regional Office| 124213|801-62596|RIVER CAPITAL ADVISORS, INC.|RIVER CAPITAL ADVISORS, INC.|1144 LAKE STREET, SUITE 207||OAK PARK IL 60301|USA|||  ||WILLIAM MICHAEL RAMETTE|708-763-9360|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/16/2004|0|0|0|0|0|0
Chicago Regional Office| 124228|801-66772|LORENCE & VANDER ZWART|LVZ ADVISORS|240 SOUTH RIVER AVENUE||HOLLAND MI 49423|USA|||  ||RYAN J. VANDER ZWART|616-394-4994|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/17/2006|0|0|0|0|0|0
Chicago Regional Office| 124281|801-64585|DICKMEYER BOYCE FINANCIAL MANAGEMENT, INC|DICKMEYER BOYCE FINANCIAL MANAGEMENT, INC|6510 CONSTITUTION DRIVE||FORT WAYNE IN 46804|USA|||  ||IAN D. BOYCE|260.436.2051|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|08/11/2005|0|0|0|0|0|0
Chicago Regional Office| 124310|801-66557|FINANCIAL MANAGEMENT ASSOCIATES|KLEGON, KENNETH LOUIS|2211 ASSOCIATION DRIVE|SUITE 200|OKEMOS MI 48864-5990|USA|||  ||KENNETH L. KLEGON|517-381-0300|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/17/2006|0|0|0|0|0|0
Chicago Regional Office| 124332|801-67414|GEM ASSET MANAGEMENT, LLC|GEM ASSET MANAGEMENT, LLC|320 S. MAIN STREET||PLYMOUTH MI 48170|USA|||  ||STEVE ALEXANDROWSKI|734-737-9108|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|01/18/2007|0|0|0|0|0|0
Chicago Regional Office| 124339|801-68650|ADAMCZYK ADVISERS L.L.C.|ADAMCZYK ADVISERS L.L.C.|37642 8 MILE RD||NORTHVILLE MI 48167|USA|||  ||MICHAEL ADAMCZYK|248-705-6480|Limited Liability Company|Portfolio management for individuals and/or small businesses, Other|APPROVED|12/18/2007|0|0|0|0|0|0
Chicago Regional Office| 124341|801-61654|CERTES CAPITAL WEALTH MANAGEMENT, LLC|CERTES CAPITAL WEALTH MANAGEMENT LLC|ONE OVERLOOK POINT|SUITE 250|LINCOLNSHIRE IL 60069|USA|||  ||CRISTINA M. LAZO|847-913-5594|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/10/2002|0|1|0|0|0|0
Chicago Regional Office| 124407|801-62074|TDC ST. LOUIS, LLC|TDC ST. LOUIS, LLC|190 CARONDELET PLAZA, SUITE 600||ST. LOUIS MO 63105-3441|USA|||  ||DAVID S. SHERMAN III|314-480-1630|Limited Liability Company|Portfolio management for individuals and/or small businesses, Other|APPROVED|05/28/2003|0|0|0|0|0|0
Chicago Regional Office| 124438|801-62819|CFG REGISTERED INVESTMENT ADVISORS|CASCADE ASSET MANAGERS, LLC|607 CASCADE WEST PARKWAY||GRAND RAPIDS MI 49546-2158|USA|||  ||ROBERT STAEVEN|616-575-2020|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|03/05/2004|0|0|1|0|0|0
Chicago Regional Office| 124439|801-64058|KSM CAPITAL ADVISORS, LLC|KSM CAPITAL ADVISORS, LLC|800 EAST 96TH STREET|SUITE 500|INDIANAPOLIS IN 46240|USA|||  ||KAREN MERSEREAU|317-571-3400|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|04/20/2005|0|0|0|0|0|0
Chicago Regional Office| 124468|801-66252|RFM FINANCIAL SOLUTIONS, LLC|RFM FINANCIAL SOLUTIONS, LLC|805 N. BROWN ST.||MT. PLEASANT MI 48858|USA|||  ||LISA L. CASTLE|989-772-1209|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|02/24/2006|0|0|0|0|0|0
Chicago Regional Office| 124489|801-64489|MILLER CAPITAL PARTNERS|MILLER CAPITAL PARTNERS, INC.|33 BLOOMFIELD HILLS PARKWAY|SUITE 240, GOVERNOR'S PLACE|BLOOMFIELD HILLS MI 48304-2945|USA|||  ||MARK A. MILLER|248-901-1650|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|07/15/2005|0|0|0|0|0|0
Chicago Regional Office| 124556|801-66931|WHLS FINANCIAL ADVISORS, LLC.|WHLS FINANCIAL ADVISORS, LLC.|30600 NORTHWESTERN HWY.|SUITE 302|FARMINGTON HILLS MI 48334-3172|USA|||  ||BRADLEY ALAN WASSERMAN|248-487-2600|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|06/30/2006|0|0|0|0|0|0
Chicago Regional Office| 124609|801-69094|HALL & ROMKEMA FINANCIAL SERVICES, L.L.C.|HALL & ROMKEMA FINANCIAL SERVICES, L.L.C.|3495 COOLIDGE||EAST LANSING MI 48823|USA|||  ||JOE A. ROMKEMA|517-337-8900|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|04/25/2008|0|0|0|0|0|0
Chicago Regional Office| 124647|801-61709|LODESTAR INVESTMENT COUNSEL, LLC|LODESTAR INVESTMENT COUNSEL, LLC|150 S. WACKER DRIVE|SUITE 3050|CHICAGO IL 60606|USA|||  ||KIMBERLY GEARY|312-630-9666|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters, Other|APPROVED|12/30/2002|0|0|0|0|0|0
Chicago Regional Office| 124663|801-61703|ARCATAUR CAPITAL MANAGEMENT LLC|ARCATAUR CAPITAL MANAGEMENT LLC|826 NORTH PLANKINTON AVENUE, SUITE 300||MILWAUKEE WI 53203|USA|||  ||IGNATIUS L. SMETEK|414-225-8200|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|04/13/2006|0|0|0|0|0|0
Chicago Regional Office| 124674|801-61770|ANCORA ADVISORS LLC|ANCORA ADVISORS LLC|2000 AUBURN DRIVE|SUITE 300|BEACHWOOD OH 44122|USA|||  ||DAVID KUHR|216-825-4008|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/30/2003|0|0|0|0|0|0
Chicago Regional Office| 124687|801-61757|LEHMAN BROTHERS ASSET MANAGEMENT LLC|LEHMAN BROTHERS ASSET MANAGEMENT LLC|190 SOUTH LASALLE STREET|SUITE 2400|CHICAGO IL 60603|USA|||  ||LORI LOFTUS|312-325-7700|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/23/2003|0|0|0|0|0|0
Chicago Regional Office| 124697|801-62694|MCSHERRY ANDERSON|MCSHERRY ANDERSON, LLC|875 TOWNLINE RD.|SUITE 100|LAKE GENEVA WI 53147|USA|||  ||ROBERT JAY ANDERSON|262-348-9981|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Other|APPROVED|01/14/2004|0|0|0|0|0|0
Chicago Regional Office| 124786|801-63345|BALANCE SHEET SOLUTIONS LLC|BALANCE SHEET SOLUTIONS LLC|4450 WEAVER PARKWAY|SUITE 250|WARRENVILLE IL 60555-3926|USA|||  ||THOMAS GERARD MOORE|630-276-2727|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|08/05/2004|0|0|0|0|0|0
Chicago Regional Office| 124805|801-62693|PROFESSIONAL ANALYSTS, LLC|PROFESSIONAL ANALYSTS, LLC|2370 DELTA RD.||BAY CITY MI 48706-9340|USA|||  ||TIM|989-922-5564|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/23/2004|0|0|0|0|0|0
Chicago Regional Office| 124816|801-61739|HERITAGE WAY ADVISORS, L.L.C.|HERITAGE WAY ADVISORS, L.L.C.|1463 SOUTH BELL SCHOOL ROAD|SUITE 7|ROCKFORD IL 61108|USA|||  ||JOAN OLLMANN|815-397-0900|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/02/2004|0|0|0|0|0|0
Chicago Regional Office| 124845|801-61942|INVERNESS INVESTMENT GROUP, LLC|INVERNESS INVESTMENT GROUP, LLC|ONE CHAGRIN HIGHLANDS,|2000 AUBURN DRIVE #440|CLEVELAND OH 44122|USA|||  ||RICHARD B RENNER|216-839-5130|Limited Liability Company|Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|04/03/2003|0|0|0|0|0|0
Chicago Regional Office| 124893|801-63106|MAYFIELDGENTRY REALTY ADVISORS, LLC|MAYFIELDGENTRY REALTY ADVISORS, LLC|100 RIVER PLACE|SUITE 300|DETROIT MI 48207|USA|||  ||CHAUNCEY CLARENCE MAYFIELD|313-221-1270|Limited Liability Company|Other|APPROVED|04/29/2004|0|0|0|0|0|0
Chicago Regional Office| 124897|801-63428|LUTHMAN FINANCIAL MANAGEMENT & INVESTMENT COMPANY, LLC|LUTHMAN FINANCIAL MANAGEMENT & INVESTMENT COMPANY, LLC|1230 WELSFORD||DAYTON OH 45459|USA|||  ||RICHARD M. LUTHMAN|937-304-9078|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|08/06/2004|0|0|0|0|0|0
Chicago Regional Office| 124947|801-61799|CORNERSTONE WEALTH ADVISORS, INC.|CORNERSTONE WEALTH ADVISORS, INC.|240 GRANDVIEW SQUARE|5201 EDEN AVENUE SOUTH|EDINA MN 55436|USA|||  ||JONATHAN T. GUYTON|952 920-3900|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|02/20/2003|0|0|1|0|0|0
Chicago Regional Office| 124957|801-69344|MACKEY ADVISORS|THE WEALTH ADVISORY TEAM, LLC|525 W. 5TH STREET|SUITE 318|COVINGTON KY 41011|USA|||  ||MACKEY MCNEILL|859-331-7755|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|07/11/2008|0|0|0|0|0|0
Chicago Regional Office| 124971|801-68884|LENOX CAPITAL MANAGEMENT, INC.|LENOX CAPITAL MANAGEMENT, INC.|322 ALANA DRIVE||NEW LENOX IL 60451-1784|USA|||  ||DOUGLAS S. RUTH|(815) 485-5559|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|02/27/2008|0|0|0|0|0|0
Chicago Regional Office| 125024|801-64407|THE MUTUAL FUND STORE- FORT WAYNE|TMFS-FORT WAYNE, LLC|1748 APPLE GLEN BLVD||FORT WAYNE IN 46804|USA|||  ||JEFFREY D WHITMER|260-459-3939|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/17/2005|0|0|0|0|0|0
Chicago Regional Office| 125038|801-61750|FIDUCIARY MANAGEMENT ASSOCIATES, LLC|FIDUCIARY MANAGEMENT ASSOCIATES, LLC|55 WEST MONROE STREET|SUITE 2550|CHICAGO IL 60603-5093|USA|||  ||MELCHER, CANDICE L.|312-930-6850|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/18/2002|0|0|0|0|0|0
Chicago Regional Office| 125040|801-62049|ASSET STRATEGIES PORTFOLIO SERVICES, INC.|ASSET STRATEGIES PORTFOLIO SERVICES, INC.|2635 LAPEER ROAD||AUBURN HILLS MI 48326|USA|||  ||GEORGE H. VITTA|248-373-9900|Corporation|Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters, Other|APPROVED|05/12/2003|0|0|0|0|0|0
Chicago Regional Office| 125058|801-63300|SYMPHONY FINANCIAL SERVICES, INC.|SYMPHONY FINANCIAL SERVICES, INC.|80 SOUTH SUMMIT STREET|SUITE 300|AKRON OH 44308|USA|||  ||ROSALIE CANFIELD|(330) 434-2000|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/24/2004|0|0|0|0|0|0
Chicago Regional Office| 125081|801-63634|SYCAMORE INVESTMENT CONSULTING SERVICES, LLC|SYCAMORE INVESTMENT CONSULTING SERVICES, LLC|701 DEMMING WAY|SUITE 100|MADISON WI 53717|USA|||  ||CHRISTOPHER BUGG|(608) 827-6400|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|11/05/2004|0|0|0|0|0|0
Chicago Regional Office| 125117|801-63771|INTERACTIVE FINANCIAL ADVISORS|INTERACTIVE FINANCIAL ADVISORS, INC.|DRAKE OAKBROOK PLAZA|2215 YORK ROAD, SUITE 306|OAKBROOK IL 60523|USA|||  ||JOANNE WOITESHEK|630-472-1300|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|01/03/2005|0|1|0|0|0|0
Chicago Regional Office| 125147|801-63813|SPECTRUM FINANCIAL ALLIANCE, LTD., L.L.C.|SPECTRUM FINANCIAL ALLIANCE, LTD., L.L.C.|105 WIND HAVEN DRIVE||LEXINGTON KY 40356|USA|||  ||C. KELLY BUCKLEY|859-223-6333|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/27/2005|0|0|0|0|0|0
Chicago Regional Office| 125179|801-69185|NEUENSCHWANDER ASSET MANAGEMENT, LLC|NEUENSCHWANDER ASSET MANAGEMENT, LLC|4722 FARWELL STREET||MCFARLAND WI 53558|USA|||  ||TIMOTHY J. NEUENSCHWANDER|608-838-3330|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|06/04/2008|1|0|0|0|0|0
Chicago Regional Office| 125218|801-62068|FINANCIAL SOLUTIONS ADVISORY GROUP|FINANCIAL SOLUTIONS ADVISORY GROUP, INC.|8700 W. BRYN MAWR AVENUE, SUITE 410-N||CHICAGO IL 60631|USA|||  ||SCOT JURCZYK|773-714-1543|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/06/2003|0|0|0|0|0|0
Chicago Regional Office| 125219|801-64544|FRONT STREET INVESTMENT MANAGEMENT, LLC|FRONT STREET INVESTMENT MANAGEMENT, LLC|400 W. FRONT STREET SUITE 206||TRAVERSE CITY MI 49684|USA|||  ||JASON P. TANK|231 947-3775|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/17/2005|0|0|0|0|0|0
Chicago Regional Office| 125303|801-65975|ATIVO CAPITAL MANAGEMENT, LLC|ATIVO CAPITAL MANAGEMENT, LLC|11 S LASALLE STREET  SUITE 820||CHICAGO IL 60603-1232|USA|||  ||JAMES STUART|312-263-7600 X115|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/31/2006|0|0|0|0|0|0
Chicago Regional Office| 125346|801-62059|CROWE WEALTH MANAGEMENT, LLC|CROWE WEALTH MANAGEMENT, LLC|3815 RIVER CROSSING PRKWY|SUITE 300|INDIANAPOLIS IN 46240|USA|11711 NORTH MERIDIAN STREET|SUITE 600|CARMEL IN 46032|USA|SUSAN E. MITCHELL, CFP|317-805-5089|Limited Liability Company|Financial planning services, Selection of other advisers, Other|APPROVED|05/27/2003|0|0|0|0|0|0
Chicago Regional Office| 125446|801-61964|FTJ FUNDCHOICE, LLC|FTJ FUNDCHOICE, LLC|2300 LITTON LANE|SUITE 102|HEBRON KY 41048|USA|||  ||MICHAEL HALL|859.426.2000|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|04/13/2004|0|0|0|0|0|0
Chicago Regional Office| 125459|801-61870|CHRISTIAN INVESTMENT CONSULTANTS, LLC|CHRISTIAN INVESTMENT CONSULTANTS, LLC|907 NORTH ELM|SUITE 100|HINSDALE IL 60521|USA|||  ||JAMES KREBEC|630-371-1585|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|03/14/2003|0|0|0|0|0|0
Chicago Regional Office| 125531|801-61856|GRANT KOEHLER & LEVIN LTD.|GRANT KOEHLER & LEVIN LTD.|10809 W. MEQUON RD.||MEQUON WI 53097|USA|||  ||DEBBIE HOGATE|262-242-3770|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/18/2003|0|0|0|0|0|0
Chicago Regional Office| 125557|801-61862|MBO CLEARY ADVISORS INC.|MBO CLEARY ADVISORS INC.|100 EAST WISCONSIN AVENUE|SUITE 2500|MILWAUKEE WI 53202|USA|||  ||WILLIAM BRAUN|414-291-4500|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|03/04/2003|0|0|0|0|0|0
Chicago Regional Office| 125601|801-61851|POWERSHARES|INVESCO POWERSHARES CAPITAL MANAGEMENT LLC|301 WEST ROOSEVELT ROAD||WHEATON IL 60187|USA|||  ||DEANNA MAROTZ|630-933-9600|Limited Liability Company|Portfolio management for investment companies|APPROVED|03/07/2003|0|10|2|0|0|0
Chicago Regional Office| 125680|801-61876|CANTERBURY FINANCIAL GROUP, LLC|CANTERBURY INVESTMENT MANAGEMENT, LLC|23 E CEDAR ST||ZIONSVILLE IN 46077|USA|||  ||KIM DALE|317-732-2075|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|03/14/2003|0|0|0|0|0|0
Chicago Regional Office| 126052|801-68642|EQIS CAPITAL MANAGEMENT|EQIS CAPITAL MANAGEMENT INC.|17W220 22ND STREET, STE.330||OAKBROOK TERRACE IL 60181|USA|||  ||JENNIFER WINTERS|630-929-3012|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|01/08/2008|0|0|0|0|0|0
Chicago Regional Office| 126111|801-61970|CONCORD ASSET MANAGEMENT|CONCORD ASSET MANAGEMENT, LLC|150 SOUTH WACKER DRIVE|SUITE 350|CHICAGO IL 60606|USA|||  ||SARA GLOSS|312-236-1166|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/01/2003|0|1|0|0|0|0
Chicago Regional Office| 126153|801-62153|LAWTON ASSET MANAGEMENT, INC|LAWTON ASSET MANAGEMENT, INC|1014 PONTIAC ROAD||WILMETTE IL 60091-1351|USA|||  ||MARIE LAWTON|847-920-0003|Corporation|Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|06/19/2003|0|2|0|0|0|0
Chicago Regional Office| 126451|801-62065|AG FINANCIAL WEALTH MANAGEMENT SOLUTIONS, LLC|AG FINANCIAL WEALTH MANAGEMENT SOLUTIONS, LLC|3809 SOUTH GREYSTONE COURT||SPRINGFIELD MO 65804|USA|||  ||PATRICK GARBODEN|417-447-4747|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/15/2003|0|0|0|0|0|0
Chicago Regional Office| 126653|801-62003|CAPITAL VIEW WEALTH MANAGEMENT, LLC|CAPITAL VIEW WEALTH MANAGEMENT, LLC|801 GRAND AVENUE|SUITE 3301|DES MOINES IA 50309|USA|||  ||SAMUEL B. O'BRIEN|515-288-5140|Limited Liability Company|Portfolio management for individuals and/or small businesses, Other|APPROVED|05/01/2003|0|0|0|0|0|0
Chicago Regional Office| 126718|801-62027|RESPONSIVE FINANCIAL GROUP, INC.|RESPONSIVE FINANCIAL GROUP, INC.|3601 ALGONQUIN ROAD|SUITE 620|ROLLING MEADOWS IL 60008-3110|USA|||  ||BENJAMIN G. BALDWIN III|847-670-8000|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|05/01/2003|0|0|0|0|0|0
Chicago Regional Office| 126740|801-63534|KULT WEALTH MANAGEMENT GROUP, LLC|KULT WEALTH MANAGEMENT GROUP, LLC|1135 LEGION DRIVE SUITE 201||ELM GROVE WI 53122|USA|||  ||PETER M. KULT|(262) 787-0704|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|09/24/2004|0|0|0|0|0|0
Chicago Regional Office| 126756|801-67725|DENNIS CAPITAL MANAGEMENT, L.L.C.|DENNIS CAPITAL MANAGEMENT, L.L.C.|20 W 9TH STREET||CINCINNATI OH 45202|USA|||  ||DAVID DENNIS|513-241-1000|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|04/09/2007|0|0|0|0|0|0
Chicago Regional Office| 126876|801-67020|INVIEW INVESTMENT MANAGEMENT, LLC|INVIEW INVESTMENT MANAGEMENT, LLC|205 NORTH MICHIGAN AVENUE|SUITE 2550|CHICAGO IL 60601|USA|||  ||GLENN A. KLECZKA|312-630-3475|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|07/14/2006|0|0|0|0|0|0
Chicago Regional Office| 126925|801-62042|PERKINS, WOLF, MCDONNELL AND COMPANY, LLC|PERKINS, WOLF, MCDONNELL AND COMPANY, LLC|311 S. WACKER DRIVE|STE. 6000|CHICAGO IL 60606|USA|||  ||N. TED HANS|312-922-0355|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/01/2003|0|1|0|0|0|0
Chicago Regional Office| 126953|801-62553|DENALI CAPITAL LLC|DENALI CAPITAL LLC|2001 SPRING RD, SUITE 220||OAK BROOK IL 60523|USA|||  ||DAVE DEKKER|630-928-2570|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/23/2004|0|0|0|0|0|0
Chicago Regional Office| 126970|801-66766|FOCUS FINANCIAL PLANNING, LLC|FOCUS FINANCIAL PLANNING, LLC|32100 TELEGRAPH ROAD|SUITE 230|BINGHAM FARMS MI 48025|USA|||  ||WILMA TURNER|248-646-0696|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|07/21/2006|0|0|0|0|1|0
Chicago Regional Office| 126973|801-62045|THE VERNALIS GROUP, LLC|THE VERNALIS GROUP, LLC|2901 OHIO BLVD|SUITE 280|TERRE HAUTE IN 47803|USA|||  ||DONALD B. EDWARDS|812-242-9113|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/15/2003|0|0|0|0|0|0
Chicago Regional Office| 126985|801-62428|GEORGETOWNE FUND MANAGEMENT|GEORGETOWNE FUND MANAGEMENT CORPORATION|345 ROMONA RD.||WILMETTE IL 60091|USA|||  ||PAUL K. HOFFMEISTER|518-221-1978|Corporation|Portfolio management for investment companies|APPROVED|10/28/2003|0|0|0|0|0|0
Chicago Regional Office| 127065|801-62103|HARRIS ALTERNATIVES L.L.C.|HARRIS ALTERNATIVES L.L.C.|227 W. MONROE ST.|60TH FLOOR|CHICAGO IL 60606|USA|||  ||SCOTT M. MONTPAS|312-762-6717|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/24/2003|0|5|0|0|0|0
Chicago Regional Office| 127081|801-66123|BROKERSXPRESS LLC|BROKERSXPRESS LLC|311 MONROE STREET, SUITE 1000||CHICAGO IL 60606|USA|||  ||PHILLIP HOEH|312-267-6490|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/17/2006|0|8|0|0|0|0
Chicago Regional Office| 127132|801-66402|VALEO FINANCIAL ADVISORS, LLC|VALEO FINANCIAL ADVISORS, LLC|630 W CARMEL DR, SUITE 130||CARMEL IN 46032|USA|||  ||JOHN C. TROTT|317-574-3444|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/17/2006|0|0|0|0|0|0
Chicago Regional Office| 127134|801-62187|FOUNDATION WEALTH MANAGEMENT, LLC|FOUNDATION WEALTH MANAGEMENT, LLC|8000 MARYLAND AVENUE|SUITE 620|CLAYTON MO 63105|USA|||  ||MATTHEW S. HARDIN|724-772-1772|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|07/10/2003|0|0|0|0|0|0
Chicago Regional Office| 127158|801-62140|BTC CAPITAL MANAGEMENT|MIDAMERICA INVESTMENT ADVISORY GROUP,INC.|453 7TH STREET||DES MOINES IA 50309-3702|USA|||  ||JOHN LEPLEY|515-245-2459|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|07/01/2003|0|0|0|0|0|0
Chicago Regional Office| 127197|801-62141|INTEGRITY ASSET MANAGEMENT, LLC|INTEGRITY ASSET MANAGEMENT, LLC|401 WEST MAIN STREET|SUITE 2100|LOUISVILLE KY 40202|USA|||  ||MATTHEW G. BEVIN|502-379-6985|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/19/2003|0|0|0|0|0|0
Chicago Regional Office| 127300|801-67468|COLE ASSET MANAGEMENT, LLC & (DBA) TELLUS ASSET MANAGEMENT|COLE PARTNERS ASSET MANAGEMENT, LLC|415 NORTH LASALLE STREET,|SUITE 501|CHICAGO IL 60610|USA|||  ||RIAN AKEY|312-644-4486|Limited Liability Company|Selection of other advisers, Other|APPROVED|01/11/2007|0|0|0|0|0|0
Chicago Regional Office| 127361|801-62155|SOMERSET ASSET MANAGEMENT LLC|SOMERSET ASSET MANAGEMENT LLC|90 SOUTH SEVENTH STREET|SUITE 4300|MINNEAPOLIS MN 55402|USA|||  ||PAMELA K. ZIERMANN|612-376-4021|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/18/2003|0|1|0|0|0|0
Chicago Regional Office| 127364|801-62202|AHC ADVISORS, INC.|AHC ADVISORS, INC.|303 N. SECOND ST.|SUITE 24|ST. CHARLES IL 60174|USA|||  ||CRAIG LARSEN|630-762-8185|Corporation|Financial planning services, Pension consulting services, Selection of other advisers|APPROVED|07/07/2003|0|0|0|0|0|0
Chicago Regional Office| 127379|801-62552|DC FUNDING PARTNERS LLC|DC FUNDING PARTNERS LLC|2001 SPRING ROAD STE 220||OAK BROOK IL 60523|USA|||  ||DAVE DEKKER|630-928-2570|Limited Liability Company|Other|APPROVED|01/02/2004|0|0|0|0|0|0
Chicago Regional Office| 127401|801-63408|STRAIGHTLINE|STRAIGHTLINE GROUP, LLC|165 KIRTS BLVD.|STE 600|TROY MI 48084|USA|||  ||BETHANY W. MOSSHART|248-269-8366|Limited Liability Company|Portfolio management for individuals and/or small businesses, Other|APPROVED|08/11/2004|0|1|0|0|0|0
Chicago Regional Office| 127453|801-67960|SPECTRUM FINANCIAL RESOURCES|SPECTRUM FINANCIAL RESOURCES|1739 WEST BIG BEAVER||TROY MI 48084|USA|||  ||DANIEL T. HOBAN|248-643-0033|Partnership|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|06/13/2007|0|0|0|0|0|0
Chicago Regional Office| 127526|801-62210|ZIMMERMAN WEALTH MANAGEMENT, LLC|ZIMMERMAN WEALTH MANAGEMENT, LLC|1603 ORRINGTON, SUITE 1725||EVANSTON IL 60201|USA|||  ||THOMAS H. ZIMMERMAN|847-556-3200|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/14/2003|0|0|0|0|0|0
Chicago Regional Office| 127558|801-67662|MIKE O'REILLY LLC|MIKE O'REILLY LLC|2 MONARCH TRACE CT. UNIT 101||CHESTERFIELD MO 63017|USA|||  ||MICHAEL E. O'REILLY|636-532-9121|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|03/23/2007|0|0|0|0|0|0
Chicago Regional Office| 127590|801-62384|BLACK RIVER ASSET MANAGEMENT LLC|BLACK RIVER ASSET MANAGEMENT LLC|12700 WHITEWATER DRIVE||MINNETONKA MN 55343|USA|||  ||CARRIE NEIBURG|952-984-3524|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/29/2003|0|0|0|0|0|0
Chicago Regional Office| 127596|801-63802|TOTAL PORTFOLIO MANAGEMENT, LLC|TOTAL PORTFOLIO MANAGEMENT, LLC|1421 SHERMAN AVE., SUITE 101||EVANSTON IL 60201|USA|||  ||MARK F. TOLEDO|847-866-9775|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|01/14/2005|0|0|0|0|0|0
Chicago Regional Office| 127760|801-62258|SILVER MOUNTAIN CAPITAL PARTNERS LLC|SILVER MOUNTAIN CAPITAL PARTNERS LLC|30775 BAINBRIDGE ROAD|210|SOLON OH 44139|USA|||  ||LARRY S. WERBEL|440-519-2500|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/13/2003|0|0|0|0|0|0
Chicago Regional Office| 127880|801-62239|KOVITZ INVESTMENT GROUP, LLC|KOVITZ INVESTMENT GROUP, LLC|115 S. LASALLE ST.|27TH FLOOR|CHICAGO IL 60603|USA|||  ||STEVE HENGST|312-334-7337|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/22/2003|0|1|0|0|0|0
Chicago Regional Office| 127938|801-67108|PHILIP VONGONTARD, CFA, LLC|PHILIP VONGONTARD, CFA, LLC|9909 CLAYTON ROAD|SUITE 210|ST.LOUIS MO 63124-1120|USA|||  ||PHILIP VON GONTARD|314-569-2677|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|08/24/2006|0|0|0|0|0|0
Chicago Regional Office| 127962|801-62450|RLM FINANCIAL|M.R. SPENCER ADVISORY SERVICES L.L.C.|5409 GATEWAY CENTRE|SUITE A|FLINT MI 48507|USA|||  ||MICHAEL SPENCER|810.732.2722|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/27/2003|0|0|0|0|0|0
Chicago Regional Office| 127963|801-62313|PHYSICIAN ADVISORY RESOURCES,LLC|PHYSICIAN ADVISORY RESOURCES,LLC|2501 GALEN DRIVE|P. O. BOX 3669|CHAMPAIGN IL 61826-3669|USA|P. O. BOX 3669||CHAMPAIGN IL 61826-3669|USA|CRIS HEINRICH|217.356.8363|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/11/2003|0|0|0|0|0|0
Chicago Regional Office| 127987|801-63505|ANNEX WEALTH MANAGEMENT, LLC|ANNEX ADVISORY SERVICES, LLC|18650 W. CORPORATED DRIVE|SUITE 300|BROOKFIELD WI 53151|USA|||  ||MARK M. OSWALD|262-786-6363|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters, Other|APPROVED|09/24/2004|0|2|0|0|0|0
Chicago Regional Office| 128044|801-62359|BUSEY CAPITAL MANAGEMENT, INC.|BUSEY CAPITAL MANAGEMENT, INC.|100 WEST UNIVERSITY AVENUE||CHAMPAIGN IL 61820|USA|||  ||SCOTT MACADAM|217-365-4800|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/30/2003|0|0|0|0|0|0
Chicago Regional Office| 128081|801-62323|IBBOTSON ASSOCIATES ADVISORS, LLC|IBBOTSON ASSOCIATES ADVISORS, LLC|225 N. MICHIGAN AVE|SUITE 700|CHICAGO IL 60601-7676|USA|||  ||D. SCOTT SCHILLING|312-696-6168|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|09/17/2003|0|0|0|0|0|0
Chicago Regional Office| 128257|801-62834|COMPREHENSIVE FINANCIAL CONSULTANTS INSTITUTIONAL, INC.|COMPREHENSIVE FINANCIAL CONSULTANTS INSTITUTIONAL, INC.|674 S. COLLEGE AVENUE||BLOOMINGTON IN 47403|USA|||  ||DANIEL HAYS|812-334-3190|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|03/04/2004|0|0|0|0|0|0
Chicago Regional Office| 128276|801-65183|BENWOOD FINANCIAL GROUP|KATHLEEN R. BENJAMIN|7529 STATE ROAD|SUITE C|CINCINNATI OH 45255|USA|||  ||KATHLEEN R. BENJAMIN|513-232-7078|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|01/31/2006|0|0|0|0|0|0
Chicago Regional Office| 128314|801-62666|TRADITION WEALTH MANAGEMENT LLC|TRADITION WEALTH MANAGEMENT LLC|6800 FRANCE AVENUE SOUTH|SUITE 310|EDINA MN 55435|USA|||  ||CHRISTINE SORENSEN|952-252-4692|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|01/30/2004|0|0|0|0|0|0
Chicago Regional Office| 128322|801-66997|MORGAN KENWOOD ADVISORS, LLC|MORGAN KENWOOD ADVISORS, LLC|5130 WEST LOOMIS ROAD||GREENDALE WI 53129-1424|USA|||  ||LEE ROY BARCZAK|414-423-4020|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|07/14/2006|0|0|0|0|0|0
Chicago Regional Office| 128340|801-69030|ROYAL ASSET MANAGERS|ROYAL ASSET MANAGERS, LLC|1576 N. 5TH AVENUE||ST. CHARLES IL 60174|USA|||  ||MICHAEL ALEXENKO|630-587-1250|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|04/28/2008|0|0|0|0|0|0
Chicago Regional Office| 128450|801-62371|CHANNING CAPITAL MANAGEMENT, LLC|CHANNING CAPITAL MANAGEMENT, LLC|10 SOUTH LASALLE STREET|SUITE 2650|CHICAGO IL 60603|USA|||  ||ERIC MCKISSACK|312-223-0211|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/26/2003|0|0|0|0|0|0
Chicago Regional Office| 128606|801-67854|KFG WEALTH MANAGEMENT, LLC|KFG WEALTH MANAGEMENT, LLC|6910 NORTH MAIN STREET|BUILDING 16, UNIT 41|GRANGER IN 46530-8855|USA|||  ||MICHAEL BERNARD|574-247-5898|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|04/27/2007|0|0|0|0|0|0
Chicago Regional Office| 128719|801-62423|ALPHA PARTNERS, LLC|ALPHA PARTNERS, LLC|600 WEST LAFAYETTE, SUITE 108||DETROIT MI 48226|USA|||  ||NAPOLEON B. RODGERS|313-963-4911|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/06/2003|1|0|0|0|0|0
Chicago Regional Office| 128876|801-62497|THE PRIVATE INVESTMENT GROUP, INC.|THE PRIVATE INVESTMENT GROUP, INC.|1065 E CENTERVILLE STATION RD||CENTERVILLE OH 45459|USA|||  ||JACK R. BOWMAN|937-434-0500|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Financial planning services|APPROVED|11/07/2003|0|0|1|0|0|0
Chicago Regional Office| 128974|801-62446|RUNNYMEDE CAPITAL ADVISORS, INC.|RUNNYMEDE CAPITAL ADVISORS, INC.|8219 TILLINGHAST DRIVE||DUBLIN OH 43017|USA|||  ||JAMES T. ARNOLD|614-799-9120|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|10/23/2003|0|0|0|0|0|0
Chicago Regional Office| 129024|801-62592|NANTUCKET MULTI MANAGERS, LLC|NANTUCKET MULTI MANAGERS, LLC|40950 WOODWARD- STE 307||BLOOMFIELD HILLS MI 48304|USA|||  ||ELIZABETH A GREENSTONE|248-723-9286|Limited Liability Company|Other|APPROVED|01/02/2004|0|1|0|0|0|0
Chicago Regional Office| 129067|801-64017|J.W. COONS ADVISORS, LLC|J.W. COONS ADVISORS, LLC|1151 BETHEL ROAD, SUITE 204-B||COLUMBUS OH 43220|USA|||  ||JAMES W. COONS|614-459-4001|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters, Other|APPROVED|03/15/2005|0|0|0|0|0|0
Chicago Regional Office| 129113|801-68134|CSA FINANCIAL ADVISORS, LTD.|CSA FINANCIAL ADVISORS, LTD.|4705 LAKE FOREST DRIVE||CINCINNATI OH 45242|USA|||  ||MICHAEL W. CLARK|(513) 483-6655|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/16/2007|0|0|0|0|0|0
Chicago Regional Office| 129273|801-62508|LANDMARK CAPITAL MANAGEMENT, INC|LANDMARK CAPITAL MANAGEMENT, INC|9435 WATERSTONE BLVD|S-140|CINCINNATI OH 45249|USA|||  ||WILLIAM P. KOVACS|630-231-5465|Corporation|Portfolio management for investment companies|APPROVED|11/21/2003|0|0|0|0|0|0
Chicago Regional Office| 129288|801-62515|CLAYMORE ADVISORS, LLC|CLAYMORE ADVISORS, LLC|2455 CORPORATE WEST DRIVE||LISLE IL 60532|USA|||  ||ANNE STEELE KOCHEVAR|630-505-3743|Limited Liability Company|Portfolio management for investment companies, Selection of other advisers|APPROVED|11/17/2003|0|0|0|0|0|0
Chicago Regional Office| 129342|801-66375|CHESME CAPITAL MANAGEMENT|CHESME INC|124 N BRIDGE ST||DEWITT MI 48820|USA|PO BOX 547||DEWITT MI 48820|USA|CHARLES H EMBS|517-669-1600|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|03/09/2006|0|0|0|0|0|0
Chicago Regional Office| 129398|801-67455|SIMS CAPITAL MANAGEMENT LLC|SIMS CAPITAL MANAGEMENT LLC|205 E. WISCONSIN AVE.|SUITE 120|MILWAUKEE WI 53202|USA|||  ||DAVID C. SIMS|(414) 765-1107|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/12/2007|0|0|0|0|0|0
Chicago Regional Office| 129419|801-62645|BNR PARTNERS, LLC|BNR PARTNERS, LLC|20 NORTH WACKER DRIVE|STE 1300|CHICAGO IL 60606|USA|||  ||WILLIAM E. RICHARDS|312-338-7788|Limited Liability Company|Financial planning services, Selection of other advisers, Other|APPROVED|01/02/2004|0|0|0|0|0|0
Chicago Regional Office| 129435|801-62582|LANDMARK FINANCIAL ADVISORS, LLC|LANDMARK FINANCIAL ADVISORS, LLC|911 COLLEGE STREET|SUITE 301|BOWLING GREEN KY 42101|USA|||  ||BRENT MASON|270-782-9222|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/02/2004|1|2|2|0|0|0
Chicago Regional Office| 129609|801-62562|THOMPSON INVESTMENT MANAGEMENT, INC.|THOMPSON INVESTMENT MANAGEMENT, INC.|1200 JOHN Q. HAMMONS DRIVE,|5TH FLOOR|MADISON WI 53717|USA|||  ||NEDRA S. PIERCE|(608)827-5700|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/05/2003|0|0|0|0|0|0
Chicago Regional Office| 129679|801-62586|DEAN FINANCIAL SERVICES|DEAN FINANCIAL SERVICES, LLC|2200 KETTERING TOWER||DAYTON OH 45423|USA|||  ||DEBRA E. RINDLER|937-222-9531|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|01/02/2004|0|3|0|0|0|0
Chicago Regional Office| 129717|801-69348|RHR WEALTH MANAGEMENT, LLC|RHR WEALTH MANAGMENT, LLC|3818 OAKTON STREET||SKOKIE IL 60076|USA|||  ||EDWARD GILDENBERG|847-324-5730|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|07/02/2008|0|0|0|0|0|0
Chicago Regional Office| 129817|801-69369|SFC FINANCIAL LLC|SFC FINANCIAL LLC|3890 S. LINDBERGH BLVD|STE 210|ST. LOUIS MO 63127|USA|||  ||KENNETH A. COPLEN|314-842-2001|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/08/2008|0|0|0|0|0|0
Chicago Regional Office| 129947|801-63005|COGHILL CAPITAL MANAGEMENT, L.L.C.|COGHILL CAPITAL MANAGEMENT, L.L.C.|ONE NORTH WACKER DRIVE|SUITE 4350|CHICAGO IL 60606|USA|||  ||JAMES P. SCHULER|(312) 324-2011|Limited Liability Company|Other|APPROVED|04/09/2004|0|0|0|0|0|0
Chicago Regional Office| 129963|801-62669|MINNEAPOLIS PORTFOLIO MANAGEMENT GROUP, LLC|MINNEAPOLIS PORTFOLIO MANAGEMENT GROUP, LLC|80 SOUTH 8TH STREET|SUITE 1902|MINNEAPOLIS MN 55402|USA|||  ||HARRISON TODD GRODNICK|(612) 334-2000|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/14/2004|0|0|0|0|0|0
Chicago Regional Office| 129990|801-62939|CONTEGO CAPITAL PARTNERS, LLC|CONTEGO CAPITAL PARTNERS, LLC|321 NORTH CLARK STREET|SUITE 825|CHICAGO IL 60610|USA|||  ||DAVID F. SCHINK|312-376-1007|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|04/08/2004|0|0|0|0|0|0
Chicago Regional Office| 130093|801-63268|MICHAEL BRADY & CO., LLC|MICHAEL BRADY & CO., LLC|25586 BAGLEY ROAD|SUITE 2|OLMSTED FALLS OH 44138|USA|POST OFFICE BOX 308||OLMSTED FALLS OH 44138-0308|USA|MICHAEL C. BRADY|440-235-2100|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|06/29/2004|0|0|0|0|0|0
Chicago Regional Office| 130132|801-62729|NORTH SHORE PRIVATE ASSET MANAGEMENT, LLC|NORTH SHORE PRIVATE ASSET MANAGEMENT, LLC|659 E. GREEN BRIAR LN||LAKE FOREST IL 60045|USA|||  ||DAVID H. MELSHEIMER|847-615-1492|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|01/30/2004|0|0|0|0|0|0
Chicago Regional Office| 130154|801-66134|THE MUTUAL FUND STORE|SCHIEBER FINANCIAL GROUP, LLC|9402 TOWNE SQUARE AVE.|SUITE D|BLUE ASH OH 45242|USA|||  ||SHAWN D. KELLER|513-985-0100|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/01/2006|0|0|0|0|0|0
Chicago Regional Office| 130198|801-62718|ORG PORTFOLIO MANAGEMENT LLC|ORG PORTFOLIO MANAGEMENT LLC|3733 PARK EAST DRIVE|SUITE 210|BEACHWOOD OH 44122|USA|||  ||BARBARA MCDOWELL|216-468-0055|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|02/20/2004|0|0|0|0|0|0
Chicago Regional Office| 130239|801-67477|TWELE CAPITAL MANAGEMENT, INC.|TWELE CAPITAL MANAGEMENT, INC.|12567 JORISSEN RD||MINNETONKA MN 55343|USA|P.O. BOX 4209||HOPKINS MN 55343|USA|JOHN A. TWELE|952 250 1187|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/19/2007|0|0|0|0|0|0
Chicago Regional Office| 130372|801-62765|MCF ADVISORS, LLC|MCF ADVISORS, LLC|50 E. RIVERCENTER BLVD.,|SUITE 300|COVINGTON KY 41011|USA|||  ||ANDREW STOUT|859-392-8609|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|02/06/2004|0|0|0|0|0|0
Chicago Regional Office| 130405|801-67226|SUMMIT INVESTMENT GUIDANCE PARTNERS LLC|SUMMIT INVESTMENT GUIDANCE PARTNERS, LLC|826 PARCHMENT DRIVE SE SUITE 205||GRAND RAPIDS MI 49546|USA|||  ||SCOTT MICHAEL PRUSKI|616-954-2501|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|11/09/2006|0|0|0|0|0|0
Chicago Regional Office| 130487|801-69252|PINES WEALTH MANAGEMENT, LLC|PINES WEALTH MANAGEMENT, LLC|11475 OLDE CABIN ROAD|SUITE 220|ST.LOUIS MO 63141-7129|USA|||  ||CLIFFORD VAN ITTERSUM|314-576-6767|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|06/24/2008|0|1|0|0|0|0
Chicago Regional Office| 130516|801-67598|MARCUS CAPITAL, LLC|MARCUS CAPITAL, LLC|225 WEST WASHINGTON STREET,|SUITE 2200|CHICAGO IL 60606|USA|||  ||DANIEL MARCUS|312-924-0262|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/02/2007|0|0|0|0|0|0
Chicago Regional Office| 130544|801-62824|SERIOUS STEWARDSHIP, LLC|SERIOUS STEWARDSHIP, LLC|181 EAST WESTMINSTER ROAD||LAKE FOREST IL 60045|USA|||  ||A. ANDREW MARWEDE|847-234-0808|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|03/01/2004|0|0|0|0|0|0
Chicago Regional Office| 130558|801-69054|MAIN STREET INVESTMENT MANAGEMENT, LLC|MAIN STREET INVESTMENT MANAGEMENT, LLC|34 SOUTH MAIN STREET||CHAGRIN FALLS OH 44022|USA|||  ||DOUGLAS J. BUTLER|440-247-8700|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/21/2008|0|0|0|0|0|0
Chicago Regional Office| 130595|801-62921|FAMILY WEALTH ADVISORY GROUP, LLC|FAMILY WEALTH ADVISORY GROUP, LLC|7359 EAST KEMPER ROAD|SUITE A|CINCINNATI OH 45249|USA|||  ||ROBERT J GROSSHEIM|513-469-8100|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|03/23/2004|0|0|0|0|0|0
Chicago Regional Office| 130687|801-62841|FRANCIS INVESTMENT COUNSEL LLC|FRANCIS INVESTMENT COUNSEL LLC|21180 W. CAPITOL DRIVE||PEWAUKEE WI 53072|USA|||  ||MICHAEL J. FRANCIS|262-781-8950|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|03/12/2004|0|0|0|0|0|0
Chicago Regional Office| 130717|801-63082|NFI ADVISORS, INC|NFI ADVISORS, INC|26211 CENTRAL PARK BOULEVARD|SUITE 310|SOUTHFIELD MI 48076-4113|USA|||  ||THOMAS P. NORRIS|248-350-8899|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|05/21/2004|0|0|0|0|0|0
Chicago Regional Office| 130732|801-62881|TECHNICAL MANAGEMENT ASSOCIATES, LTD.|TECHNICAL MANAGEMENT ASSOCIATES, LTD.|5295 WILLISTON RD||MINNETONKA MN 55345|USA|||  ||GREGG A. HAPPE|(952) 938-7495|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|04/09/2004|0|0|0|0|0|0
Chicago Regional Office| 130781|801-63065|OAKLAND WEALTH MANAGEMENT, INC.|OAKLAND WEALTH MANAGEMENT, INC.|24800 DENSO DRIVE|SUITE 260|SOUTHFIELD MI 48033|USA|||  ||NATHAN M. MERSEREAU|800-914-3610|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|04/29/2004|0|0|0|0|0|0
Chicago Regional Office| 130801|801-63654|THE MUTUAL FUND STORE|TMFS CHICAGO INC|237 SKOKIE BLVD||NORTHBROOK IL 60062|USA|||  ||BRIAN JENSEN|847-498-3636|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/19/2004|0|0|0|0|0|0
Chicago Regional Office| 130874|801-62992|MADISON ASSET MANAGEMENT|MADISON ASSET MANAGEMENT, LLC|550 SCIENCE DRIVE||MADISON WI 53711|USA|||  ||RICHARD MASON|480-443-9537|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies|APPROVED|04/27/2004|0|0|0|0|0|0
Chicago Regional Office| 130919|801-67415|RAMIAH INVESTMENT GROUP|RAMIAH INVESTMENT GROUP, INC.|675 N.BARKER ROAD, SUITE #200||BROOKFIELD WI 53045|USA|||  ||LETHA JOSEPH|262-784-7205|Other (specify)|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/03/2007|0|0|0|0|0|0
Chicago Regional Office| 130985|801-63149|RICHARDSON CAPITAL MANAGEMENT, LLC|RICHARDSON CAPITAL MANAGEMENT, LLC|W134 N8688 EXECUTIVE PARKWAY||MENOMONEE FALLS WI 53051|USA|PO BOX 535||MENOMONEE FALLS WI 53052|USA|SCOTT RICHARDSON|262-255-4100|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|05/18/2004|0|0|0|0|0|0
Chicago Regional Office| 131236|801-67126|HAVERDINK FINANCIAL MANAGEMENT, LLC|HAVERDINK FINANCIAL MANAGEMENT, LLC|440 W. CENTRE AVENUE|SUITE 2|PORTAGE MI 49024-5373|USA|||  ||KEVIN HAVERDINK|269-321-5070|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|09/21/2006|0|0|0|0|0|0
Chicago Regional Office| 131314|801-65059|THE CITRIN GROUP, LLC|THE CITRIN GROUP, LLC|29200 SOUTHFIELD ROAD|SUITE 201A|SOUTHFIELD MI 48076|USA|||  ||JONATHAN CITRIN|248 569 1100|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/30/2006|0|0|0|0|0|0
Chicago Regional Office| 131344|801-63343|PHILLIPS FINANCIAL|PHILLIPS FINANCIAL MANAGEMENT, LLC|6920 POINTE INVERNESS WAY|SUITE 230|FORT WAYNE IN 46804|USA|||  ||JEANINE M. HEROLD|260-420-7732|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|07/23/2004|0|0|0|0|0|0
Chicago Regional Office| 131394|801-63066|CORTINA ASSET MANAGEMENT, LLC|CORTINA ASSET MANAGEMENT, LLC|330 E. KILBOURN|SUITE 850|MILWAUKEE WI 53202|USA|||  ||LORI K. HOCH|(414) 225-7365|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/12/2004|0|1|0|0|0|0
Chicago Regional Office| 131396|801-66923|LIFE PLAN FINANCIAL ADVISORY GROUP, LLC|LIFEPLAN FINANCIAL ADVISORY GROUP, LLC|725 BARCLAY CIRCLE|SUITE 245|ROCHESTER HILLS MI 48307|USA|||  ||KEITH A. BARR|248-299-4300|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|06/30/2006|0|0|0|0|0|0
Chicago Regional Office| 131501|801-67689|CEDARWINDS INVESTMENT MANAGEMENT, LLC|CEDARWINDS INVESTMENT MANAGEMENT, LLC|4650 N. PORT WASHINGTON ROAD||MILWAUKEE WI 53212|USA|||  ||GEOFFREY G. MACLAY, JR.|414-431-7390|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|03/26/2007|0|0|0|0|0|0
Chicago Regional Office| 131580|801-63914|TELEMUS INVESTMENT MANAGEMENT, LLC|TELEMUS INVESTMENT MANAGEMENT, LLC|TWO TOWNE SQUARE|SUITE 800|SOUTHFIELD MI 48076|USA|||  ||STEVEN J. GREENWALD|248-827-1800|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|02/03/2005|0|0|0|0|0|0
Chicago Regional Office| 131636|801-63577|RELATIVE VALUE PARTNERS, LLC|RELATIVE VALUE PARTNERS, LLC|1033 SKOKIE BLVD.|SUITE 470|NORTHBROOK IL 60062|USA|||  ||MAURY L. FERTIG|847-513-6300|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/22/2004|0|0|0|0|0|0
Chicago Regional Office| 131668|801-63189|POEHLING CAPITAL MANAGEMENT, INC.|POEHLING CAPITAL MANAGEMENT, INC.|525 JUNCTION ROAD|SUITE 8900|MADISON WI 53717|USA|||  ||THOMAS R. POEHLING|(608) 664-9600|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|05/27/2004|0|0|0|0|0|0
Chicago Regional Office| 131672|801-66394|THE MUTUAL FUND STORE - GRAND RAPIDS|TMFS-GRAND RAPIDS, LLC|1200 EAST PARIS|# 7|GRAND RAPIDS MI 49546|USA|||  ||JOSEPH WHITMER|616-949-5959|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/16/2006|0|0|0|0|0|0
Chicago Regional Office| 131745|801-66483|HERITAGE WEALTH MANAGEMENT, INC.|HERITAGE WEALTH MANAGEMENT, INC.|11206 FALL CREEK ROAD||INDIANAPOLIS IN 46256|USA|||  ||MARCUS JAMES SCHRENKER|317-577-7861|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|05/04/2006|0|1|0|0|0|0
Chicago Regional Office| 131762|801-63455|QA INVESTMENT SERVICES, LLC|QA INVESTMENT SERVICES, LLC|10225 YELLOW CIRCLE DRIVE|SUITE 101|MINNETONKA MN 55343|USA|||  ||ROBERT W. RODDY|952-767-8007|Limited Liability Company|Selection of other advisers, Other|APPROVED|09/10/2004|0|0|0|0|0|0
Chicago Regional Office| 131802|801-64437|BLUE PRAIRIE GROUP,LLC|BLUE PRAIRIE GROUP,LLC|140 S. DEARBORN STREET|SUITE 300|CHICAGO IL 60603|USA|||  ||MATTHEW GNABASIK|312-376-8435|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|07/14/2005|0|0|0|0|0|0
Chicago Regional Office| 131804|801-63242|R.T. JONES CAPITAL EQUITIES MANAGEMENT INC.|R.T. JONES CAPITAL EQUITIES MANAGEMENT INC.|8151 CLAYTON ROAD, 2ND FLOOR||ST. LOUIS MO 63117|USA|||  ||JANE DAVIDSON|314-783-5000|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|07/09/2004|0|1|0|0|0|0
Chicago Regional Office| 131958|801-63448|VARDE MANAGEMENT INTERNATIONAL, L.P.|VARDE MANAGEMENT INTERNATIONAL, L.P.|8500 NORMANDALE LAKE BLVD|SUITE 1570|MINNEAPOLIS MN 55437-3813|USA|||  ||CHRISTINA M. PESCHONG|952-646-2752|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/19/2004|0|0|0|0|0|0
Chicago Regional Office| 132006|801-67723|NORTHLAKE CAPITAL MANAGEMENT, LLC|NORTHLAKE CAPITAL MANAGEMENT, LLC|460 WINNETKA AVENUE, SUITE 19||WINNETKA IL 60093|USA|460 WINNETKA AVENUE SUITE 19||WINNETKA IL 60093|USA|STEVEN BIRENBERG|847-226-9713|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|04/04/2007|0|0|0|0|0|0
Chicago Regional Office| 132043|801-64939|PREMIER FINANCIAL PARTNERS, LLC|PREMIER FINANCIAL PARTNERS, LLC|12655 OLIVE BLVD.|SUITE 300|ST. LOUIS MO 63141-6343|USA|||  ||RONALD L. MARTIN, JR.|(314) 576-1166, EXT. 267|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|11/25/2005|0|0|0|0|0|0
Chicago Regional Office| 132046|801-63304|WAYZATA INVESTMENT PARTNERS LLC|WAYZATA INVESTMENT PARTNERS LLC|701 EAST LAKE STREET|SUITE 300|WAYZATA MN 55391|USA|||  ||MARY I. BURNS|952-345-0711|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/31/2004|0|0|1|0|0|0
Chicago Regional Office| 132058|801-66180|CRANBROOK WEALTH MANAGEMENT, LLC|CRANBROOK WEALTH MANAGEMENT, LLC|901 WILSHIRE DRIVE|SUITE 320|TROY MI 48084|USA|||  ||KATHI A. BARTLEY|248-362-0900|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|02/15/2006|0|0|0|0|0|0
Chicago Regional Office| 132073|801-69275|MULLER & MONROE ASSET MANAGEMENT,LLC|MULLER & MONROE ASSET MANAGEMENT,LLC|180 N. STETSON AVENUE|SUITE 1320|CHICAGO IL 60601-6820|USA|||  ||SHANNON L. WARLAND|312-782-1072|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/03/2008|0|0|0|0|0|0
Chicago Regional Office| 132137|801-63306|GRAND WEALTH MANAGEMENT, LLC|GRAND WEALTH MANAGEMENT, LLC|200 OTTAWA AVENUE NW|SUITE 401|GRAND RAPIDS MI 49503-2411|USA|||  ||JEFFREY S. WILLIAMS|616-451-4228|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|07/15/2004|0|0|0|0|0|0
Chicago Regional Office| 132150|801-63928|JERRMAR CAPITAL MANAGEMENT, INC.|JERRMAR CAPITAL MANAGEMENT, INC.|755 WEST BIG BEAVER ROAD|SUITE 117|TROY MI 48084|USA|||  ||GERALD R. DEHONDT|248-269-9222|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|02/17/2005|0|0|0|0|0|0
Chicago Regional Office| 132237|801-63353|STILLWATER INVESTMENT MANAGEMENT, LLC|STILLWATER INVESTMENT MANAGEMENT, LLC|226 EAST MYRTLE STREET||STILLWATER MN 55082|USA|||  ||DANA J. TONREY|651-275-9378|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/21/2004|0|0|0|0|0|0
Chicago Regional Office| 132274|801-69127|TIMPE & TIMPE FINANCIAL ADVISORY SERVICES, L.L.C.|TIMPE & TIMPE FINANCIAL ADVISORY SERVICES, L.L.C.|4212 WEST 71ST STREET|SUITE C|INDIANAPOLIS IN 46268|USA|||  ||ARTHUR TIMPE III|317.217.1660|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|05/02/2008|0|0|0|0|0|0
Chicago Regional Office| 132307|801-64161|CLEVELAND HAUSWIRTH INVESTMENT MANAGEMENT, INC.|CLEVELAND HAUSWIRTH INVESTMENT MANAGEMENT, INC.|13555 BISHOP'S COURT|SUITE 120|BROOKFIELD WI 53005|USA|||  ||NANCY D CLEVELAND|262-432-0430|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/01/2005|0|0|0|0|0|0
Chicago Regional Office| 132308|801-63374|AZIMUTH CAPITAL MANAGEMENT LLC|AZIMUTH CAPITAL MANAGEMENT LLC|200 EAST LONG LAKE ROAD|SUITE 160|BLOOMFIELD HILLS MI 48304|USA|||  ||JANET M. HEWLETT|(248)433-4000|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|09/03/2004|0|0|0|0|0|0
Chicago Regional Office| 132362|801-63440|CHELSEA ADVISORS, LLC|CHELSEA ADVISORS, LLC|223 W. JACKSON BLVD|SUITE 850|CHICAGO IL 60606-5912|USA|||  ||CRAIG D. STEPNICKA|(312)463-1306|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|08/20/2004|0|0|0|0|0|0
Chicago Regional Office| 132389|801-65911|GRYPHON ADVISORS, LLC|GRYPHON ADVISORS, LLC|1578 SHERMAN AVENUE||EVANSTON IL 60201|USA|||  ||D. DOUGLAS CLOSE|847-424-0465|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|02/17/2006|0|2|0|0|0|0
Chicago Regional Office| 132416|801-67954|BOYLE CAPITAL|BOYLE CAPITAL MANAGEMENT, LLC|13001 UNIVERSITY AVENUE||CLIVE IA 50235|USA|||  ||BRIAN F. BOYLE|515-327-1870|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/21/2007|0|0|0|0|0|0
Chicago Regional Office| 132437|801-64705|STEINBERG PLANNING AND INVESTMENT MANAGEMENT, LTD.|STEINBERG PLANNING AND INVESTMENT MANAGEMENT, LTD.|37525 ENTERPRISE COURT||FARMINGTON HILLS MI 48331|USA|||  ||ROBERT K. STEINBERG|248-848-1111|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|09/30/2005|0|0|0|0|0|0
Chicago Regional Office| 132451|801-64810|TACTICAL ALLOCATION GROUP, LLC|TACTICAL ALLOCATION GROUP, LLC|600 SOUTH ADAMS ROAD|SUITE 100|BIRMINGHAM MI 48009-9837|USA|||  ||WAYNE G. HOLBROOK|248-283-2520|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/24/2005|0|0|0|0|0|0
Chicago Regional Office| 132456|801-67505|INTELLINOMICS|INTELLINOMICS, INC.|8087 WASHINGTON VILLAGE DR.|SUITE 110|DAYTON OH 45458|USA|||  ||PAUL MCCOLLUM|937-435-7070|Corporation|Other|APPROVED|01/23/2007|0|0|0|0|0|0
Chicago Regional Office| 132646|801-68109|TORRENS CAPITAL MANAGEMENT, LLC|TORRENS CAPITAL MANAGEMENT, LLC|66 SOUTH MILLER ROAD|SUITE 202|FAIRLAWN OH 44333-4179|USA|||  ||JONATHAN D. TORRENS|330.836.7000|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|07/02/2007|0|0|0|0|0|0
Chicago Regional Office| 132698|801-63569|WELLSPRING CAPITAL ADVISORS, LLC|WELLSPRING CAPITAL ADVISORS, LLC|333 WEST WACKER DRIVE|SUITE 850|CHICAGO IL 60606-1248|USA|||  ||MR. JOHN A. PHILOSOPHOS|(312) 346-6856|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|10/08/2004|0|0|0|0|0|0
Chicago Regional Office| 132762|801-63532|DEVELOPMENTS 2000, INC.|DEVELOPMENTS 2000, INC.|1674 TEMPO LANE||ARNOLD MO 63010-1110|USA|||  ||SCOTT C GOWAN|636-287-6833|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|09/24/2004|0|0|0|0|0|0
Chicago Regional Office| 132784|801-63604|LENANDER FINANCIAL ADVISORY, INC.|LENANDER FINANCIAL ADVISORY, INC.|6640 LYNDALE AVENUE SOUTH|SUITE 130|RICHFIELD MN 55423-2312|USA|||  ||LEANN LENANDER|612-877-3177|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|12/14/2004|0|0|0|0|0|0
Chicago Regional Office| 132818|801-63546|LENOX WEALTH MANAGEMENT, INC.|LENOX WEALTH MANAGEMENT, INC.|8044 MONTGOMERY ROAD|SUITE 480|CINCINNATI OH 45236|USA|||  ||GAIL WAHAM|513 618-7080|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|09/29/2004|0|0|0|0|0|0
Chicago Regional Office| 132824|801-69108|DEVENIR INVESTMENT ADVISORS, LLC|DEVENIR INVESTMENT ADVISORS, LLC|7701 FRANCE AVENUE SOUTH|SUITE 670|MINNEAPOLIS MN 55435|USA|||  ||ERIC REMJESKE|952-345-0300|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/22/2008|0|0|0|0|0|0
Chicago Regional Office| 133003|801-63590|KMI REALTY ADVISORS|KITE REALTY ADVISORS, LLC|30 SOUTH MERIDIAN STREET, SUITE 200||INDIANAPOLIS IN 46204|USA|||  ||THOMAS R. OLINGER|317-713-5686|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|08/16/2004|0|1|0|0|0|0
Chicago Regional Office| 133116|801-63671|BAIRD ASIA PARTNERS MANAGEMENT COMPANY I, L.L.C.|BAIRD ASIA PARTNERS MANAGEMENT COMPANY I, L.L.C.|777 E. WISCONSIN AVENUE||MILWAUKEE WI 53202|USA|||  ||PAUL L. SCHULTZ|414-298-2655|Limited Liability Company|Other|APPROVED|01/03/2005|0|5|0|0|0|0
Chicago Regional Office| 133127|801-63877|MDH INVESTMENT MANAGEMENT, INC.|MDH INVESTMENT MANAGEMENT, INC.|1216 FORSYTH PLACE||EAST LIVERPOOL OH 43920|USA|||  ||MARC D. HOFFRICHTER|330.386.4452|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/22/2004|0|0|0|0|0|0
Chicago Regional Office| 133157|801-63583|STAIRWAY PARTNERS, LLC|STAIRWAY PARTNERS, LLC|2215 YORK ROAD,  SUITE 515||OAK BROOK IL 60523|USA|||  ||KEVIN TERHAAR|630-371-2626|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/29/2004|0|0|0|0|0|0
Chicago Regional Office| 133194|801-64124|INVESTAMERICA NW MANAGEMENT, INC.|INVESTAMERICA NW MANAGEMENT, INC.|101 2ND STREET SE, SUITE 800||CEDAR RAPIDS IA 52401|USA|||  ||ROBERT A. COMEY|319-363-8249|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/15/2005|0|0|0|0|0|0
Chicago Regional Office| 133217|801-63609|QIS ADVISORS LLC|QIS ADVISORS LLC|1500 W. MARKET STREET|SUITE 225|MEQUON WI 53092|USA|||  ||DAVID W. SCHULZ|(262) 240-0117|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|11/02/2004|0|0|0|0|0|0
Chicago Regional Office| 133357|801-63719|PROMANAGE, LLC|PROMANAGE, LLC|55 W. MONROE|SUITE 690|CHICAGO IL 60603-5150|USA|||  ||CARL L. LONDE|312-456-0665 (X224)|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|12/13/2004|0|0|0|0|0|0
Chicago Regional Office| 133358|801-63747|QUESTAR ASSET MANAGEMENT, INC.|QUESTAR ASSET MANAGEMENT, INC.|5701 GOLDEN HILLS DRIVE||MINNEAPOLIS MN 55416|USA|||  ||THADDEUS INGERSOLL III|763-765-5672|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|12/15/2004|0|39|0|0|0|0
Chicago Regional Office| 133363|801-69397|ILLINOIS PRIVATE EQUITY FUND-OF-FUNDS G.P., LLC|ILLINOIS PRIVATE EQUITY FUND-OF-FUNDS G.P., LLC|180 N. STETSON AVENUE|SUITE 1320|CHICAGO IL 60601-6820|USA|||  ||SHANNON L. WARLAND|312 782 7771|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/16/2008|0|0|0|0|0|0
Chicago Regional Office| 133400|801-63683|WOODLEY FARRA FUND ANALYTICS, INC.|WOODLEY FARRA FUND ANALYTICS, INC.|ONE INDIANA SQUARE|SUITE 2254|INDIANAPOLIS IN 46204|USA|||  ||MICHAEL P. MANION|317-269-0224|Corporation|Pension consulting services|APPROVED|11/19/2004|0|0|0|0|0|0
Chicago Regional Office| 133408|801-63702|ATLAS BROWN INVESTMENT ADVISORS, INC.|ATLAS BROWN, INC.|333 EAST MAIN SREET|SUITE 400|LOUISVILLE KY 40202|USA|||  ||TROY Y. BRAUN|502-271-2900|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters, Other|APPROVED|12/08/2004|0|0|0|0|0|0
Chicago Regional Office| 133427|801-66959|VALOR REALTY ADVISORS, LLC|VALOR REALTY ADVISORS, LLC|20 SOUTH CLARK STREET|SUITE 3000|CHICAGO IL 60603-1887|USA|||  ||ALPHONSE GONZALES|312-629-3435|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|07/18/2006|0|2|0|0|0|0
Chicago Regional Office| 133488|801-63696|BOWLING PORTFOLIO MANAGEMENT LLC|BOWLING PORTFOLIO MANAGEMENT LLC|4030 SMITH ROAD|SUITE 140|CINCINNATI OH 45209|USA|||  ||KATHLEEN WAYNER|513-871-7776|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/23/2004|0|0|0|0|0|0
Chicago Regional Office| 133519|801-63709|NEW CAPITAL MANAGEMENT, LLC|NEW CAPITAL MANAGEMENT, LLC|646 N. EUCLID AVENUE||OAK PARK IL 60302|USA|||  ||NICHOLAS MANSOUR|708-848-7784|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/02/2004|0|0|0|0|0|0
Chicago Regional Office| 133550|801-64078|EVERGREEN INVESTMENT ADVISORS|EVERGREEN INVESTMENT ADVISORS LLC|ONE NORTH WACKER DRIVE, 9TH FLOOR||CHICAGO IL 60606|USA|||  ||C. ROBERT HEATON|312-499-8550|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/07/2005|0|4|0|0|0|0
Chicago Regional Office| 133603|801-63755|RICK DERCKS, SOLE PROPRIETOR|RICK DERCKS, SOLE PROPRIETOR|N2317 MEADOW CREEK COURT||KAUKAUNA WI 54130|USA|||  ||RICK DERCKS|920-915-3339|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|01/27/2005|0|0|0|0|0|0
Chicago Regional Office| 133720|801-65336|PINE RIVER CAPITAL MANAGEMENT L.P.|PINE RIVER CAPITAL MANAGEMENT L.P.|601 CARLSON PARKWAY|SUITE 330|MINNETONKA MN 55305|USA|||  ||NATALIE ABBOTT|612-238-3340|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/19/2006|0|0|0|0|0|0
Chicago Regional Office| 133814|801-64077|GENERAL WELFARE GROUP LLC|GENERAL WELFARE GROUP LLC|611 ENTERPRISE DRIVE||OAK BROOK IL 60523|USA|||  ||WILLIAM BENSON|(630) 573-8700|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/29/2005|0|0|0|0|0|0
Chicago Regional Office| 133877|801-63837|FGMK/PRESERVATON CAPITAL PARTNERS, LLC|FGMK/PRESERVATON CAPITAL PARTNERS, LLC|2801 LAKESIDE DRIVE|THIRD FLOOR|BANNOCKBURN IL 60015|USA|||  ||RANDAL L. GOLDEN|847-964-5147|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|02/07/2005|0|0|0|0|0|0
Chicago Regional Office| 133898|801-63924|PROVIDENT CAPITAL MANAGEMENT INC|PROVIDENT CAPITAL MANAGEMENT INC|11595 N. MERIDIAN ST|SUITE 140|CARMEL IN 46032|USA|||  ||MICHAEL J. CHAPMAN|317-705-1999|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Market timing services|APPROVED|03/14/2005|0|0|0|0|0|0
Chicago Regional Office| 133959|801-63853|PIPER JAFFRAY PRIVATE CAPITAL, LLC|PIPER JAFFRAY PRIVATE CAPITAL, LLC|800 NICOLLET MALL|MAILSTOP J13N04|MINNEAPOLIS MN 55402|USA|||  ||ANN C. MCCAGUE|612/303-6359|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/17/2005|0|1|1|0|0|0
Chicago Regional Office| 133962|801-63979|TELLURIDE ASSET MANAGEMENT LLC|TELLURIDE ASSET MANAGEMENT LLC|1000 PARKERS LAKE ROAD||WAYZATA MN 55391|USA|||  ||MARK KUPER|952-653-6446|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/03/2005|0|0|0|0|0|0
Chicago Regional Office| 134008|801-64792|CAPITAL CITY ASSET MANAGEMENT GROUP, LLC|CAPITAL CITY ASSET MANAGEMENT GROUP, LLC|1335 DUBLIN ROAD|SUITE 122 - D|COLUMBUS OH 43215|USA|||  ||TODD E. CRAWFORD|614-485-0803|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Market timing services|APPROVED|01/03/2006|0|0|0|0|0|0
Chicago Regional Office| 134010|801-63882|INDEX RESULTS|INDEX RESULTS|16311 MIDDLEBELT||LIVONIA MI 48154|USA|||  ||WILLIAM NAGLER|734-422-8040|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters, Security ratings or pricing services, Market timing services|APPROVED|02/04/2005|0|0|0|0|0|0
Chicago Regional Office| 134035|801-67754|R. MEIER, INC.|R. MEIER, INC.|202 S THIRD STREET W||FORT ATKINSON WI 53538|UNITED STATES|||  ||MARK MEIER|920-568-3601|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|04/19/2007|0|0|0|0|0|0
Chicago Regional Office| 134057|801-67748|NEXT GENERATION WEALTH MANAGEMENT, INC.|NEXT GENERATION WEALTH MANAGEMENT, INC.|10922 NORTH CEDARBURG RD.||MEQUON WI 53092|USA|||  ||DAVID A. MASSART|262-242-4433|Corporation|Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|04/22/2008|0|0|1|0|0|0
Chicago Regional Office| 134109|801-66998|MASON ROAD WEALTH ADVISORS, L.L.C.|MASON ROAD WEALTH ADVISORS, L.L.C.|1067 N. MASON ROAD|SUITE 7|ST. LOUIS MO 63141|USA|||  ||JOEL WELTMAN|314-590-0000|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|07/10/2006|0|0|0|0|0|0
Chicago Regional Office| 134114|801-64748|TELEMUS WEALTH ADVISORS, LLC|TELEMUS WEALTH ADVISORS, LLC|TWO TOWNE SQUARE|SUITE 800|SOUTHFIELD MI 48076|USA|||  ||STEVEN J. GREENWALD|248-827-1800|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|09/26/2005|0|0|0|0|0|0
Chicago Regional Office| 134139|801-63930|CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.|CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.|1776 PLEASANT PLAIN RD.||FAIRFIELD IA 52556-8757|USA|||  ||THOMAS J. ANDERSON|641-472-5100|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Market timing services|APPROVED|02/03/2005|2|9|0|0|0|0
Chicago Regional Office| 134149|801-68483|NEW CENTURY CAPITAL MANAGEMENT, LLC|NEW CENTURY CAPITAL MANAGEMENT, LLC|36 SOUTH WASHINGTON STREET||HINSDALE IL 60521-4155|USA|||  ||JIM R. PORTER|630-789-0001|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|11/07/2007|0|0|0|0|0|0
Chicago Regional Office| 134161|801-64049|INSIGHT 2811 GP LLC|INSIGHT 2811 GP LLC|755 W. BIG BEAVER ROAD|SUITE 1700|TROY MI 48084|USA|||  ||ARTHUR E. ZASKE|248 687-7200|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/02/2005|0|0|0|0|0|0
Chicago Regional Office| 134249|801-63939|RMB CAPITAL MANAGEMENT|RMB CAPITAL MANAGEMENT, LLC|115 S. LASALLE, 34TH FLOOR||CHICAGO IL 60603|USA|||  ||JENNIFER RYDWELSKI|(312) 993-5800|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|02/15/2005|0|0|0|0|0|0
Chicago Regional Office| 134320|801-64170|STRENGTH CAPITAL PARTNERS, LLC|STRENGTH CAPITAL PARTNERS, LLC|350 N. OLD WOODWARD|SUITE 100|BIRMINGHAM MI 48009|USA|||  ||MARK R. MCCAMMON|(248) 593-6872|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/22/2005|0|0|0|0|0|0
Chicago Regional Office| 134371|801-64040|HARCOURT CAPITAL MANAGEMENT, LLC|HARCOURT CAPITAL MANAGEMENT, LLC|8000 MARYLAND AVE|SUITE 1080|ST. LOUIS MO 63105|USA|||  ||JASON RULE|314-863-2636|Limited Liability Company|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|04/05/2005|0|0|0|0|0|0
Chicago Regional Office| 134439|801-64079|PHALANX CAPITAL MANAGEMENT, LLC|PHALANX CAPITAL MANAGEMENT, LLC|300 S RIVERSIDE PLAZA|SUITE 2302|CHICAGO IL 60606|USA|||  ||CHRISTOPHER MCGUIRE|312-930-2266|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/04/2005|0|0|0|0|0|0
Chicago Regional Office| 134471|801-64000|SG CAPITAL MANAGEMENT LLC|SG CAPITAL MANAGEMENT LLC|415 NORTH LASALLE ST|SUITE 401|CHICAGO IL 60610|USA|||  ||KENNETH GROSSMAN|312-923-0150|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/13/2005|0|0|0|0|0|0
Chicago Regional Office| 134508|801-64009|CAHILL WEALTH MANAGEMENT, LLC|CAHILL WEALTH MANAGEMENT, LLC|6101 NEWPORT ROAD|SUITE 207|PROTAGE MI 49002|USA|||  ||RYAN DEVLIN CAHILL|269-321-6600|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|03/03/2005|0|0|0|0|0|0
Chicago Regional Office| 134585|801-65512|DEEPHAVEN CAPITAL MANAGEMENT LLC|DEEPHAVEN CAPITAL MANAGEMENT LLC|130 CHESHIRE LANE|SUITE 102|MINNETONKA MN 55305|USA|||  ||THOMAS WAGNER|952-249-5657|Limited Liability Company|Other|APPROVED|01/27/2006|0|1|1|0|0|0
Chicago Regional Office| 134628|801-67563|AURUM WEALTH MANAGEMENT GROUP LLC|AURUM WEALTH MANAGEMENT GROUP LLC|6685 BETA DRIVE||MAYFIELD VILLAGE OH 44143|USA|||  ||MICHAEL T. MCKEOWN|440-605-1900|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|03/02/2007|0|0|0|0|0|0
Chicago Regional Office| 134631|801-68768|BREWER INVESTMENT ADVISERS, LLC|BREWER INVESTMENT ADVISORS, LLC|200 S. MICHIGAN AVE.|21ST FLOOR|CHICAGO IL 60604|USA|||  ||ANDREW CARAVA|312-896-3930|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/31/2008|0|1|0|0|0|0
Chicago Regional Office| 134774|801-67347|WITTER & WESTLAKE INVESTMENTS|WITTER & WESTLAKE INVESTMENTS, INC.|1515 ORMSBY STATION CT.|SUITE C|LOUISVILLE KY 40223|USA|||  ||RODNEY WESTLAKE|502-339-8840|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|12/06/2006|0|0|0|0|0|0
Chicago Regional Office| 134784|801-66852|THE MUTUAL FUND STORE|TMFS--CLEVELAND, OHIO--LLC|36040 DETROIT ROAD  STE. E||AVON OH 44011|USA|||  ||BRIAN FOWLES|440-934-6565|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/12/2006|0|0|0|0|0|0
Chicago Regional Office| 134787|801-67323|THE MUTUAL FUND STORE|TMFS - LOUISVILLE LLC|10285 CHAMPION FARMS DRIVE||LOUISVILLE KY 40241|USA|||  ||CLAUDIA TREFZ|502-425-2512|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|12/06/2006|0|0|0|0|0|0
Chicago Regional Office| 134918|801-64175|RIVER ROAD ASSET MANAGEMENT, LLC|RIVER ROAD ASSET MANAGEMENT, LLC|462 SOUTH FOURTH STREET|SUITE 1600|LOUISVILLE KY 40202-3466|USA|||  ||THOMAS DIGNAN MUELLER|502-371-4100|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/28/2005|0|1|0|0|0|0
Chicago Regional Office| 134927|801-67716|HERMENING ADVISORY SERVICES LLC|HERMENING ADVISORY SERVICES LLC|200 WASHINGTON STREET|SUITE 280|WAUSAU WI 54403|USA|||  ||KEVIN J. HERMENING|715-842-1916|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|04/24/2007|0|1|1|0|0|0
Chicago Regional Office| 135118|801-64213|COLUMN CAPITAL ADVISORS, LLC|COLUMN CAPITAL ADVISORS, LLC|8888 KEYSTONE CROSSING|SUITE 1675|INDIANAPOLIS IN 46240|USA|||  ||BRIAN UPCHURCH|317-663-6503|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/12/2005|0|0|0|0|0|0
Chicago Regional Office| 135173|801-64254|ASSET MANAGEMENT STRATEGIES, INC.|ASSET MANAGEMENT STRATEGIES, INC.|10100 LANTERN ROAD|SUITE 150A|FISHERS IN 46037|USA|||  ||ANTHONY P. FIORILLO|317-577-6912|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/03/2005|0|0|0|0|0|0
Chicago Regional Office| 135351|801-65773|CASTLE CREEK ARBITRAGE, LLC|CASTLE CREEK ARBITRAGE, LLC|111 WEST JACKSON BLVD.|20TH FLOOR|CHICAGO IL 60604-3589|USA|||  ||BILL SHIMANEK|312.692.5011|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/27/2006|0|14|1|0|0|0
Chicago Regional Office| 135374|801-65192|MANSUR CAPITAL CORPORATION|MANSUR CAPITAL CORPORATION|875 N. MICHIGAN AVENUE|SUITE 3620|CHICAGO IL 60611|USA|||  ||BRITTA BOLIN|312-263-2400|Corporation|Other|APPROVED|01/12/2006|0|1|0|0|0|0
Chicago Regional Office| 135379|801-64287|MILITELLO FRANZEN FINANCIAL ADVISORS, INC.|MILITELLO FRANZEN FINANCIAL ADVISORS, INC.|1012 PLUMMER DRIVE|SUITE 201|EDWARDSVILLE IL 62025|USA|||  ||RONALD FRANZEN|618-659-1284|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|05/31/2005|0|0|0|0|0|0
Chicago Regional Office| 135414|801-64294|THOMAS MCDONALD PARTNERS, LLC|THOMAS MCDONALD PARTNERS, LLC|959 W. ST. CLAIR AVENUE|SUITE 300|CLEVELAND OH 44113|USA|||  ||THOMAS M MCDONALD|216-912-0556|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|05/06/2005|0|2|0|0|0|0
Chicago Regional Office| 135448|801-64681|STRATEGIC INVESTMENT ADVISORS, LLC|STRATEGIC INVESTMENT ADVISORS, LLC|5580 MONROE STREET||SYLVANIA OH 43560-2564|USA|||  ||CHRIS POWERS|419-517-9100|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|08/26/2005|0|0|0|0|0|0
Chicago Regional Office| 135537|801-64409|MAGNETAR INVESTMENT MANAGEMENT, LLC|MAGNETAR INVESTMENT MANAGEMENT, LLC|1603 ORRINGTON AVENUE|13TH FLOOR|EVANSTON IL 60201|USA|||  ||MICHAEL TURRO|847-905-4690|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|06/23/2005|0|0|0|0|0|0
Chicago Regional Office| 135555|801-64473|U.S. INSTITUTIONAL CORPORATION|U.S. INSTITUTIONAL CORPORATION|12444 POWERSCOURT DRIVE|SUITE 250|ST. LOUIS MO 63131|USA|||  ||JOHN G. RUSSON|314-965-0426|Corporation|Pension consulting services, Other|APPROVED|07/07/2005|0|0|0|0|0|0
Chicago Regional Office| 135592|801-64304|CHICKEN LITTLE FUND GROUP, INC.|CHICKEN LITTLE FUND GROUP, INC.|500 NORTH BROADWAY|SUITE 1450|ST. LOUIS MO 63102|USA|||  ||STEPHEN M. COLEMAN|(314) 241-3590|Corporation|Portfolio management for investment companies|APPROVED|05/26/2005|0|0|1|0|0|0
Chicago Regional Office| 135616|801-66614|TRUNORTH|TNJOURNEY LLC|1099 HELMO AVE.NORTH|SUITE 230|OAKDALE MN 55128|USA|||  ||PETER J. REKSTAD|651-735-5878|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|05/15/2006|0|0|0|0|0|0
Chicago Regional Office| 135622|801-64334|ZIEGLER CAPITAL MANAGEMENT, LLC|ZIEGLER CAPITAL MANAGEMENT, LLC|200 SOUTH WACKER DRIVE|SUITE 2000|CHICAGO IL 60606|USA|||  ||ELIZABETH A WATKINS|312/596-1627|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Publication of periodicals or newsletters|APPROVED|05/19/2005|0|1|0|0|0|0
Chicago Regional Office| 135689|801-64343|WP GLOBAL PARTNERS INC.|WP GLOBAL PARTNERS INC.|30 SOUTH WACKER DRIVE|SUITE 3920|CHICAGO IL 60606|USA|||  ||CELIA CHAPMAN|312-277-2032|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/26/2005|0|0|0|0|0|0
Chicago Regional Office| 135697|801-64506|PIERCE STREET ADVISORS, LLC|PIERCE STREET ADVISORS, LLC|480 PIERCE STREET||BIRMINGHAM MI 48009|USA|||  ||MARY ANN C. SHUMAKER|248-647-9200|Limited Liability Company|Selection of other advisers|APPROVED|07/28/2005|0|0|0|0|0|0
Chicago Regional Office| 135791|801-68233|LIBERTY ASSET MANAGEMENT, INC.|LIBERTY ASSET MANAGEMENT, INC.|6725 KINGERY HIGHWAY||WILLOWBROOK IL 60527-5142|USA|||  ||JAMES A. MOSTELLER, III|630.789.9653|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|08/08/2007|0|0|0|0|0|0
Chicago Regional Office| 135812|801-64508|ALLODIUM INVESTMENT CONSULTANTS, LLC|ALLODIUM INVESTMENT CONSULTANTS, LLC|500 WASHINGTON AVENUE SOUTH|SUITE 2015|MINNEAPOLIS MN 55415-1151|USA|||  ||DAVID J. BROMELKAMP|612-230-3700|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/07/2005|0|0|0|0|0|0
Chicago Regional Office| 135897|801-64501|MERION CAPITAL LLC|MERION CAPITAL LLC|3020 BRANDYWINE ROAD||KALAMAZOO MI 49008|USA|||  ||CHRIS C. RUPPEL|269-381-9635|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|07/15/2005|0|0|0|0|0|0
Chicago Regional Office| 135908|801-65565|SANBORN KILCOLLIN PARTNERS, LLC|SANBORN KILCOLLIN PARTNERS, LLC|70 WEST MADISON STREET|SUITE 5320|CHICAGO IL 60602-4205|USA|||  ||JOSHUA MANGOUBI|312-499-0900|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/27/2006|0|0|0|0|0|0
Chicago Regional Office| 135919|801-64404|GRAVER CAPITAL MANAGEMENT, LLC|GRAVER CAPITAL MANAGEMENT, LLC|585 BANK LANE|SUITE 2300|LAKE FOREST IL 60045|USA|||  ||STEVEN F. GRAVER|847-735-2603|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|07/25/2005|0|0|0|0|0|0
Chicago Regional Office| 135977|801-66171|GOODRICH, DAVIS & COMPANY|THE GOOD NEWS COMPANY, LLC|21 KERCHEVAL AVENUE|SUITE 270|GROSSE POINTE FARMS MI 48236|USA|||  ||CHARLES S. DAVIS III|313-884-7500|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers, Other|APPROVED|03/03/2006|0|0|0|0|0|0
Chicago Regional Office| 136019|801-64434|BERTHY CAPITAL MANAGEMENT, LLC|BERTHY CAPITAL MANAGEMENT, LLC|100 ELMWOOD PARK DRIVE|SUITE 100|WEST CARROLLTON OH 45449|USA|||  ||JOHN D. BERTHY|937-439-1339 EXT 307|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/27/2005|0|0|0|0|0|0
Chicago Regional Office| 136045|801-64602|MAGNETAR FINANCIAL LLC|MAGNETAR FINANCIAL LLC|1603 ORRINGTON AVENUE|13TH FLOOR|EVANSTON IL 60201|USA|||  ||MICHAEL TURRO|847-905-4690|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|08/30/2005|0|0|0|0|0|0
Chicago Regional Office| 136076|801-64440|VALHALLA CAPITAL PARTNERS|VALHALLA CAPITAL PARTNERS, LLC|2527 NELSON MILLER PARKWAY, SUITE 207||LOUISVILLE KY 40223-3165|USA|||  ||KEN L. MATHIS|502-301-8400|Limited Liability Company|Portfolio management for investment companies|APPROVED|06/17/2005|0|0|0|0|0|0
Chicago Regional Office| 136078|801-64592|THE ZAR FUND GROUP, LLC|THE ZAR FUND GROUP, LLC|625 EDEN PARK DRIVE||CINCINNATI OH 45202|USA|||  ||ALLEN G. ZARING IV|(513) 221-3150|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|08/12/2005|0|0|0|0|0|0
Chicago Regional Office| 136089|801-64471|PALISADE ASSET MANAGEMENT, LLC|PALISADE ASSET MANAGEMENT, LLC|333 SOUTH SEVENTH STREET|SUITE 440|MINNEAPOLIS MN 55402|USA|||  ||JENNIFER FISCHER|612-455-2904|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/11/2005|0|0|0|0|0|0
Chicago Regional Office| 136096|801-64835|NORTHERN ASSET MANAGEMENT, INC.|NORTHERN ASSET MANAGEMENT, INC.|104 W. SUPERIOR STREET||DULUTH MN 55802|USA|||  ||COLIN B. ANDERSON|(218) 722-3112|Corporation|Other|APPROVED|10/25/2005|0|0|0|0|0|0
Chicago Regional Office| 136106|801-64668|STIEVEN CAPITAL ADVISORS, L.P.|STIEVEN CAPITAL ADVISORS, L.P.|12412 POWERSCOURT DRIVE|SUITE 250|ST. LOUIS MO 63131|USA|||  ||DANIEL MARK ELLEFSON|314-779-2450|Partnership|Other|APPROVED|09/07/2005|0|0|0|0|0|0
Chicago Regional Office| 136235|801-64626|MONEY MASTERS, LLC|MONEY MASTERS, LLC|11500 NORTHLAKE DRIVE, SUITE 100||CINCINNATI OH 45249|USA|||  ||DANIEL KILEY|513-769-4040|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|08/29/2005|0|0|0|0|0|0
Chicago Regional Office| 136294|801-67644|MENDOTA FINANCIAL GROUP, LLC|MENDOTA FINANCIAL GROUP, LLC|137 EAST WILSON STREET|SUITE 202|MADISON WI 53703|USA|||  ||MATTHEW A. GOETZKE|(608) 223-9211|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/13/2007|0|0|0|0|0|0
Chicago Regional Office| 136300|801-65060|KEY INVESTMENT SERVICES LLC|KEY INVESTMENT SERVICES LLC|4900 TIEDEMAN ROAD|OH-01-49-3TBC|BROOKLYN OH 44144|USA|||  ||GARY J. MAROUSEK|216-813-6009|Limited Liability Company|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|01/03/2006|0|0|0|0|0|0
Chicago Regional Office| 136403|801-64607|ARCHER INVESTMENT CORPORATION|ARCHER INVESTMENT CORPORATION|9000 KEYSTONE CROSSING|SUITE 630|INDIANAPOLIS IN 46240|USA|||  ||TROY PATTON|317-867-5765|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies|APPROVED|08/12/2005|0|0|0|0|0|0
Chicago Regional Office| 136426|801-64547|EDGE PORTFOLIO MANAGEMENT, LLC|EDGE PORTFOLIO MANAGEMENT, LLC|1N141 COUNTY FARM ROAD|SUITE 110|WINFIELD IL 60190|USA|||  ||EDWARD J. MEEK|630-221-1000|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/28/2005|0|0|0|0|0|0
Chicago Regional Office| 136428|801-64543|BENEFIT & INVESTMENT CONSULTING, LLC|BENEFIT & INVESTMENT CONSULTING, LLC|800 12TH AVE. SW||ROCHESTER MN 55902|USA|||  ||CHRISTIE A. ATWELL, CFA|507-288-5506|Limited Liability Company|Pension consulting services, Selection of other advisers|APPROVED|07/28/2005|0|0|0|0|0|0
Chicago Regional Office| 136448|801-64561|GALLATIN ASSET MANAGEMENT, INC.|GALLATIN ASSET MANAGEMENT, INC.|ONE NORTH JEFFERSON||ST. LOUIS MO 63103|USA|||  ||BARBARA LAPPLE|704-383-6419|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|08/17/2005|0|0|1|0|0|0
Chicago Regional Office| 136452|801-64551|HILL INVESTMENT GROUP|HILL INVESTMENT GROUP, LLC|7701 FORSYTH BOULEVARD|SUITE 350|ST. LOUIS MO 63105|USA|||  ||RICHARD HILL|314-448-4023|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|07/29/2005|0|0|0|0|0|0
Chicago Regional Office| 136583|801-69219|MERIDIAN CAPITAL MANAGEMENT GROUP, INC.|MERIDIAN CAPITAL MANAGEMENT GROUP, INC.|3500 MASSILLON ROAD|SUITE 250|UNIONTOWN OH 44685|USA|||  ||JOSEPH F. STRANCAR|330-899-0135|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|05/28/2008|0|0|0|0|0|0
Chicago Regional Office| 136595|801-64761|HM CAPITAL MANAGEMENT, LLC|HM CAPITAL MANAGEMENT, LLC|8235 FORSYTH BLVD|SUITE 540|CLAYTON MO 63105|USA|||  ||MATT KOPSKY|314-746-1700|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|10/11/2005|0|1|1|0|0|0
Chicago Regional Office| 136604|801-64618|CORE CAPITAL SOLUTIONS LLC|FLUETT WEALTH MANAGEMENT LLC|40 SHUMAN BOULEVARD SUITE 240||NAPERVILLE IL 60563-8465|USA|||  ||DAVID M. FLUETT|630-753-9900|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|08/26/2005|0|0|0|0|0|0
Chicago Regional Office| 136661|801-64718|WOODS ASSOCIATES|WOODS, THEOPHILOUS HENRY|388 S. MAIN ST. STE 400||AKRON OH 44311|USA|||  ||THEO WOODS|330-836-6388|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|10/07/2005|0|0|0|0|0|0
Chicago Regional Office| 136678|801-64612|BAIRD CAPITAL PARTNERS MANAGEMENT COMPANY IV, L.L.C.|BAIRD CAPITAL PARTNERS MANAGEMENT COMPANY IV, LLC|777 E. WISCONSIN AVENUE||MILWAUKEE WI 53202|USA|||  ||PAUL L. SCHULTZ|414-298-2655|Limited Liability Company|Other|APPROVED|08/24/2005|0|1|0|0|0|0
Chicago Regional Office| 136767|801-65006|THE OAK GROUP, INC.|THE OAK GROUP, INC.|200 WEST SUPERIOR ST.|SUITE 300|CHICAGO IL 60610|USA|||  ||JOHN W. JAMES|312-274-1350|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/12/2005|0|0|0|0|0|0
Chicago Regional Office| 136825|801-64647|KLINE CAPITAL MANAGEMENT LLC|KLINE CAPITAL MANAGEMENT LLC|5501 W. 79TH STREET, SUITE 305||BURBANK IL 60459|USA|||  ||MATTHEW KLINE|3122636100|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|09/01/2005|0|0|0|0|0|0
Chicago Regional Office| 136859|801-27505|VESTOR CAPITAL CORPORATION|VESTOR CAPITAL CORPORATION|10 S. RIVERSIDE PLAZA|SUITE 1400|CHICAGO IL 60606-3840|USA|||  ||MCNULTY, WILLIAM P|312-641-2400|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|07/11/1986|0|0|0|0|0|0
Chicago Regional Office| 136887|801-64666|INTEROCEAN CAPITAL, LLC|INTEROCEAN CAPITAL, LLC|360 NORTH MICHIGAN AVE.|SUITE 906|CHICAGO IL 60601|USA|||  ||JEFFREY S. CAMP|312- 648-1720|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|09/19/2005|0|0|0|0|0|0
Chicago Regional Office| 136904|801-64788|H.J. UMBAUGH & ASSOCIATES|H.J. UMBAUGH & ASSOCIATES, CERTIFIED PUBLIC ACCOUNTANTS, LLP|8365 KEYSTONE CROSSING/SUITE 300||INDIANAPOLIS IN 46240-0458|USA|8365 KEYSTONE CROSSING/SUITE300|P.O. BOX 40458|INDIANAPOLIS IN 46240-0458|USA|JEFF MESSER|317-465-1500|Limited Liability Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/14/2005|0|0|0|0|0|0
Chicago Regional Office| 136981|801-64773|WEALTH MANAGEMENT RESOURCES, LLC|WEALTH MANAGEMENT RESOURCES, LLC|226 N. BROAD STREET||MANKATO MN 56001|USA|||  ||LARRY A. KUYPER|507-625-3507|Limited Liability Company|Portfolio management for individuals and/or small businesses, Other|APPROVED|10/07/2005|0|0|0|0|0|0
Chicago Regional Office| 137021|801-67542|RAPPAPORT REICHES CAPITAL MANAGEMENT,|RAPPAPORT REICHES CAPITAL MANAGEMENT, LLC|2700 PATRIOT BOULEVARD|SUITE 370|GLENVIEW IL 60026|USA|||  ||STEPHEN REICHES|847-832-0030|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/15/2007|0|0|0|0|0|0
Chicago Regional Office| 137053|801-64694|THE OXFORD PRIVATE CLIENT GROUP, LLC|THE OXFORD PRIVATE CLIENT GROUP, LLC|1900 LASALLE AVE. N. SUITE 200||MINNEAPOLIS MN 55403|USA|||  ||JASON BO-ALAN BECKMAN|612-236-2004|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|10/12/2005|0|2|1|0|0|0
Chicago Regional Office| 137081|801-65156|UNIVERSITY CAPITAL STRATEGIES GROUP|UNIVERSITY CAPITAL STRATEGIES GROUP, LLC|408 ST. PETER ST.|SUITE 444|SAINT PAUL MN 55102|USA|||  ||SETH BERLIN|651-251-0380|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/01/2006|0|0|0|0|0|0
Chicago Regional Office| 137115|801-64847|HARRIS INVESTOR SERVICES, INC.|HARRIS INVESTOR SERVICES, INC.|311 W. MONROE-14TH FL||CHICAGO IL 60606|USA|||  ||ALBERTA S. ROBERTS|312-461-6009|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|11/04/2005|0|2|0|0|0|0
Chicago Regional Office| 137228|801-65966|EBF & ASSOCIATES, L.P.|EBF & ASSOCIATES, L.P.|SUITE 200|601 CARLSON PARKWAY|MINNETONKA MN 55305|USA|||  ||THOMAS G. ROCK|952-476-7200|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/01/2006|0|0|0|0|0|0
Chicago Regional Office| 137260|801-67635|EVEREST FINANCIAL GROUP|EVEREST FINANCIAL GROUP LLC|701 XENIA AVE S|SUITE 250|MINNEAPOLIS MN 55416|USA|||  ||JOHN W. MACKIMM II|763-923-7528|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/30/2007|0|0|0|0|0|0
Chicago Regional Office| 137313|801-67947|SANDAGER ADVISORS LLC|SANDAGER ADVISORS LLC|6601 WESTOWN PARKWAY|SUITE 200|WEST DES MOINES IA 50266|USA|||  ||JAMES P. SANDAGER|515-222-0600|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|06/08/2007|0|0|0|0|0|0
Chicago Regional Office| 137337|801-68626|CREDIT AGRICOLE ASSET MANAGEMENT ALTERNATIVE INVESTMENTS, INC.|CREDIT AGRICOLE ASSET MANAGEMENT ALTERNATIVE INVESTMENTS, INC.|ONE NORTH WACKER DRIVE|SUITE 4050|CHICAGO IL 60606-2834|USA|||  ||BRUCE A. BEATUS|312-425-8420|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|01/02/2008|0|4|1|0|0|0
Chicago Regional Office| 137346|801-68153|LANG & BECKER, INC.|LANG & BECKER, INC.|421 W. 5TH STREET||WASHINGTON MO 63090|USA|||  ||KEVIN J. LANG|636-390-8339|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/11/2007|0|0|0|0|0|0
Chicago Regional Office| 137374|801-64959|TORSHEN CAPITAL MANAGEMENT, LLC|TORSHEN CAPITAL MANAGEMENT, LLC|980 N. MICHIGAN AVENUE|STE. 1370|CHICAGO IL 60611|USA|||  ||KAY TORSHEN|312-274-0200|Limited Liability Company|Other|APPROVED|12/02/2005|0|0|0|0|0|0
Chicago Regional Office| 137442|801-65300|STARK & ROTH, INC.|STARK & ROTH, INC.|3600 SOUTH LAKE DRIVE||ST. FRANCIS WI 53235-3716|USA|||  ||BRETT MEILI|414.294.7589|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/23/2006|0|1|0|0|0|0
Chicago Regional Office| 137658|801-67628|RETIREMENT WEALTH ADVISORS, INC.|RETIREMENT WEALTH ADVISORS, INC.|501 BALDWIN STREET|SUITE 203|JENISON MI 49428|USA|||  ||JASON ROBERT WENK|616-667-2150|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/16/2007|0|0|0|0|0|0
Chicago Regional Office| 137674|801-64895|VARA CAPITAL MANAGEMENT, L.L.C.|VARA CAPITAL MANAGEMENT, L.L.C.|71 S. WACKER DRIVE|SUITE 2100|CHICAGO IL 60606|USA|||  ||DAVID R. POPOVICH|(312) 506-3123|Limited Liability Company|Other|APPROVED|12/09/2005|0|0|0|0|0|0
Chicago Regional Office| 137688|801-65385|MAN INVESTMENTS (USA) CORP.|MAN INVESTMENTS (USA) CORP.|123 NORTH WACKER DRIVE|SUITE 2800|CHICAGO IL 60606|USA|||  ||LESLIE J. OSBORN|(646) 452-9665|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/19/2006|0|0|0|0|0|0
Chicago Regional Office| 137712|801-68417|CORNERSTONE ASSET MANAGEMENT SERVICES, INC.|CORNERSTONE ASSET MANAGEMENT SERVICES, INC.|5923 BROADVIEW RD||PARMA OH 44134|USA|||  ||NICHOLAS ANASTASAKIS|(216) 749-3001|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|10/01/2007|0|0|0|0|0|0
Chicago Regional Office| 137736|801-64973|SIGNATURE WEALTH MANAGEMENT, INC.|SIGNATURE WEALTH MANAGEMENT, INC.|250 EAST WISCONSIN AVENUE|SUITE 1800|MILWAUKEE WI 53202|USA|||  ||ELIZABETH A. FREER|414-347-5632|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|12/21/2005|0|0|0|0|0|0
Chicago Regional Office| 137751|801-64988|THRIVENT ASSET MANAGEMENT LLC|THRIVENT ASSET MANAGEMENT, LLC|625 FOURTH AVE. SOUTH||MINNEAPOLIS MN 55415-1665|USA|||  ||DAVID S. ROYAL|612-844-4249|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies|APPROVED|12/15/2005|0|7|0|0|0|0
Chicago Regional Office| 137756|801-65282|GREEN EAGLE CAPITAL LLC|GREEN EAGLE CAPITAL LLC|250 EAST ILLINOIS ROAD|SUITE 200|LAKE FOREST IL 60045|USA|||  ||DANIEL A. SPERRAZZA|847-482-1100|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/23/2006|0|0|0|0|0|0
Chicago Regional Office| 137785|801-65050|ASSET MANAGEMENT INVESTORS, LLC|ASSET MANAGEMENT INVESTORS, LLC|191 NORTH WACKER DRIVE|SUITE 1500|CHICAGO IL 60606|USA|||  ||DANIEL ZUCKERMAN|312-621-0810|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|01/03/2006|0|0|0|0|0|0
Chicago Regional Office| 137815|801-65625|LEGACY PRIVATE WEALTH MANAGEMENT|GRIMALDI, ROBERT, ORLANDO|35251 EDYTHE DRIVE||FARMINGTON HILLS MI 48331|USA|||  ||ROBERT GRIMALDI|2482319861|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|01/30/2006|0|0|0|0|0|0
Chicago Regional Office| 137867|801-64937|FIRST HORIZONS UNLIMITED, INC.|FIRST HORIZONS UNLIMITED, INC.|200 W. SUPERIOR ST.|SUITE 300|CHICAGO IL 60610|USA|||  ||JOHN W. JAMES|312-274-1350|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/12/2006|0|0|0|0|0|0
Chicago Regional Office| 137872|801-64882|SMI ADVISORY SERVICES, LLC|SMI ADVISORY SERVICES, LLC|422 WASHINGTON STREET||COLUMBUS IN 47201|USA|||  ||FRED BEERWART|812-376-7320|Limited Liability Company|Portfolio management for investment companies|APPROVED|11/15/2005|0|0|0|0|0|0
Chicago Regional Office| 137888|801-66653|FIRST ADVISORS, INC.|FIRST ALLIED ADVISORY SERVICES, INC.|15455 CONWAY ROAD||CHESTERFIELD MO 63017|USA|||  ||CHRISTINE HAEDIKE|636-537-1040|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Market timing services|APPROVED|06/06/2006|1|24|4|0|0|0
Chicago Regional Office| 137901|801-64975|STRATFORD ADVISORY GROUP, INC.|STRATFORD ADVISORY GROUP, INC.|500 W. MADISON STREET|SUITE 2740|CHICAGO IL 60661|USA|||  ||CHRISTINE HORVATH|312-798-3200|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|12/15/2005|0|0|0|0|0|0
Chicago Regional Office| 137965|801-68208|THE MUTUAL FUND STORE|TMFS COLUMBUS, LLC|5919 KARRIC SQUARE DRIVE||DUBLIN OH 43016|USA|||  ||MARK LUX|614-717-0707|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Other|APPROVED|08/17/2007|0|0|0|0|0|0
Chicago Regional Office| 138099|801-66699|INTERLACHEN CAPITAL GROUP LP|INTERLACHEN CAPITAL GROUP LP|800 NICOLLET MALL|SUITE 2500|MINNEAPOLIS MN 55402-2034|USA|||  ||DAVID WOODIS|612 659 4414|Partnership|Other|APPROVED|05/10/2006|0|0|0|0|0|0
Chicago Regional Office| 138111|801-66002|BALYASNY ASSET MANAGEMENT L.P.|BALYASNY ASSET MANAGEMENT L.P.|181 W. MADISON STREET|STE. 3600|CHICAGO IL 60602|USA|135 E. 57TH STREET, 27TH FL|ATTN: COMPLIANCE DEPARTMENT|NEW YORK NY 10022|USA|MATTHEW SICLARI|212-808-2300|Partnership|Other|APPROVED|01/23/2006|0|0|2|0|0|0
Chicago Regional Office| 138117|801-66707|THREE ZERO THREE CAPITAL PARTNERS, LLC|THREE ZERO THREE CAPITAL PARTNERS, LLC|318 WEST ADAMS STREET|SUITE 1000|CHICAGO IL 60606|USA|||  ||JOHN WHITE|312-432-6551|Limited Liability Company|Other|APPROVED|05/23/2006|0|0|0|0|0|0
Chicago Regional Office| 138243|801-67946|THE MUTUAL FUND STORE|TMFS-MILWAUKEE, LLC|21675 LONG VIEW DRIVE SUITE 300||WAUKESHA WI 53186|USA|||  ||ERIC BROWN|262-717-0022|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/07/2007|0|0|0|0|0|0
Chicago Regional Office| 138298|801-67780|DEETER & BODNAR ADVISORS, LLC|DEETER & BODNAR ADVISORS, LLC|5721 DRAGON WAY||CINCINNATI OH 45227|USA|||  ||DAVID BODNAR|513-271-8535|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|04/23/2007|0|0|0|0|0|0
Chicago Regional Office| 138373|801-66060|CALAMOS PARTNERS LLC|CALAMOS PARTNERS LLC|2020 CALAMOS COURT||NAPERVILLE IL 60563-2787|USA|||  ||RANDALL, WALTER R. (JR.)|630-245-1033|Limited Liability Company|Other|APPROVED|02/01/2006|1|1|0|0|0|0
Chicago Regional Office| 138535|801-65161|WATERSTONE CAPITAL MANAGEMENT, L.P.|WATERSTONE CAPITAL MANAGEMENT, L.P.|2 CARLSON PARKWAY|SUITE 260|PLYMOUTH MN 55447|USA|||  ||MARTIN KALISH|952-697-4102|Partnership|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/19/2006|0|0|0|0|0|0
Chicago Regional Office| 138547|801-67058|LOWENHAUPT GLOBAL ADVISORS, LLC|LOWENHAUPT GLOBAL ADVISORS, LLC|10 SOUTH BROADWAY|SUITE  550|ST. LOUIS MO 63102|USA|||  ||HUGH R. LAW|314-345-8181|Limited Liability Company|Selection of other advisers, Other|APPROVED|12/04/2006|0|0|0|0|0|0
Chicago Regional Office| 138554|801-66150|SBA INVESTMENT ADVISERS|GPS INVESTMENT ADVISORS, INC.|3989 RESEARCH PARK SUITE 102||ANN ARBOR MI 48108|USA|||  ||MICHAEL C. KLOACK|734-668-6688|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/30/2006|0|0|0|0|0|0
Chicago Regional Office| 138615|801-65110|OBS FINANCIAL SERVICES, INC.|OBS FINANCIAL SERVICES, INC.|10200 WATERVILLE STREET||WHITEHOUSE OH 43571|USA|||  ||KEVIN OVERY|419-482-4500|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/01/2006|0|1|0|0|0|0
Chicago Regional Office| 138635|801-65180|COPIA CAPITAL LLC|COPIA CAPITAL LLC|71 S. WACKER DRIVE|SUITE 3525|CHICAGO IL 60606-4637|USA|||  ||AMY BOYLE|312-544-4222|Limited Liability Company|Other|APPROVED|01/18/2006|0|0|0|0|0|0
Chicago Regional Office| 138818|801-65293|EXCELSIOR CAPITAL MANAGEMENT, LLC|EXCELSIOR CAPITAL MANAGEMENT, LLC|200 WEST MADISON STREET|SUITE 2420|CHICAGO IL 60606|USA|||  ||MARVIN BEHM|312-782-7617|Limited Liability Company|Other|APPROVED|01/23/2006|0|0|0|0|0|0
Chicago Regional Office| 138835|801-68845|DSC ADVISORS, L.P.|DSC ADVISORS, L.P.|900 N. MICHIGAN AVENUE|SUITE 1900|CHICAGO IL 60611|USA|||  ||ALLISON MCDOWELL|312-915-2400|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/11/2008|0|0|0|0|0|0
Chicago Regional Office| 138851|801-65231|BOSSHARD INVESTMENT MANAGEMENT CO., LLC|BOSSHARD INVESTMENT MANAGEMENT CO., LLC|130 SPRINGSIDE DRIVE|SUITE 210|AKRON OH 44333|USA|||  ||OTTO BOSSHARD|330-666-6886|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/19/2006|0|0|0|0|0|0
Chicago Regional Office| 138919|801-65912|SECURUS WEALTH MANAGEMENT, LLC|SECURUS WEALTH MANAGEMENT, LLC|3340 ANNAPOLIS LANE N|SUITE B|PLYMOUTH MN 55447|USA|||  ||JAMES D GOODLAND|763-231-7880|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/01/2006|0|0|0|0|0|0
Chicago Regional Office| 138938|801-66260|DISCIPLINE ADVISORS, INC.|DISCIPLINE ADVISORS, INC.|150 ST. ANDREWS CT. #210||MANKATO MN 56001|USA|||  ||NAOMI NAGY|507-625-5876|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|02/24/2006|0|0|0|0|0|0
Chicago Regional Office| 138959|801-66245|KRAL FINANCIAL ADVISORS, LLC|KRAL FINANCIAL ADVISORS, LLC|11999 FOX RIDGE DRIVE||PLYMOUTH MI 48170|USA|P.O. BOX 700953||PLYMOUTH MI 48170-0956|USA|KEVIN T. KRAL|(734) 354-9720|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Other|APPROVED|02/17/2006|0|0|0|0|0|0
Chicago Regional Office| 138963|801-65438|IRON PARTNERS LLC|IRON PARTNERS LLC|303 W. MADISON STREET, SUITE 2650||CHICAGO IL 60606|USA|||  ||RICHARD LAKIN|847-386-1000|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/31/2006|0|0|0|0|0|0
Chicago Regional Office| 138966|801-65414|SIGMA ASSET MANAGEMENT, L.L.C.|SIGMA ASSET MANAGEMENT, L.L.C.|35 EAST WACKER DRIVE|SUITE 1600|CHICAGO IL 60601|USA|||  ||GEORGE L. ALVIN|312-827-3965|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/24/2006|0|0|0|0|0|0
Chicago Regional Office| 138977|801-65752|GEORGE V. REIS INVESTMENT GROUP, INC.|GEORGE V. REIS INVESTMENT GROUP, INC.|1523 WASHINGTON STREET||TWO RIVERS WI 54241|USA|||  ||GEORGE V. REIS|920-793-4442|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/25/2006|0|0|0|0|0|0
Chicago Regional Office| 139065|801-65805|C2 ASSET MANAGEMENT L.L.C.|C2 ASSET MANAGEMENT L.L.C.|1 NORTH WACKER DRIVE|SUITE 3950|CHICAGO IL 60606|USA|||  ||JAMES CASTELLINI|312 456 9682|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/30/2006|0|0|0|0|0|0
Chicago Regional Office| 139069|801-67407|THE MUTUAL FUND STORE|TMFS MINNEAPOLIS, LLC|9483 GARLAND LANE NORTH||MAPLE GROVE MN 55311|USA|||  ||DARIN PILACINSKI|763-494-8889|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Other|APPROVED|01/08/2007|0|0|0|0|0|0
Chicago Regional Office| 139083|801-66095|PEAK6 ADVISORS LLC|PEAK6 ADVISORS LLC|141 W. JACKSON|STE. 500|CHICAGO IL 60604|USA|||  ||DONNA MACDONALD|312-362-2401|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/17/2006|0|1|0|0|0|0
Chicago Regional Office| 139101|801-68781|GLOBAL WEALTH ADVISORS LLC|GLOBAL WEALTH ADVISORS LLC|200 EAST BIG BEAVER ROAD||TROY MI 48083-1208|USA|||  ||MICHAEL J. KRENCICKI|248-457-4555|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/07/2008|0|0|0|0|0|0
Chicago Regional Office| 139145|801-65973|JLP MANAGEMENT ASSOCIATES, LLC|JLP MANAGEMENT ASSOCIATES, LLC|100 TRI-STATE INTERNATIONAL|STE 280|LINCOLNSHIRE IL 60069|USA|||  ||WILLIAM J. BUTRYM|847-457-4722|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/31/2006|0|0|0|0|0|0
Chicago Regional Office| 139246|801-68247|KEEL ASSET MANAGEMENT LLC|KEEL ASSET MANAGEMENT LLC|30 SOUTH WACKER DRIVE|CHICAGO MERCANTILE EXCHANGE CENTER, SUITE 2200|CHICAGO IL 60606|USA|||  ||SIDNEY G. WIGFALL|312-466-5628|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/09/2007|0|0|0|0|0|0
Chicago Regional Office| 139363|801-66187|MIDDLETON DICKINSON CAPITAL MANAGEMENT, LLC|MIDDLETON DICKINSON CAPITAL MANAGEMENT, LLC|475 DUNHAM ROAD|SUITE 2 B|SAINT CHARLES IL 60174|USA|||  ||THOMAS J DICKINSON|630-513-7320|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/21/2006|0|0|0|0|0|0
Chicago Regional Office| 139365|801-66143|CLC MANAGEMENT, LLC|CLC MANAGEMENT, LLC|440 S. LASALLE STREET|SUITE 2101|CHICAGO IL 60605|USA|||  ||ANTHONY CUTINELLI|312-362-3496|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/01/2006|0|0|0|0|0|0
Chicago Regional Office| 139534|801-67553|THE COASTAL ADVISORY GROUP, LLC|THE COASTAL ADVISORY GROUP, LLC|602 MAIN STREET|SUITE 801|CINCINNATI OH 45202|USA|||  ||MICHAEL A. MUELLER|513-619-1100|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|02/16/2007|0|0|0|0|0|0
Chicago Regional Office| 139648|801-66374|STRATEGIC PLANNING, INC.|STRATEGIC PLANNING, INC.|7720 RIVERS EDGE DRIVE|SUITE 126A|COLUMBUS OH 43235|USA|||  ||STANLEY R. EDGELL|614-802-0170|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/13/2006|0|0|0|0|0|0
Chicago Regional Office| 139721|801-66652|ALPHA INVESTMENT CONSULTING GROUP, LLC|ALPHA INVESTMENT CONSULTING GROUP, LLC|111 EAST KILBOURN AVENUE|SUITE 1600|MILWAUKEE WI 53202|USA|||  ||PATRICK  J. PIERCE|414-319-4100|Limited Liability Company|Pension consulting services, Other|APPROVED|06/09/2006|0|0|0|0|0|0
Chicago Regional Office| 139863|801-67309|STEELE FINANCIAL INC.|STEELE FINANCIAL INC.|131 N. PENDLETON AVENUE||PENDLETON IN 46064|USA|||  ||TAMARA R. STEELE|765-778-8878|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|12/11/2006|0|0|0|0|0|0
Chicago Regional Office| 139987|801-67442|USA FINANCIAL FORMULAS, LLC.|USA FINANCIAL FORMULAS, LLC.|6020 EAST FULTON STREET||ADA MI 49301|USA|||  ||ANDREA MCGREW|(800)869-5994|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/01/2007|0|0|0|0|0|0
Chicago Regional Office| 140030|801-68929|BKM WEALTH MANAGEMENT GROUP LLC|BKM WEALTH MANAGEMENT GROUP LLC|3601 HOBSON ROAD, #202||FORT WAYNE IN 46815|USA|||  ||GREGORY ALLEN MOERCHEN|260-482-4573|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|03/11/2008|0|0|0|0|0|0
Chicago Regional Office| 140045|801-66479|RED GRANITE ADVISORS LLC|RED GRANITE ADVISORS LLC|100 E. WISCONSIN AVE.|SUITE 2700|MILWAUKEE WI 53202|USA|||  ||MATTHEW S. MACLEAN|414-326-3200|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/06/2006|0|0|0|0|0|0
Chicago Regional Office| 140082|801-66522|CLUTTERBUCK CAPITAL MANAGEMENT LLC|CLUTTERBUCK CAPITAL MANAGEMENT LLC|200 PUBLIC SQUARE|SUITE 2910|CLEVELAND OH 44114|USA|||  ||ROBERT T. CLUTTERBUCK|216.539.1181|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|04/17/2006|0|0|0|0|0|0
Chicago Regional Office| 140113|801-66708|SCULLY CAPITAL MANAGEMENT, LLC|SCULLY CAPITAL MANAGEMENT, LLC|500 DAVIS CENTER|SUITE 503|EVANSTON IL 60201|USA|||  ||WILLIAM MCDONAGH|847-425-9500|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|05/23/2006|0|0|0|0|0|0
Chicago Regional Office| 140117|801-66501|ETHAN BRADLEY ADVISORS, LLC|ETHAN BRADLEY ADVISORS, LLC|363 W. BIG BEAVER ROAD|SUITE 200|TROY MI 48084|USA|||  ||EDGAR A. ROBIE, JR.|(443) 254-1691|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/15/2006|0|0|0|0|0|0
Chicago Regional Office| 140176|801-67384|ASSET MANAGEMENT ADVISORY GROUP LLC|ASSET MANAGEMENT ADVISORY GROUP LLC|1717 EAST NINTH STREET SUITE 1125||CLEVELAND OH 44114|USA|||  ||PHILLIP O'BRYON|216-403-5736|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/03/2007|0|0|0|0|0|0
Chicago Regional Office| 140215|801-66771|AT FINANCIAL ADVISORS CORP.|AT FINANCIAL ADVISORS CORP.|895 MAIN STREET||DUBUQUE IA 52001|USA|||  ||MARK STEVENS|563-589-0851|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|05/16/2006|0|0|0|0|0|0
Chicago Regional Office| 140271|801-67740|LAKESIDE WEALTH MANAGEMENT GROUP, LLC|LAKESIDE WEALTH MANAGEMENT GROUP, LLC|407 W. INDIANA AVENUE||CHESTERTON IN 46304|USA|||  ||KRISTIN KROEGER|219-926-1182|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|04/27/2007|0|1|0|0|0|0
Chicago Regional Office| 140281|801-67249|FINANCIAL WEALTH MANAGEMENT, LLC|FINANCIAL WEALTH MANAGEMENT, LLC|6417 ODANA RD.||MADISON WI 53719|USA|||  ||DANIEL P. HYLAND|608-276-9691|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|11/25/2006|0|0|0|0|0|0
Chicago Regional Office| 140344|801-66640|CLAYTON CHASE ASSET MANAGEMENT|HOPKINS, JAMES HENRY|201 HILLSBORO AVE.|SUITE 1|EDWARDSVILLE IL 62025|USA|||  ||AMY MCBRIDE|618-655-9800|Sole Proprietorship|Portfolio management for investment companies, Security ratings or pricing services, Market timing services|APPROVED|04/24/2006|0|0|0|0|0|0
Chicago Regional Office| 140355|801-66697|PASCAL FINANCIAL SERVICES, LLC|PASCAL FINANCIAL SERVICES, LLC|6457 DENTON RD||BELLEVILLE MI 48111|USA|||  ||PASCAL MORAWIEC|734-516-2278|Limited Liability Company|Financial planning services|APPROVED-120|05/30/2006|0|0|0|0|0|0
Chicago Regional Office| 140361|801-66765|INTERNATIONAL MANAGEMENT ADVISORS LTD.|INTERNATIONAL MANAGEMENT ADVISORS LTD.|IMG CENTER|1360 E. 9TH ST.|CLEVELAND OH 44114|USA|5695 DEERCREEK DR.||WILLOUGHBY OH 44094|USA|KURT J.|216-436-3555|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/17/2006|0|0|0|0|0|0
Chicago Regional Office| 140381|801-66666|OLD MISSION INVESTMENT COMPANY, LLC|OLD MISSION INVESTMENT COMPANY, LLC|880 MUNSON AVENUE|SUITE B|TRAVERSE CITY MI 49686|USA|||  ||CHRISTOPHER M. LAMB|231-929-4100|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|05/17/2006|0|0|0|0|0|0
Chicago Regional Office| 140389|801-67849|PATRICIA A. HEATH & ASSOCIATES, INC.|P.A. HEATH & ASSOCIATES, INC.|400 CENTRAL AVENUE|SUITE 100/120|NORTHFIELD IL 60093|USA|||  ||PATRICIA A. HEATH|847-446-9920|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/01/2007|0|0|0|0|0|0
Chicago Regional Office| 140431|801-66735|JACOBSON & SCHMITT ADVISORS, LLC|JACOBSON & SCHMITT ADVISORS, LLC|701 DEMING WAY, SUITE 100||MADISON WI 53717|USA|||  ||JASON N. SCHMITT|(608) 827-6404|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/25/2006|0|1|0|0|0|0
Chicago Regional Office| 140456|801-67586|INTEROCEAN WEALTH MANAGEMENT LLC|INTEROCEAN WEALTH MANAGEMENT LLC|401 N. MICHIGAN AVENUE|SUITE 3125|CHICAGO IL 60611|USA|||  ||MICHELLE COMELLA|312-698-5210|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|03/13/2007|0|3|2|0|0|0
Chicago Regional Office| 140514|801-66694|LEGACY FINANCIAL SERVICES GROUP, LLC|LEGACY FINANCIAL SERVICES GROUP, LLC|10691 EAST CARTER ROAD|SUITE 101|TRAVERSE CITY MI 49684|USA|||  ||CAROLYN WEEKS|231-933-0631|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Publication of periodicals or newsletters, Other|APPROVED|05/10/2006|0|0|0|0|0|0
Chicago Regional Office| 140607|801-66837|ASTON ASSET MANAGEMENT|ASTON ASSET MANAGEMENT LLC|120 N. LASALLE STREET|25TH FLOOR|CHICAGO IL 60602|USA|||  ||MARC PEIRCE|312-268-1433|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Selection of other advisers|APPROVED|05/31/2006|0|0|0|0|0|0
Chicago Regional Office| 140703|801-67060|SURGEONS ASSET MANAGEMENT, LLC|SURGEONS ASSET MANAGEMENT, LLC|633 N. SAINT CLAIR STREET||CHICAGO IL 60611|USA|||  ||SAVITRI P. PAI|312-202-5056|Limited Liability Company|Portfolio management for investment companies, Other|APPROVED|08/07/2006|0|0|0|0|0|0
Chicago Regional Office| 140736|801-66881|EXECUTIVE FINANCIAL PLANNING, INC.|EXECUTIVE WEALTH MANAGEMENT, LLC|135 WEST NORTH STREET|SUITE 1|BRIGHTON MI 48116|USA|||  ||KENNETH P. EVANGELISTA|810-229-6446|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters, Other|APPROVED|07/13/2006|0|0|1|0|0|0
Chicago Regional Office| 140754|801-66861|CYPRESS CAPITAL PARTNERS, LLC|CYPRESS CAPITAL PARTNERS, LLC|980 NORTH MICHIGAN AVENUE|SUITE 1400|CHICAGO IL 60611|USA|||  ||ANDREA HOSBEIN|312-214-3945|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|06/09/2006|0|0|0|0|0|0
Chicago Regional Office| 140820|801-67024|KENNEDY WEALTH MANAGEMENT GROUP LTD.|KENNEDY WEALTH MANAGEMENT GROUP LTD.|7143 HASWELL DRIVE||REYNOLDSBURG OH 43068|USA|EASTON TOWN CENTER|4200 REGENT STREET STE 200|COLUMBUS OH 43219|USA|ALICE W MOORE|614-501-6318|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|07/21/2006|0|0|0|0|0|0
Chicago Regional Office| 140827|801-66984|CENTENNIAL PLANNING|THE ADVISORY GROUP OF MICHIGAN, INC.|2500 MIDLAND ROAD||BAY CITY MI 48706|USA|||  ||EDWARD A. BEISER|(989) 686-4240|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|07/10/2006|0|0|0|0|0|0
Chicago Regional Office| 141031|801-67036|WEALTH MANAGEMENT SERVICES, LLC|WEALTH MANAGEMENT SERVICES, LLC|5816 VERNON LANE||EDINA MN 55436|USA|||  ||JANET POLLISH|612-845-0234|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|08/03/2006|0|0|0|0|0|0
Chicago Regional Office| 141050|801-67040|FIRST INDEPENDENCE INVESTMENT CORPORATION|FIRST INDEPENDENCE INVESTMENT CORPORATION|44 MICHIGAN AVENUE|SUITE 200|DETROIT MI 48226-2601|USA|||  ||ALBERTA PEARSON|313-256-8406|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/09/2006|0|0|0|0|0|0
Chicago Regional Office| 141098|801-66939|1926 INVESTMENT ADVISORS|1926 INVESTMENT ADVISORS, LLC|8025 FORSYTH BLVD.|SECOND FLOOR|CLAYTON MO 63105|USA|||  ||CHARLES MEYER|314-256-1926|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/23/2006|0|0|0|0|0|0
Chicago Regional Office| 141129|801-67299|ADVISEME NATIONAL ADVISORS|PENSION SOLUTIONS, INC. DBA ADVISEME! NATIONAL ADVISORY FIRM|3737 PARK EAST DRIVE|#204|BEACHWOOD OH 44122|USA|||  ||BETH KRASNOW|216-595-0725|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|11/28/2006|0|0|0|0|0|0
Chicago Regional Office| 141201|801-69451|VISION CAPITAL PARTNERS, INC.|VISION CAPITAL PARTNERS, INC.|6290 JUPITER AVENUE|SUITE B|BELMONT MI 49306|USA|||  ||JEFFERY D. NAUTA|616-361-9308|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|07/31/2008|0|0|0|0|0|0
Chicago Regional Office| 141203|801-67023|ANCHOR FINANCIAL SERVICES, INC|ANCHOR FINANCIAL SERVICES, INC|8692 EAGLE CREEK CIRCLE||SAVAGE MN 55378|USA|||  ||MARK WILLIAM PEARSON|952-746-2003|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/17/2006|0|0|0|0|0|0
Chicago Regional Office| 141278|801-68577|CTB FINANCIAL SERVICES, LTD.|CTB FINANCIAL SERVICES, LTD.|5811 SOUTH CEDAR LAKE ROAD||SAINT LOUIS PARK MN 55416|USA|||  ||JONATHAN LIANG|952-546-5456|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|11/15/2007|0|0|0|0|0|0
Chicago Regional Office| 141279|801-67227|TREE CITY INVESTMENTS, INC.|TREE CITY INVESTMENTS, INC.|950 NORTH WESTERN AVENUE||LAKEFOREST IL 60045|USA|||  ||CAROL M. DIGMAN|847-735-9522|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/17/2006|0|0|0|0|0|0
Chicago Regional Office| 141332|801-67049|BETTERMAN INVESTMENT GROUP, LLC|BETTERMAN INVESTMENT GROUP, LLC|1840 OAK AVENUE|SUITE 320|EVANSTON IL 60201|USA|||  ||JOHN J  BETTERMAN|312-373-7222|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/25/2006|0|0|0|0|0|0
Chicago Regional Office| 141390|801-67066|FEDDERN FINANCIAL CONSULTING GROUP, LLC|FEDDERN FINANCIAL CONSULTING GROUP, LLC|603 NORTH SHORE DRIVE|SUITE 102|JEFFERSONVILLE IN 47130|USA|||  ||OTTO G. FEDDERN|502-442-0368|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters, Other|APPROVED|08/04/2006|0|0|0|0|0|0
Chicago Regional Office| 141396|801-67213|HOCHMAN & BAKER INVESTMENT ADVISORS, INC.|HOCHMAN & BAKER INVESTMENT ADVISORS, INC.|608 ACADEMY DRIVE||NORTHBROOK IL 60062-2421|USA|||  ||JOEL HOCHMAN|847-559-0180|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|10/02/2006|0|0|0|0|0|0
Chicago Regional Office| 141413|801-68010|BROOKSTONE CAPITAL MANAGEMENT LLC|BROOKSTONE CAPITAL MANAGEMENT LLC|1751 S. NAPERVILLE ROAD|SUITE 208|WHEATON IL 60187|USA|||  ||DEAN ZAYED|630-653-1400|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|06/20/2007|0|4|0|0|0|0
Chicago Regional Office| 141430|801-67171|NRP ADVISORS, INC.|NRP ADVISORS, INC.|209 NORTH MAIN STREET||BRYAN OH 43506|USA|||  ||JEFFREY V. GERY|419-636-4677|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|09/19/2006|0|0|0|0|0|0
Chicago Regional Office| 141473|801-67079|WEALTHQUEST CORPORATION|WEALTHQUEST CORPORATION|50 E-BUSINESS WAY|SUITE 120|CINCINNATI OH 45241||50 E-BUSINESS WAY|SUITE 120|CINCINNATI OH 45241|USA|JAMES M. LENHOFF|513-530-9700|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|08/17/2006|0|0|0|0|0|0
Chicago Regional Office| 141475|801-69061|CRAWFORD ASSET MANAGEMENT, LLC|CRAWFORD ASSET MANAGEMENT, LLC|865 WEST MONTCLAIRE AVE.||GLENDALE WI 53217|USA|||  ||MARK CRAWFORD|414-964-5040|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|04/08/2008|0|0|0|0|0|0
Chicago Regional Office| 141525|801-67321|R3I, LLC|R3I, LLC|1061 FOREST AVE||BIRMINGHAM MI 48009|USA|||  ||BLAIN REINKENSMEYER|248-227-3138|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED-120|12/22/2006|0|0|0|0|0|0
Chicago Regional Office| 141602|801-67281|TRUEMAN BROWN|TRUEMAN BROWN, LLC|1600 GOLF ROAD|SUITE 450|ROLLING MEADOWS IL 60008|USA|||  ||ROY W. BROWN|847-228-1968|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|11/13/2006|0|0|0|0|0|0
Chicago Regional Office| 141677|801-67677|KINGSBURY BRIDGE ADVISORS, LLC|KINGSBURY BRIDGE ADVISORS, LLC|TWO PRUDENTIAL PLAZA|180 N. STETSON AVE., SUITE 3625|CHICAGO IL 60601-6710|USA|||  ||RYAN M. ARMOUR|312-957-4100|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|03/30/2007|0|0|0|0|0|0
Chicago Regional Office| 141682|801-68115|EMPIRE INVESTING GROUP, LLC|EMPIRE INVESTING GROUP, LLC|31408 HARPER, SUITE 224||ST. CLAIR SHORES MI 48082|USA|||  ||MICHAEL GOUGH|1-586-709-5266|Limited Liability Company|Publication of periodicals or newsletters, Market timing services|APPROVED|11/30/2007|0|0|0|0|0|0
Chicago Regional Office| 141874|801-67186|ROONEY CAPITAL MANAGEMENT, INC.|ROONEY CAPITAL MANAGEMENT, INC.|4636 WESTWOOD LANE||EAGAN MN 55122|USA|||  ||CHARLES FREDERIC ROONEY|651-797-2973|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/19/2006|0|0|0|0|0|0
Chicago Regional Office| 141901|801-67726|ALTUS CAPITAL INC.|ALTUS CAPITAL INC.|6120 PARKLAND BLVD.|SUITE 303|MAYFIELD HEIGHTS OH 44124|USA|||  ||LISA LIPCZYNSKI|440.995.1330|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|04/09/2007|0|0|0|0|0|0
Chicago Regional Office| 142033|801-67267|AMERSEY INVESTMENTS LLC|AMERSEY INVESTMENTS LLC|300 CENTER AVENUE, SUITE 202||BAY CITY MI 48708|USA|||  ||NITIN MANORANJAN AMERSEY|989-891-0500|Limited Liability Company|Financial planning services, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED-120|07/25/2008|0|0|0|0|0|0
Chicago Regional Office| 142108|801-67327|WORLD ASSET MANAGEMENT, INC.|WORLD ASSET MANAGEMENT, INC.|255 E. BROWN STREET, STE 250||BIRMINGHAM MI 48009-6220|USA|||  ||ROSANNA BENNETT|248-901-0860|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/19/2006|0|2|0|0|0|0
Chicago Regional Office| 142129|801-67441|BEACON INVESTMENT COMPANY|TELEMUS/BEACON INVESTMENT COMPANY LLC|110 MILLER AVENUE|SUITE 300|ANN ARBOR MI 48104|USA|||  ||STEVEN J. GREENWALD|248-827-0107|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/12/2007|0|0|0|0|0|0
Chicago Regional Office| 142255|801-67605|NEWMAN & SCHIMEL, LLC|NEWMAN & SCHIMEL, LLC|740 WAUKEGAN ROAD|SUITE 205|DEERFIELD IL 60015|USA|||  ||BRYAN SCHIMEL|847-317-9350|Limited Liability Company|Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|03/08/2007|0|0|0|0|0|0
Chicago Regional Office| 142288|801-67312|JULIUS ARTHUR SEIBERT & COMPANY, LLC|JULIUS ARTHUR SEIBERT & COMPANY, LLC|8044 MONTGOMERY ROAD|SUITE 265|CINCINNATI OH 45236|USA|||  ||PHIL SEIBERT|(513) 277-0916|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|11/16/2006|0|0|0|0|0|0
Chicago Regional Office| 142293|801-67268|DRG INVESTMENT ADVISORY SERVICES, LLC|DRG INVESTMENT ADVISORY SERVICES, LLC|151 ROSE STREET|SUITE 623|KALAMAZOO MI 49007|USA|||  ||DAVID R. GIFFIN|269-381-1788|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|10/26/2006|0|0|0|0|0|0
Chicago Regional Office| 142373|801-52664|NATIONWIDE INVESTMENT ADVISORS, LLC|NATIONWIDE INVESTMENT ADVISORS, LLC|280 NORTH HIGH STREET|MAILCODE 2-02-18|COLUMBUS OH 43215|USA|||  ||RITA E. THOLT|614-435-0267|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|08/30/1996|0|0|0|0|0|0
Chicago Regional Office| 142499|801-67335|AMP CAPITAL REDDING INVESTORS (US) LIMITED|AMP CAPITAL REDDING INVESTORS (US) LIMITED|71 S. WACKER DRIVE|SUITE 3400|CHICAGO IL 60606|USA|||  ||JOSEPH T. SOMMER|312-377-8254|Corporation|Other|APPROVED|11/20/2006|0|0|0|0|0|0
Chicago Regional Office| 142544|801-67428|INSIGHT 2811 TECHNOLOGY GP LLC|INSIGHT 2811 TECHNOLOGY GP LLC|755 W. BIG BEAVER ROAD|SUITE 1700|TROY MI 48084|USA|||  ||CAROL ZASKE|248 687-7200|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/09/2007|0|0|0|0|0|0
Chicago Regional Office| 142682|801-67464|KERNTKE OTTO MCGLONE WEALTH MANAGEMENT GROUP|KERNTKE OTTO MCGLONE WEALTH MANAGEMENT GROUP|3701 EAST EVERGREEN DRIVE|SUITE 500A|APPLETON WI 54913|USA|||  ||JIM MCGLONE|920-733-3865|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/19/2007|0|0|0|0|0|0
Chicago Regional Office| 142728|801-67755|TOTAL CLARITY WEALTH MANAGEMENT, INC|TOTAL CLARITY WEALTH MANAGEMENT, INC|525 TYLER RD|SUITE U|ST. CHARLES IL 60174|USA|||  ||JEANNE TACKETT|630-940-0170|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|04/11/2007|0|0|0|0|0|0
Chicago Regional Office| 142926|801-67949|VESTURA, LLC|VESTURA, LLC|326 COUNTRY WALK DRIVE|#A15|SISTER BAY WI 54234|USA|||  ||JASON PERKINS|920-854-3034|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|05/29/2007|0|0|0|0|0|0
Chicago Regional Office| 142928|801-67520|KRS CAPITAL MANAGEMENT, LLC|KRS CAPITAL MANAGEMENT, LLC|101 WEST LONG LAKE ROAD||BLOOMFIELD HILLS MI 48304|USA|||  ||ROGER STEED|248-433-0621|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|02/09/2007|0|0|0|0|0|0
Chicago Regional Office| 142957|801-67692|NORDBERG & VANDENBERG, INC.|NORDBERG & VANDENBERG, INC.|3505 COOLIDGE ROAD|SUITE 100|EAST LANSING MI 48823|USA|||  ||CURTIS VANDENBERG|517/337-1767|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Other|APPROVED|03/30/2007|0|0|0|0|0|0
Chicago Regional Office| 143038|801-67536|KDV WEALTH MANAGEMENT LLC|KDV WEALTH MANAGEMENT LLC|7100 NORTHLAND CIRCLE N|SUITE 119|BROOKLYN PARK MN 55428|USA|||  ||DEREK HOYT|763-971-5607|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/16/2007|0|0|0|0|0|0
Chicago Regional Office| 143069|801-67543|MUNROS CAPITAL MANAGEMENT, LLC|MUNROS CAPITAL MANAGEMENT, LLC|355 S. WOODWARD AVENUE|SUITE 200|BIRMINGHAM MI 48009|USA|||  ||HAITHEM K. SARAFA|248-647-5990|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/20/2007|0|0|0|0|0|0
Chicago Regional Office| 143103|801-67583|TRANSWESTERN SECURITIES MANAGEMENT, L.L.C.|TRANSWESTERN SECURITIES MANAGEMENT, L.L.C.|150 NORTH WACKER DRIVE|SUITE 800|CHICAGO IL 60606-1624|USA|||  ||JAMES P. MCNAMARA|312-499-1975|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/23/2007|0|0|0|0|0|0
Chicago Regional Office| 143112|801-67630|WELLSPRING FINANCIAL ADVISORS, LLC|WELLSPRING FINANCIAL ADVISORS, LLC|5885 LANDERBROOK DRIVE|SUITE 205|CLEVELAND OH 44124|USA|||  ||LAURA A. CAPUOZZO|216-367-0680|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Publication of periodicals or newsletters, Other|APPROVED|03/15/2007|0|0|0|0|0|0
Chicago Regional Office| 143128|801-67584|STRATEGIC INVESTMENT SOLUTIONS, INC.|STRATEGIC INVESTMENT SOLUTIONS, INC.|9501 W 144TH PLACE||ORLAND PARK IL 60462|USA|||  ||THOMAS KING|708-645-8820|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/23/2007|0|0|0|0|0|0
Chicago Regional Office| 143138|801-67659|SOMERSET ADVISERS LLC|SOMERSET ADVISERS LLC|90 SOUTH SEVENTH STREET, SUITE 4300||MINNEAPOLIS MN 55402|USA|||  ||PAMELA K. ZIERMANN|612-376-4021|Limited Liability Company|Financial planning services|APPROVED|04/09/2007|0|1|0|0|0|0
Chicago Regional Office| 143268|801-67658|JNF ADVISORS, INC.|JNF ADVISORS, INC.|9920 CORPORATE CAMPUS DRIVE|SUITE 1000|LOUISVILLE KY 40223|USA|||  ||CRAIG HAWLEY|502-587-3843|Corporation|Portfolio management for investment companies|APPROVED|03/23/2007|0|0|0|0|0|0
Chicago Regional Office| 143279|801-67607|QUANTITATIVE ASSET MANAGEMENT, LLC|QUANTITATIVE ASSET MANAGEMENT, LLC|641 E. LAKE STREET|SUITE 216|WAYZATA MN 55391|USA|||  ||KAREN RIDGEWAY|952-476-7855|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|03/15/2007|0|0|0|0|0|0
Chicago Regional Office| 143319|801-67641|BAM ADVISOR SERVICES, LLC|BAM ADVISOR SERVICES, LLC|8182 MARYLAND AVENUE|SUITE 900|ST. LOUIS MO 63105|USA|||  ||ADAM BIRENBAUM|314-743-2248|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/01/2007|0|0|0|0|0|0
Chicago Regional Office| 143323|801-67640|BUCKINGHAM ASSET MANAGEMENT, LLC|BUCKINGHAM ASSET MANAGEMENT, LLC|8182 MARYLAND AVENUE|SUITE 900|ST LOUIS MO 63105|USA|||  ||ADAM BIRENBAUM|314-743-2248|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/01/2007|0|0|0|0|0|0
Chicago Regional Office| 143329|801-68029|SCHWALLIER, WEALTH MANAGEMENT|SCHWALLIER WEALTH MANAGEMENT, LLC|5075 CASCADE RD SE, STE. B||GRAND RAPIDS MI 49546|USA|||  ||ADAM SCHWALLIER|616-855-2051|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|06/20/2007|0|0|0|0|0|0
Chicago Regional Office| 143339|801-67760|SMITH PIERCE|SMITH PIERCE, LLC|655 W. IRVING PARK RD|SUITE 5206|CHICAGO IL 60613|USA|||  ||JONAH SMITH|1-800-554-7704 EXT. 771|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters, Security ratings or pricing services, Market timing services|APPROVED|04/27/2007|0|0|0|0|0|0
Chicago Regional Office| 143360|801-67613|WALLINGTON ASSET MANAGEMENT|WALLINGTON ASSET MANAGEMENT, LLC|8900 KEYSTONE CROSSING, SUITE 1015||INDIANAPOLIS IN 46240|USA|||  ||TERENCE P. WEISS|317-575-8670|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|03/02/2007|0|0|0|0|0|0
Chicago Regional Office| 143368|801-67701|HILLIER ADVISORS, LLC|HILLIER ADVISORS, LLC|1690 WOODLANDS DRIVE||MAUMEE OH 43537|USA|||  ||JEROL DONNA SIERACKE|419-897-7952|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/30/2007|0|0|0|0|0|0
Chicago Regional Office| 143418|801-67782|PIERMONT CAPITAL MANAGEMENT LLC|PIERMONT CAPITAL MANAGEMENT LLC|12444 POWERSCOURT DRIVE|SUITE 251|ST. LOUIS MO 63131|USA|||  ||JOHN RUSSON|314-965-6847|Limited Liability Company|Other|APPROVED|04/24/2007|0|0|0|0|0|0
Chicago Regional Office| 143456|801-67681|CLARKSTON CAPITAL PARTNERS, LLC|CLARKSTON CAPITAL PARTNERS, LLC|2150 BUTTERFIELD|SUITE 220|TROY MI 48084|USA|||  ||GERALD W. HAKALA|(248) 220-1586|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|03/22/2007|0|0|0|0|0|0
Chicago Regional Office| 143490|801-67787|CALAMOS WEALTH MANAGEMENT LLC|CALAMOS WEALTH MANAGEMENT LLC|2020 CALAMOS COURT||NAPERVILLE IL 60563-2787|USA|||  ||WALTER R. RANDALL, JR.|(630) 245-1033|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|04/25/2007|1|1|0|0|0|0
Chicago Regional Office| 143638|801-67821|BDG WEALTH MANAGEMENT, LLC|BEST, DEPALMA & GUMMER WEALTH MANAGEMENT, LLC|155 COMMERCE PARK DR. SUITE 2||WESTERVILLE OH 43082|USA|||  ||JEFFREY G. BEST, CFP|614-839-2090|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/01/2007|0|0|0|0|0|0
Chicago Regional Office| 143668|801-67833|NATIONWIDE ASSET MANAGEMENT, LLC|NATIONWIDE ASSET MANAGEMENT, LLC|ONE NATIONWIDE PLAZA|MAIL CODE 1-05-602|COLUMBUS OH 43215|USA|||  ||KEVIN GRETHER|614-677-7300|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|06/20/2007|0|0|0|0|0|0
Chicago Regional Office| 143688|801-67914|THE NUTMEG GROUP, LLC|THE NUTMEG GROUP, LLC|155 N. REVERE DR., STE. 10||NORTHBROOK IL 60062|USA|||  ||MATT BALSON|847-291-7711|Limited Liability Company|Portfolio management for investment companies|APPROVED|06/07/2007|0|1|0|0|0|0
Chicago Regional Office| 143745|801-67845|RIAZZI ASSET MANAGEMENT, LLC|RIAZZI ASSET MANAGEMENT, LLC|2331 FAR HILLS AVENUE|SUITE 200|DAYTON OH 45419|USA|||  ||JOHN C. RIAZZI|937-643-1000|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/03/2007|0|0|0|0|0|0
Chicago Regional Office| 143788|801-67887|MILLER FINANCIAL SERVICES LLC|MILLER FINANCIAL SERVICES LLC|801 W. MICHIGAN AVENUE||MARSHALL MI 49068|USA|||  ||JOSEPH MILLER|269-781-5129|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Other|APPROVED|05/03/2007|0|0|0|0|0|0
Chicago Regional Office| 143823|801-68093|SG CAPITAL GROUP|SG CAPITAL GROUP LLC|8109 E. JEFFERSON|SUITE 300|DETROIT MI 48214|USA|||  ||JOSHUA GRIGGS|3138227496|Limited Liability Company|Pension consulting services|APPROVED|07/05/2007|0|0|0|0|0|0
Chicago Regional Office| 143848|801-67872|HECK CAPITAL ADVISORS, LLC|HECK CAPITAL ADVISORS, LLC|315 S. ONEIDA AVENUE|2ND FLOOR|RHINELANDER WI 54501|USA|PO BOX 738||RHINELANDER WI 54501|USA|DAVID M. HECK|715-361-1500|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|05/14/2007|0|0|0|0|0|0
Chicago Regional Office| 143926|801-68040|SIMRAN CAPITAL MANAGEMENT LLC|SIMRAN CAPITAL MANAGEMENT LLC|161 NORTH CLARK STREET|47TH FLOOR|CHICAGO IL 60601|USA|||  ||JON THOMAS|312-523-2181|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|06/20/2007|0|0|0|0|0|0
Chicago Regional Office| 143960|801-68351|WELSHIRE CAPITAL, LLC|WELSHIRE CAPITAL, LLC|9534 EAST 16 FRONTAGE ROAD|SUITE 200|ONALASKA WI 54650|USA|||  ||BRENT J. WELCH|(608) 783-0003|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|09/17/2007|0|0|0|0|0|0
Chicago Regional Office| 143973|801-67907|CALDER INVESTMENT ADVISORS|CALDER INVESTMENT ADVISORS|96 MONROE CENTER NW SUITE 305||GRAND RAPIDS MI 49503|USA|||  ||DIRK RACETTE|616-235-2442|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Market timing services|APPROVED|05/21/2007|0|0|0|0|0|0
Chicago Regional Office| 143983|801-67892|ROOKWOOD WEALTH MANAGEMENT, LLC|ROOKWOOD WEALTH MANAGEMENT, LLC|1120 E. ROOKWOOD DR.||CINTI OH 45208|USA|||  ||EVA C. BOOHER|513-871-7813|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|05/04/2007|0|0|0|0|0|0
Chicago Regional Office| 144024|801-67959|WEALTH CAPITAL MANAGEMENT GROUP, LLC|WEALTH CAPITAL MANAGEMENT GROUP, LLC|10143 ROYALTON ROAD|UNIT D|NORTH ROYALTON OH 44133|USA|||  ||ANTHONY D. DELFRE|440-582-9264|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|06/08/2007|0|1|0|0|0|0
Chicago Regional Office| 144124|801-68088|CABRERA MMI, LLC|CABRERA MULTI-MANAGER INVESTMENTS, LLC|10 SOUTH LASALLE STREET|SUITE 1050|CHICAGO IL 60603|USA|||  ||ROBERT ALAN BADE|312-236-8888|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|08/01/2007|0|1|0|0|0|0
Chicago Regional Office| 144133|801-68005|LOCKTON INVESTMENT ADVISORS, LLC|LOCKTON INVESTMENT ADVISORS, LLC|444 W 47TH STREET|SUITE 900|KANSAS CITY MO 64112|USA|||  ||SHANE BRETHOWR|816-960-9525|Limited Liability Company|Pension consulting services|APPROVED|06/18/2007|0|0|0|0|0|0
Chicago Regional Office| 144174|801-67965|RON BEATON'S MONEY MATTERS|BEATON, RONALD, RAY|630 WHITNEY DRIVE||PADUCAH KY 42001-5394|USA|||  ||RON R. BEATON|(270) 443-8711|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/29/2007|0|0|0|0|0|0
Chicago Regional Office| 144207|801-68195|HILLIARD LYONS CAPITAL MANAGEMENT, LLC|HILLIARD LYONS CAPITAL MANAGEMENT, LLC|500 WEST JEFFERSON STREET||LOUISVILLE KY 40202|USA|||  ||KAPLAN, ELIZABETH|502-588-1719|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/08/2007|0|2|0|0|0|0
Chicago Regional Office| 144213|801-67975|PRACTICAL PORTFOLIOS LLC|PRACTICAL PORTFOLIOS LLC|901 YORK STREET||MANITOWOC WI 54220-4632|USA|||  ||JOHN E CRESS|920-682-7680|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/11/2007|0|0|0|0|0|0
Chicago Regional Office| 144240|801-68019|SUNSET PARTNERS CAPITAL MANAGEMENT, LLC|SUNSET PARTNERS CAPITAL MANAGEMENT, LLC|3000 DUNDEE ROAD|SUITE 203|NORTHBROOK IL 60062|USA|||  ||JEFFREY KUTCHIN|847-412-9545|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/15/2007|0|0|0|0|0|0
Chicago Regional Office| 144245|801-68348|LEONARD ASSET MANAGEMENT, INC.|LEONARD ASSET MANAGEMENT, INC.|1450 W. LONG LAKE RD. STE 150||TROY MI 48098|USA|||  ||JEFFREY PLOPA|248-952-5858|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/15/2007|0|0|0|0|0|0
Chicago Regional Office| 144260|801-68133|MILWAUKEE PRIVATE WEALTH MANAGEMENT, INC|MILWAUKEE PRIVATE WEALTH MANAGEMENT, INC|1500 W. MARKET STREET|SUITE 250|MEQUON WI 53092|USA|||  ||JEFFREY R. GEYGAN|262-478-0640|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/05/2007|0|0|0|0|0|0
Chicago Regional Office| 144287|801-68171|STRATEGIC FINANCIAL GROUP, LLC|STRATEGIC FINANCIAL GROUP, LLC|101 EAST 90TH DRIVE||MERRILLVILLE IN 46410|USA|||  ||RENA NOE|765-446-2297|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/10/2007|0|0|0|0|0|0
Chicago Regional Office| 144344|801-68048|FRONTIER WEALTH MANAGEMENT, LLC|FRONTIER WEALTH MANAGEMENT, LLC|4520 MAIN ST., SUITE 1650||KANSAS CITY MO 64111|USA|||  ||CORY LAGERSTROM|816-753-5100|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/06/2007|0|0|0|0|0|0
Chicago Regional Office| 144349|801-68080|TRACY ROSS FINANCIAL ADVISOR, PLLC|TRACY ROSS FINANCIAL ADVISOR, PLLC|3382 GREENWOOD DRIVE||TRAVERSE CITY MI 49686|USA|||  ||TRACY ROSS|231-938-4405|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|07/02/2007|0|0|0|0|0|0
Chicago Regional Office| 144363|801-68062|BUCKHURST HOLDINGS, LLC|BUCKHURST HOLDINGS, LLC|2213 PINECREST DR.||FERNDALE MI 48220|USA|||  ||TREVOR CRICK|248-246-1162|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Market timing services|APPROVED-120|07/09/2007|0|0|0|0|0|0
Chicago Regional Office| 144387|801-68211|FAIRWAY  SPORTS MANAGEMENT, LLC|FAIRWAY  SPORTS MANAGEMENT, LLC|ONE CHAGRIN HIGHLANDS|2000 AUBURN DRIVE #330|CLEVELAND OH 44122|USA|||  ||JENNIFER RASMUSSEN|216-916-8428|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|07/30/2007|0|0|0|0|0|0
Chicago Regional Office| 144400|801-68089|CHICAGO ASSET MANAGEMENT COMPANY LLC|CHICAGO ASSET MANAGEMENT COMPANY LLC|70 W MADISON ST SUITE 400||CHICAGO IL 60602|USA|||  ||LESLIE MAKOVIC|312-372-2800|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/25/2007|0|0|0|0|0|0
Chicago Regional Office| 144449|801-68078|DEWAAY ADVISORY|DEWAAY ADVISORY, LLC|13001 UNIVERSITY AVENUE||CLIVE IA 50325|USA|||  ||CHARLES WIEGERT|(515) 273-1302|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|07/30/2007|0|0|0|0|0|0
Chicago Regional Office| 144554|801-68151|COUNTRY FUND MANAGEMENT, A DEPARTMENT OF COUNTRY TRUST BANK|COUNTRY TRUST BANK|1705 N. TOWANDA AVENUE||BLOOMINGTON IL 61702-2020|USA|ADMINISTRATIVE SERVICES BLDG|1711 GE ROAD|BLOOMINGTON IL 61704|USA|BARBARA MOSSON|309-821-6602|Other (specify)|Portfolio management for investment companies|APPROVED|07/20/2007|0|0|0|0|0|0
Chicago Regional Office| 144645|801-68199|JR MESENBURG AND ASSOCIATES|JOSEPH RAYMOND MESENBURG|96 NORTHWOODS BLVD.||COLUMBUS OH 43235|USA|||  ||KAREN MESENBURG|614-431-0431|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|08/20/2007|0|0|0|0|0|0
Chicago Regional Office| 144719|801-68219|OPTIMAL CAPITAL ADVISORS, LLC|OPTIMAL CAPITAL ADVISORS, LLC|12935 SW BAYSHORE DR|SUITE 305|TRAVERSE CITY MI 49684|USA|||  ||JAY BATCHA|231-933-4677|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|08/20/2007|0|0|0|0|0|0
Chicago Regional Office| 144725|801-68232|THIRD RIVER CAPITAL MANAGEMENT|THIRD RIVER CAPITAL MANAGEMENT, LLC|221 N. LASALLE ST. SUITE 1906||CHICAGO IL 60601|USA|||  ||KEVIN SILVERMAN|(312) 628-6714|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/01/2007|0|0|0|0|0|0
Chicago Regional Office| 144782|801-68332|SBAUER FUNDS, LLC|SBAUER FUNDS, LLC|10401 N. MERIDIAN ST.|SUITE 100|INDIANAPOLIS IN 46290|USA|||  ||DAVID GILREATH|317-814-5000|Limited Liability Company|Portfolio management for investment companies|APPROVED|09/18/2007|0|0|0|0|0|0
Chicago Regional Office| 144792|801-68260|SPARTA ASSET MANAGEMENT, LLC|SPARTA ASSET MANAGEMENT, LLC|6250 N. RIVER ROAD|SUITE 1000|ROSEMONT IL 60018|USA|||  ||NEAL WILKINSON|847-993-8101|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/16/2007|0|0|0|0|0|0
Chicago Regional Office| 144901|801-68268|EMERSON WEALTH MANAGEMENT, LLC|EMERSON WEALTH MANAGEMENT, LLC|901 WILSHIRE DRIVE, SUITE 350||TROY MI 48084|USA|||  ||CASEY BEAR|(248) 244-8900|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|08/28/2007|0|0|0|0|0|0
Chicago Regional Office| 144927|801-68362|AWJ CAPITAL PARTNERS, LLC|AWJ CAPITAL PARTNERS, LLC|2309 EAST LAKE OF THE ISLES PARKWAY||MINNEAPOLIS MN 55405|USA|||  ||MATTHEW FITZMAURICE|612-377-6013|Limited Liability Company|Selection of other advisers, Other|APPROVED|11/21/2007|0|3|0|0|0|0
Chicago Regional Office| 144982|801-68296|NEW ALBANY CAPITAL PARTNERS, LLC|NEW ALBANY CAPITAL PARTNERS, LLC|4200 REGENT STREET|2ND FLOOR|COLUMBUS OH 43054|USA|||  ||JOHN N. LEWIS, JR.|614-944-5011|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/05/2007|0|0|0|0|0|0
Chicago Regional Office| 144987|801-68368|KEVIN BAY INVESTMENTS, LLC|KEVIN BAY INVESTMENTS, LLC|285 FOREST GROVE DRIVE, SUITE 105||PEWAUKEE WI 53072-9958|USA|||  ||JAN CLIFF|(262) 691-2013|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|10/10/2007|0|0|0|0|0|0
Chicago Regional Office| 144994|801-68330|MACKEY KOMARA LLC|MACKEY KOMARA & DANKOVICH LLC|691 N. SQUIRREL ROAD, SUITE 240||AUBURN HILLS MI 48326|USA|||  ||JOHN M. DANKOVICH|(248) 418-5100|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|09/25/2007|0|0|2|0|0|0
Chicago Regional Office| 145026|801-68317|SAWYER FALDUTO ASSET MANAGEMENT, LLC|SFAM, LLC|340 WEST BUTTERFILED ROAD|SUITE 400|ELMHURST IL 60126|USA|||  ||TOM SAWYER|630-941-8560|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|09/13/2007|0|0|0|0|0|0
Chicago Regional Office| 145095|801-68339|HERRICK PORTFOLIO MANAGEMENT CO.|HERRICK PORTFOLIO MANAGEMENT CO.|19601 VAN AKEN BLVD.|SUITE 30|SHAKER HEIGHTS OH 44122|USA|||  ||BRUCE HERRICK|440-666-7760|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/12/2007|0|1|0|0|0|0
Chicago Regional Office| 145106|801-68342|CALHOUN ASSET MANAGEMENT, LLC|CALHOUN ASSET MANAGEMENT, LLC|8770 WEST BRYN MAWR AVENUE|SUITE 1300|CHICAGO IL 60631|USA|||  ||KRISTA WARD|773-867-8674|Limited Liability Company|Other|APPROVED|09/17/2007|0|0|0|0|0|0
Chicago Regional Office| 145112|801-68395|DMKC ADVISORY SERVICES, LLC|DMKC ADVISORY SERVICES, LLC|3900 INGERSOLL AVENUE|SUITE 300|DES MOINES IA 50312|USA|||  ||DANIEL G. KELLY|515-221-1133|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/28/2007|0|0|0|0|0|0
Chicago Regional Office| 145121|801-69306|BERG INVESTMENT PLANNING|TERREN GEORGE BERG|5508 BOHLANDER AVE||BERKELEY IL 60163|USA|||  ||TERREN GEORGE BERG|708-267-6451|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|06/23/2008|0|0|0|0|0|0
Chicago Regional Office| 145129|801-68381|ALERUS INVESTMENT ADVISORS CORPORATION|ALERUS INVESTMENT ADVISORS CORPORATION|10900 WAYZATA BLVD. SUITE 130||MINNETONKA MN 55305|USA|||  ||RICHARD JOSEPH|651-746-6008|Corporation|Pension consulting services|APPROVED|09/18/2007|0|0|0|0|0|0
Chicago Regional Office| 145166|801-68489|BAIRD VENTURE PARTNERS MANAGEMENT COMPANY III, LLC|BAIRD VENTURE PARTNERS MANAGEMENT COMPANY III, LLC|777 EAST WISCONSIN AVENUE||MILWAUKEE WI 53202-5391|USA|||  ||PAUL L. SCHULTZ|414-298-2655|Limited Liability Company|Other|APPROVED|11/07/2007|0|1|0|0|0|0
Chicago Regional Office| 145182|801-68520|FAIRPORT ASSET MANAGEMENT|WEALTHTRUST FAIRPORT, LLC|3636 EUCLID AVENUE, #3000||CLEVELAND OH 44115|USA|||  ||KENNETH J. COLEMAN|216-431-3833|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|11/15/2007|0|0|0|0|0|0
Chicago Regional Office| 145221|801-68481|CHERRY TREE FAMILY OFFICE LLC|CHERRY TREE FAMILY OFFICE LLC|301 CARLSON PARKWAY, SUITE 103||MINNETONKA MN 55305|USA|||  ||JANE BORTNEM|952 893-9012|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|10/25/2007|0|0|0|0|0|0
Chicago Regional Office| 145236|801-68473|ADAM SMITH MANAGEMENT LLC|ADAM SMITH MANAGEMENT LLC|301 CARLSON PARKWAY|SUITE 103|MINNETONKA MN 55305|USA|||  ||JANE BORTNEM|952-893-9012|Limited Liability Company|Other|APPROVED|11/01/2007|0|1|0|0|0|0
Chicago Regional Office| 145301|801-68518|EXCEL FINANCIAL, LLC|EXCEL FINANCIAL, LLC|321 MAIN STREET||RED WING MN 55066|USA|||  ||JAMES SCOTT LOQUAI|(651) 388-6441|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|11/23/2007|0|0|0|0|0|0
Chicago Regional Office| 145415|801-68968|CYPRESS ASSET MANAGEMENT, INC.|CYPRESS ASSET MANAGEMENT, INC.|4814 N. PROSPECT ROAD||PEORIA HEIGHTS IL 61616|USA|||  ||MICHAEL E. MAHONEY|309-679-9146|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|03/17/2008|0|0|0|0|0|0
Chicago Regional Office| 145420|801-69131|EQUITY COMPASS PORTFOLIO STRATEGIES|CHOICE FINANCIAL PARTNERS|501 NORTH BROADWAY||ST. LOUIS MO 63102|USA|||  ||MICHAEL P CONLEY|314-342-2156|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|05/08/2008|0|0|0|0|0|0
Chicago Regional Office| 145458|801-69160|NAGEL & ASSOCIATES, LLC|NAGEL & ASSOCIATES, LLC|2111 NORTH GATE ROAD||GREEN BAY WI 54313|USA|||  ||BRADLEY G NAGEL|920-676-3334|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|05/14/2008|0|0|0|0|0|0
Chicago Regional Office| 145495|801-68567|SIMPLESAVE, LLC|SIMPLESAVE, LLC|4520 MAIN STREET, SUITE 1650||KANSAS CITY MO 64111|USA|||  ||TIM DANKER|816-841-2754|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|11/30/2007|0|0|0|0|0|0
Chicago Regional Office| 145542|801-68561|PRAIRIE CAPITAL MANAGEMENT, LLC|PRAIRIE CAPITAL MANAGEMENT LLC|4801 MAIN STREET|SUITE 520|KANSAS CITY MO 64112|USA|||  ||KENT LUND|816-283-5242|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|11/28/2007|0|0|0|0|0|0
Chicago Regional Office| 145552|801-68507|HARVEST FINANCIAL ADVISORS, LLC|HARVEST FINANCIAL ADVISORS, LLC|312 WALNUT STREET, SUITE 1600||CINCINNATI OH 45202|USA|||  ||MARC ERLE HENN|513-762-7680|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|11/16/2007|0|0|0|0|0|0
Chicago Regional Office| 145581|801-68807|FLC INVESTMENT MANAGEMENT COMPANY, LLC|FLC INVESTMENT MANAGEMENT COMPANY, LLC|3750 WEST DEERFIELD ROAD||RIVERWOODS IL 60015-3598|USA|||  ||ANDERS RAAUM|800-233-3750|Limited Liability Company|Portfolio management for investment companies, Selection of other advisers|APPROVED-120|02/21/2008|0|0|0|0|0|0
Chicago Regional Office| 145590|801-68614|ABG CONSULTING, LLC|ABG CONSULTING, LLC|9320 PRIORITY WAY WEST DRIVE||INDIANAPOLIS IN 46240|USA|||  ||LISA PETHTEL|317-803-7723|Limited Liability Company|Pension consulting services, Other|APPROVED|12/17/2007|0|0|0|0|0|0
Chicago Regional Office| 145628|801-68589|PINNACLE FAMILY ADVISORS, LLC|PINNACLE FAMILY ADVISORS, LLC|1444-C  BRADFORD PARKWAY|SUITE 203|SPRINGFIELD MO 65804|USA|||  ||R. SEAN MCCURRY|417-844-3063|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|12/10/2007|0|0|0|0|0|0
Chicago Regional Office| 145668|801-68579|HEARTWOOD INVESTMENTS, INC.|HEARTWOOD INVESTMENTS, INC.|BCS SUITE 13-G,  8120 JENNINGS DRIVE||CEDAR FALLS IA 50613-5058|USA|||  ||DAVID G. SPARKS|319-273-8063|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|12/03/2007|0|0|0|0|0|0
Chicago Regional Office| 145743|801-68588|PRAIRIEVIEW PARTNERS, LLC|PRAIRIEVIEW PARTNERS, LLC|413 WACOUTA ST., SUITE 300||ST. PAUL MN 55101|USA|||  ||ROBERT N. AYLIN|651-233-1100|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|11/23/2007|0|0|0|0|0|0
Chicago Regional Office| 145795|801-68600|ESSEX RIDGE CAPITAL GROUP, LLC|ESSEX RIDGE CAPITAL GROUP, LLC|1401 S. BRENTWOOD BLVD.|SUITE 585|ST. LOUIS MO 63144|USA|||  ||JOHN GOLTERMANN|314-961-9405|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|01/03/2008|0|0|0|0|0|0
Chicago Regional Office| 145810|801-68625|TIMPANI CAPITAL MANAGEMENT LLC|TIMPANI CAPITAL MANAGEMENT LLC|400 SKOKIE BOULEVARD|SUITE 500|NORTHBROOK IL 60062-2815|USA|||  ||ELYCE DILWORTH|847-509-1140|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/02/2008|0|0|0|0|0|0
Chicago Regional Office| 145845|801-68662|STABILE INVESTMENT MANAGEMENT|STABILE INVESTMENT MANAGEMENT, LLC|17 W 609 14TH STREET||OAKBROOK TERRACE IL 60181|USA|||  ||BRIAN WILSON|630-964-0300|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/07/2008|0|0|0|0|0|0
Chicago Regional Office| 145862|801-69197|VIA WEALTH MANAGEMENT|VIA WEALTH MANAGEMENT, LLC|5830 CIRCLE T DRIVE||GREENWOOD IN 46143|USA|||  ||TIMOTHY E VOEGELE|317-270-2562|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED-120|05/21/2008|0|0|0|0|0|0
Chicago Regional Office| 145876|801-68637|PIPER JAFFRAY INVESTMENT MANAGEMENT LLC|PIPER JAFFRAY INVESTMENT MANAGEMENT LLC|800 NICOLLET MALL||MINNEAPOLIS MN 55402|USA|||  ||ANN C. MCCAGUE|612-303-6359|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/02/2008|0|1|1|0|0|0
Chicago Regional Office| 145915|801-68727|AEON CAPITAL MANAGEMENT, INC.|AEON CAPITAL MANAGEMENT, INC.|30 SOUTH WACKER DRIVE, SUITE 1918-1||CHICAGO IL 60606|USA|||  ||SORABH ARORA|312-655-1049|Corporation|Other|APPROVED-120|01/15/2008|0|0|0|0|0|0
Chicago Regional Office| 145946|801-68648|WISCONSIN WEALTH ADVISORS, LLC|WISCONSIN WEALTH ADVISORS, LLC|515 WEST MAIN STREET||SUN PRAIRIE WI 53590|USA|||  ||TERRY A. BALDING|608-837-9099|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/21/2007|0|0|0|0|0|0
Chicago Regional Office| 145950|801-68666|CLEVELAND CAPITAL MANAGEMENT|CLEVELAND CAPITAL MANAGEMENT, L.L.C.|1250 LINDA ST. SUITE 304||ROCKY RIVER OH 44116|USA|||  ||WADE MASSAD|440-333-4925|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/02/2008|0|0|0|0|0|0
Chicago Regional Office| 145965|801-68726|WORLD CAPITAL PARTNERS L.L.C.|WORLD CAPITAL PARTNERS L.L.C.|39400 WOODWARD AVENUE|SUITE 100|BLOOMFIELD HILLS MI 48304-5151|USA|||  ||PATRICK F. CARNEY|248-593-8827|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|01/23/2008|0|0|0|0|0|0
Chicago Regional Office| 145979|801-68734|DBLAINE CAPITAL, LLC|DBLAINE CAPITAL, LLC|806 HARVEST TRAIL||BUFFALO MN 55313|USA|||  ||DAVID B. WELLIVER|612-865-1555|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/22/2008|1|0|0|0|0|0
Chicago Regional Office| 146019|801-68723|CONFLUENCE INVESTMENT MANAGEMENT LLC|CONFLUENCE INVESTMENT MANAGEMENT LLC|349 MARSHALL AVENUE, SUITE 302||SAINT LOUIS MO 63119|USA|||  ||JOSEPH HANZLIK|314-743-5096|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/10/2008|0|1|0|0|0|0
Chicago Regional Office| 146086|801-68785|SILVERLEAF CAPITAL ADVISORS, LLC|SILVERLEAF CAPITAL ADVISORS, LLC|225 WEST WASHINGTON STREET|SUITE 2200|CHICAGO IL 60606|USA|||  ||THOMAS R. HESSION, JR.|(312) 924-2835|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|01/29/2008|0|0|0|0|0|0
Chicago Regional Office| 146233|801-68791|HIESER WEBB CAPITAL MANAGEMENT|HIESER WEBB CAPITAL MANAGEMENT, INC.|2408 CENTRAL AVENUE||INDIANAPOLIS IN 46205|USA|||  ||DAVID WEBB|317-951-8799|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|02/08/2008|0|0|0|0|0|0
Chicago Regional Office| 146301|801-68876|TACTICAL PORTFOLIO ADVISORS, LLC|TACTICAL PORTFOLIO ADVISORS, LLC|180 S. HANCOCK #A||PENTWATER MI 49449|USA|7334 W. MINCH RD||MEARS MI 49436|USA|GREGORY VAUGHN BANGMA|616-791-8589|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/05/2008|0|0|0|0|0|0
Chicago Regional Office| 146371|801-68839|CUTTINGEDGE ADVISORS|CUTTINGEDGE ADVISORS CORPORATION|9201 WATSON ROAD|SUITE 300|ST. LOUIS MO 63126|USA|||  ||MARCO RAMIREZ|800-227-8711|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/06/2008|0|0|0|0|0|0
Chicago Regional Office| 146444|801-68915|FEG INVESTORS, LLC|FEG INVESTORS, LLC|201 EAST FIFTH STREET|SUITE 1600|CINCINNATI OH 45202|USA|||  ||KENTON PETTIT|513-719-5135|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|04/16/2008|0|0|0|0|0|0
Chicago Regional Office| 146452|801-69099|NORTHLAND CAPITAL MANAGEMENT|NORTHLAND CAPITAL MANAGEMENT, LLC|4815 WEST ARROWHEAD ROAD|SUITE 220|DULUTH MN 55811|USA|||  ||CHRISTOPHER A. ERICKSON|218-722-0559|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED-120|05/01/2008|0|0|0|0|0|0
Chicago Regional Office| 146549|801-68977|TOWER WEALTH MANAGEMENT, LLC|TOWER WEALTH MANAGEMENT, LLC|SUITE 803|20600 CHAGRIN BOULEVARD|SHAKER HEIGHTS OH 44114-1793|USA|||  ||WILLIAM R. ANDERSON|216-295-2400|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/26/2008|0|0|0|0|0|0
Chicago Regional Office| 146564|801-68934|WOLVERINE WEALTH ADVISORY SERVICES INC.|WOLVERINE WEALTH ADVISORY SERVICES INC.|355 SOUTH OLD WOODWARD AVENUE|SUITE 220|BIRMINGHAM MI 48009|USA|||  ||ANNE BREUCH|248-220-2202|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/13/2008|0|0|0|0|0|0
Chicago Regional Office| 146615|801-68930|MAINSTREET ADVISORS|MAINSTREET INVESTMENT ADVISORS LLC|120 N. LASALLE STREET|SUITE 3750|CHICAGO IL 60602|USA|||  ||JOHN CROSSON|312-223-0270|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED-120|03/12/2008|0|0|0|0|0|0
Chicago Regional Office| 146616|801-68902|REDHAWK WEALTH ADVISORS, INC.|REDHAWK WEALTH ADVISORS, INC.|7400 METRO BLVD|SUITE 219|EDINA MN 55439|USA|||  ||BRAD PRIES|952-831-0039|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/06/2008|0|0|0|0|0|0
Chicago Regional Office| 146626|801-69206|NORTH COMPASS FINANCIAL ADVISORS, LLC|NORTH COMPASS FINANCIAL ADVISORS, LLC|21 NE 5TH STREET, SUITE 301||GRAND RAPIDS MN 55744|USA|||  ||DALE ANICH|218-326-4722|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Other|APPROVED-120|05/29/2008|0|0|0|0|0|0
Chicago Regional Office| 146638|801-69353|MERS CAPITAL PARTNERS, LLC|TEGRIT INVESTMENT ADVISORS LLC|1134 MUNICIPAL WAY||LANSING MI 48917-7886|USA|1134 MUNICIPAL WAY||LANSING MI 48917-7886|USA|STEPHEN GARROW|517-703-9030|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|07/09/2008|0|9|1|0|0|0
Chicago Regional Office| 146677|801-68937|ALLSTATE INSTITUTIONAL ADVISORS, LLC|ALLSTATE INSTITUTIONAL ADVISORS, LLC|3100 SANDERS ROAD|SUITE M2|NORTHBROOK IL 60062-7154|USA|||  ||ANGELA MARIE BANDI|847/402-9237|Limited Liability Company|Portfolio management for investment companies, Selection of other advisers|APPROVED|03/11/2008|0|0|0|0|0|0
Chicago Regional Office| 146681|801-68972|GATEWAY INVESTMENT ADVISERS, LLC|GATEWAY INVESTMENT ADVISERS, LLC|3805 EDWARDS ROAD|ROOKWOOD TOWER, SUITE 600|CINCINNATI OH 45209|USA|||  ||DONNA BROWN|(513) 719-1100|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/18/2008|0|4|0|0|0|0
Chicago Regional Office| 146758|801-69183|VEZZETTI CAPITAL MANAGEMENT, L.L.C.|VEZZETTI CAPITAL MANAGEMENT, L.L.C.|260 BUCKLIN STREET||LA SALLE IL 61301|USA|||  ||MICHAEL V. VEZZETTI|815-224-3133|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|05/21/2008|0|0|0|0|0|0
Chicago Regional Office| 146761|801-69256|PLUSCIOS MANAGEMENT LLC|PLUSCIOS MANAGEMENT LLC|1603 ORRINGTON AVE|SUITE 750|EVANSTON IL 60201|USA|||  ||KELLY CHESNEY|224-420-7044|Limited Liability Company|Other|APPROVED|06/17/2008|0|0|0|0|0|0
Chicago Regional Office| 146766|801-69254|ABRAHAM LINCOLN ALTERNATIVE INVESTMENTS LLC|ABRAHAM LINCOLN ALTERNATIVE INVESTMENTS LLC|161 NORTH CLARK|SUITE 4700|CHICAGO IL 60601|USA|||  ||GORDON P. WRIGHT|312-450-6634|Limited Liability Company|Financial planning services|APPROVED-120|06/17/2008|0|0|0|0|0|0
Chicago Regional Office| 146811|801-69393|HARBINGER ASSET MANAGEMENT, LLC|HARBINGER ASSET MANAGEMENT, LLC|5220 LOVERS LANE|SUITE 130|PORTAGE MI 49002|USA|||  ||CHRISTOPHER THOMAS TOLMACS|269-553-0805|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED-120|07/29/2008|0|0|0|0|0|0
Chicago Regional Office| 146829|801-69340|LS INVESTMENT ADVISORS, LLC|LS INVESTMENT ADVISORS, LLC|39533 WOODWARD AVENUE|SUITE 300|BLOOMFIELD HILLS MI 48304|USA|||  ||WILLIAM CAMP|248-430-0262|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|07/11/2008|0|0|0|0|0|0
Chicago Regional Office| 146851|801-69003|LEONETTI & ASSOCIATES, LLC|LEONETTI & ASSOCIATES, LLC|1130 LAKE COOK ROAD|SUITE 300|BUFFALO GROVE IL 60089-1976|USA|||  ||JOHN T UNGER|7139934645|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|04/23/2008|0|0|0|0|0|0
Chicago Regional Office| 146911|801-69389|VW ADVISORS, LLC|VW ADVISORS, LLC|2058 S. 40TH CT||WEST DES MOINES IA 50265|USA|||  ||DOUGLAS DEAN VANDER WEIDE|515-707-5500|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED-120|07/18/2008|0|0|0|0|0|0
Chicago Regional Office| 146928|801-69044|PRIVATE HARBOUR|PRIVATE HARBOUR INVESTMENT MANAGEMENT & COUNSEL LLC.|377 TROUBADOUR DRIVE||SAGAMORE HILLS OH 44067|USA|||  ||MARY ANNE VILYUS|216-752-8900|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|04/28/2008|0|0|0|0|0|0
Chicago Regional Office| 146936|801-69286|BENJAMIN F. EDWARDS & COMPANY, LLC|BENJAMIN F. EDWARDS & COMPANY, LLC|10 SOUTH BRENTWOOD BOULEVARD|SUITE 100|CLAYTON MO 63105|USA|||  ||CYNTHIA L. BECKER|314-726-1600|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED-120|06/12/2008|0|0|0|0|0|0
Chicago Regional Office| 146957|801-69213|EASTWIND CAPITAL, LLC|EASTWIND CAPITAL, LLC|921 EASTWIND DRIVE, SUITE 101||WESTERVILLE OH 43081|USA|||  ||P. MICHAEL VALLEY, II|614-888-2230|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED-120|06/10/2008|0|1|0|0|0|0
Chicago Regional Office| 146995|801-69085|JB INVESTMENT MANAGEMENT, LLC|JB INVESTMENT MANAGEMENT, LLC|13890 BISHOPS DRIVE|SUITE 350|BROOKFIELD WI 53005|USA|||  ||JEFFREY L. BRYDEN|262.439.2100|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|04/21/2008|0|0|0|0|0|0
Chicago Regional Office| 147012|801-69341|RIVER GLEN WEALTH COUNSELORS|VEERKLOH, LLC|5930 GRAND AVENUE|SUITE 110|WEST DES MOINES IA 50266|USA|||  ||MATT BUSICK|515-710-5493|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED-120|07/01/2008|0|0|0|0|0|0
Chicago Regional Office| 147019|801-69230|PEARSON TRADE INTERNATIONAL (DBA)|PEARSON, CRAIG - KEVIN|26034 TOWNLEY ST||MADISON HEIGHTS MI 48071|USA|||  ||CRAIG K. PEARSON|(248) 425-4443|Sole Proprietorship|Selection of other advisers, Publication of periodicals or newsletters|APPROVED|06/20/2008|0|0|0|0|0|0
Chicago Regional Office| 147039|801-69087|WELLINGTON INSTITUTIONAL MANAGEMENT, LLC|WELLINGTON INSTITUTIONAL MANAGEMENT, LLC|9000 KEYSTONE CROSSING|SUITE 450|INDIANAPOLIS IN 46240|USA|||  ||WILLIAM M. CANNON|317 848-1850|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|04/23/2008|0|0|0|0|0|0
Chicago Regional Office| 147059|801-69191|DISABATO ADVISERS, LLC|DISABATO ADVISERS, LLC|525 W. MONROE STREET|SUITE 560|CHICAGO IL 60661|USA|||  ||TED L. DISABATO|312-474-0900|Limited Liability Company|Pension consulting services, Selection of other advisers, Other|APPROVED|05/27/2008|0|0|0|0|0|0
Chicago Regional Office| 147063|801-69121|WEALTHSPRING ADVISORS, LLC|WEALTHSPRING ADVISORS, LLC|7900 INTERNATIONAL DRIVE|SUITE 200|BLOOMINGTON MN 55425|USA|||  ||MARK P. CULHANE|952-851-5550|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED-120|04/30/2008|0|0|0|0|0|0
Chicago Regional Office| 147115|801-69158|SVANOE & THOMPSON LLC|THOMPSON CAPITAL MANAGEMENT, LLC|2715 DEER CREEK TRAIL||URBANDALE IA 50323|USA|||  ||JAMES THOMPSON|515-244-5141|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/12/2008|0|0|0|0|0|0
Chicago Regional Office| 147168|801-69149|STRATEGIC WEALTH PARTNERS, LLC|STRATEGIC WEALTH PARTNERS, LLC|520 LAKE COOK ROAD|SUITE 270|DEERFIELD IL 60015|USA|||  ||NEAL PRICE|224-632-1610|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED-120|05/16/2008|0|0|0|0|0|0
Chicago Regional Office| 147179|801-69167|VERDE CAPITAL MANAGEMENT, INC.|VERDE CAPITAL MANAGEMENT, INC.|215 EAST BIG BEAVER ROAD||TROY MI 48083|USA|||  ||CARL SZASZ|248-528-1870|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED-120|05/21/2008|0|0|0|0|0|0
Chicago Regional Office| 147206|801-69215|CEDAR HILL ASSOCIATES, LLC|CEDAR HILL ASSOCIATES, LLC|600 CENTRAL AVENUE|SUITE 138|HIGHLAND PARK IL 60035-3211|USA|||  ||ALAN COLE|847-861-8320|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/18/2008|0|0|0|0|0|0
Chicago Regional Office| 147210|801-69403|WALTON STREET CAPITAL, L.L.C.|WALTON STREET CAPITAL, L.L.C.|900 N. MICHIGAN AVE.|SUITE 1900|CHICAGO IL 60611|USA|||  ||COLLEEN MARENCIK|312-915-1574|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/24/2008|0|0|0|0|0|0
Chicago Regional Office| 147253|801-69216|QUADRANT PARTNERS|QUADRANT CAPITAL GROUP LLC|4536 AIRPORT ROAD||CINCINNATI OH 45226|USA|||  ||PATRICK LAFLEY|513-871-5500|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED-120|05/28/2008|0|0|0|0|0|0
Chicago Regional Office| 147255|801-69238|BAIRD CAPITAL PARTNERS ASIA MANAGEMENT I LIMITED PARTNERSHIP|BAIRD CAPITAL PARTNERS ASIA MANAGEMENT I LIMITED PARTNERSHIP|777 EAST WISCONSIN AVENUE||MILWAUKEE WI 53202-5391|USA|||  ||PAUL L. SCHULTZ|414-298-2655|Partnership|Other|APPROVED|06/11/2008|0|1|0|0|0|0
Chicago Regional Office| 147269|801-69220|MEYERS CAPITAL MANAGEMENT GROUP, LLC|MEYERS CAPITAL MANAGEMENT GROUP, LLC|2695 SANDOVER ROAD||COLUMBUS OH 43220|USA|||  ||FRANK B. MEYERS|614-442-0384|Limited Liability Company|Portfolio management for investment companies|APPROVED-120|05/28/2008|0|0|0|0|0|0
Chicago Regional Office| 147284|801-69277|LIZARD INVESTORS LLC|LIZARD INVESTORS LLC|435 NORTH MICHIGAN AVENUE|SUITE 2300|CHICAGO IL 60611|USA|||  ||GLENN O'FLAHERTY|(312) 803-7300|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|07/11/2008|0|0|0|0|0|0
Chicago Regional Office| 147287|801-69263|MUELLER ASSET MANAGEMENT|MUELLER ASSET MANAGEMENT, LLC|12609 NORTH PARK DRIVE||MEQUON WI 53092|USA|||  ||TIM MUELLER|262-243-5456|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|06/17/2008|0|0|0|0|0|0
Chicago Regional Office| 147332|801-69233|PROACTIVE ADVISORS, LLC|PROACTIVE ADVISORS, LLC|131 PROSPEROUS PLACE|STE. 17A|LEXINGTON KY 40509-1853|USA|||  ||LAWRENCE YORK|859-263-1117|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED-120|06/19/2008|0|2|0|0|0|0
Chicago Regional Office| 147362|801-69319|NORTHPOINT ADVISORY LLC|NORTHPOINT ADVISORY LLC|1012 GREENWOOD AVENUE||WILMETTE IL 60091|USA|||  ||THOMAS T. WISCOMB|847.778.6082|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|06/25/2008|0|0|0|0|0|0
Chicago Regional Office| 147376|801-69317|AMERICAN COMMUNITY WEALTH MANAGEMENT, LLC|AMERICAN COMMUNITY WEALTH MANAGEMENT, LLC|1290 LAKE AVENUE||WOODSTOCK IL 60098|USA|P.O. BOX 1720||WOODSTOCK IL 60098|USA|KARYN M. PRATT|815-334-3574|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED-120|06/19/2008|0|0|0|0|0|0
Chicago Regional Office| 147384|801-69248|SCHWARZ DYGOS WHEELER INVESTMENT ADVISORS LLC|SCHWARZ DYGOS WHEELER INVESTMENT ADVISORS LLC|50 SOUTH 6TH STREET, SUITE 1405||MINNEAPOLIS MN 55402|USA|||  ||BENJAMIN J. WHEELER|(612) 355 - 4363|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|06/12/2008|0|0|0|0|0|0
Chicago Regional Office| 147433|801-69312|FASCIANOFUNDS MANAGEMENT, LLC|FASCIANOFUNDS MANAGEMENT, LLC|1300 KENNICOTT DRIVE||LAKE FOREST IL 60045|USA|||  ||MICHAEL FASCIANO|312-560-2025|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED-120|06/26/2008|0|0|0|0|0|0
Chicago Regional Office| 147447|801-69280|BANNERSTONE CAPITAL|BANNERSTONE CAPITAL MANAGEMENT, LLC|18258 MINNETONKA BLVD|SUITE 105|DEEPHAVEN MN 55391|USA|||  ||BIFF ROBILLARD|952 249 8888|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|06/12/2008|0|0|0|0|0|0
Chicago Regional Office| 147461|801-69327|STRATEGIC EDGE WEALTH MANAGEMENT, LLC|STRATEGIC EDGE WEALTH MANAGEMENT, LLC|1500 SKOKIE BLVD.|SUITE 312|NORTHBROOK IL 60062|USA|||  ||SRBO RADISAVLJEVIC|(847) 849-5550|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED-120|06/27/2008|0|0|0|0|0|0
Chicago Regional Office| 147477|801-69406|INDEX INVESTORS, INC|INDEX INVESTORS, INC|9561 DREGERS WAY||VERONA WI 53593|USA|||  ||DAVID STOTT|608-345-6151|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|07/16/2008|0|0|0|0|0|0
Chicago Regional Office| 147482|801-69303|LIFETIME WEALTH MANAGEMENT, LLC|LIFETIME WEALTH MANAGEMENT, LLC|717 3RD ST SW||ROCHESTER MN 55902|USA|||  ||BRAD MILLER|507-288-5587|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED-120|06/27/2008|0|0|0|0|0|0
Chicago Regional Office| 147523|801-69326|ROI PATHWAYS, LLC|ROI PATHWAYS, LLC|9291 COLD STREAM LN.||EDEN PRAIRIE MN 55347|USA|P.O. BOX 385575||MINNEAPOLIS MN 55438-5573|USA|STEVE R. MOHN|(612) 280-9551|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED-120|07/01/2008|0|0|0|0|0|0
Chicago Regional Office| 147578|801-69394|SIGNALPOINT ASSET MANAGEMENT LLC|SIGNALPOINT ASSET MANAGEMENT LLC|1201 E. WALNUT ST.||SPRINGFIELD MO 65802|USA|||  ||SKIP MOTSENBOCKER|417-869-9980|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|07/21/2008|0|0|0|0|0|0
Chicago Regional Office| 147732|801-69409|KNIGHT TRANSITION MANAGEMENT LLC|KNIGHT TRANSITION MANAGEMENT LLC|225 WEST WASHINGTON STREET|SUITE 300|CHICAGO IL 60606|USA|||  ||SHAUNA M. LAMBRIGHT|312-553-8341|Limited Liability Company|Other|APPROVED-120|07/11/2008|0|0|0|0|0|0
Chicago Regional Office| 147934|801-69455|COMPASS PRIVATE WEALTH CONSULTING, LLC|COMPASS PRIVATE WEALTH CONSULTING, LLC|15256 FAIRWAY HEIGHTS ROAD NW||PRIOR LAKE MN 55372|USA|||  ||JOHN CARR|503-635-5244|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED-120|07/25/2008|0|0|0|0|0|0
Chicago Regional Office| 148023|801-69472|CUNNINGHAM WEALTH MANAGEMENT|CUNNINGHAM WEALTH MANAGEMENT LLC|60 EAGLE VALLEY COURT||BROADVIEW HEIGHTS OH 44147|USA|||  ||GLENN CUNNINGHAM|440 717-1350|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED-120|07/31/2008|0|0|0|0|0|0
Denver Regional Office|    611|801-61332|MUTUAL OF OMAHA INVESTOR SERVICES, INC.|MUTUAL OF OMAHA INVESTOR SERVICES, INC.|MUTUAL OF OMAHA PLAZA||OMAHA NE 68175-1020|USA|||  ||THOMAS GOETZ|402-351-6813|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|07/30/2002|0|3|0|0|0|0
Denver Regional Office|    866|801-16720|WADDELL & REED, INC.|WADDELL & REED, INC.|6300 LAMAR AVENUE||OVERLAND PARK KS 66202-4200|USA|P.O. BOX 29217||SHAWNEE MISSION KS 66201-9217|USA|BUYLE, MARK P.|913-236-1928|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|01/15/1982|0|23|3|0|0|0
Denver Regional Office|   7425|801-65853|NTB ADVISERS, A DIVISION OF NEIDIGER, TUCKER, BRUNER INC|NEIDIGER, TUCKER, BRUNER, INC.|1331 17TH ST|SUITE 400|DENVER CO 80202|USA|||  ||CHARLES C BRUNER|303-825-1825|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Publication of periodicals or newsletters|APPROVED|01/30/2006|0|5|2|0|0|0
Denver Regional Office|   7862|801-14003|CENTENNIAL ASSET MANAGEMENT CORPORATION|CENTENNIAL ASSET MANAGEMENT CORPORATION|6803 SOUTH TUCSON WAY||CENTENNIAL CO 80112-3924|USA|||  ||ROBERT G. ZACK|212-323-0250|Corporation|Portfolio management for investment companies|APPROVED|08/30/1978|0|22|1|0|0|0
Denver Regional Office|   7870|801-60469|TD AMERITRADE, INC.|TD AMERITRADE, INC.|1005 N AMERITRADE PLACE||BELLEVUE NE 68005|USA|||  ||JOSEPH VITALE|201-369-8423|Corporation|Selection of other advisers|APPROVED|08/22/2001|0|34|4|0|0|0
Denver Regional Office|   8408|801-24253|CAPITAL FINANCIAL SERVICES, INC.|CAPITAL FINANCIAL SERVICES, INC.|#1 MAIN STREET NORTH||MINOT ND 58703|USA|||  ||JOHN R CARLSON|701-852-5292|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/30/1985|0|6|0|0|0|0
Denver Regional Office|  10299|801-33020|MULTI-FINANCIAL SECURITIES CORPORATION|MULTI-FINANCIAL SECURITIES CORPORATION|1290 BROADWAY||DENVER CO 80203|USA|P.O. BOX 5120||DENVER CO 80217|U.S.|BERNARD BRETON|303-860-2310|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Market timing services|APPROVED|10/27/1988|0|46|1|0|0|0
Denver Regional Office|  13623|801-58158|FIRST WESTERN ADVISORS|FIRST WESTERN ADVISORS|6440 S MILLROCK DR, STE 150||HOLLADAY UT 84121|USA|||  ||WILLIAM EVANS|801-930-6500|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|11/21/2000|0|0|0|0|0|0
Denver Regional Office|  14503|801-61672|VSR ADVISORY SERVICES|VSR FINANCIAL SERVICES, INC.|8620 W. 110TH STREET|SUITE 200|OVERLAND PARK KS 66210|USA|||  ||KENNETH PYLE|913-498-2900|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters, Market timing services|APPROVED|01/23/2003|0|11|0|0|0|0
Denver Regional Office|  14559|801-67301|GILL CAPITAL PARTNERS|GILL CAPITAL PARTNERS|600 S. CHERRY ST.|SUITE 800|DENVER CO 80246-1710|USA|||  ||JAMES O'BRIEN|303-296-6260|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|12/15/2006|0|8|0|0|0|0
Denver Regional Office|  14869|801-55153|AMERITAS INVESTMENT CORP|AMERITAS INVESTMENT CORP|5900 "O" STREET||LINCOLN NE 68510|USA|||  ||GREGORY C. SERNETT|402-467-7853|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/13/1998|0|22|8|0|0|0
Denver Regional Office|  18189|801-29070|LARIMER CAPITAL CORPORATION|LARIMER CAPITAL CORP|1720 SOUTH BELLAIRE STREET|SUITE 1110|DENVER CO 80222|USA|||  ||CARMEL, ADAM N|720-870-8700|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|12/01/1986|0|1|0|0|0|0
Denver Regional Office|  24153|801-37558|CNBS|CNBS, LLC|7200 WEST 132ND STREET|SUITE 240|OVERLAND PARK KS 66213|USA|||  ||RICHARDSON, DOUGLAS P.|(913) 402-2631|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/15/1990|0|0|0|0|0|0
Denver Regional Office|  28784|801-66495|PRESIDENTIAL BROKERAGE, INC.|PRESIDENTIAL BROKERAGE, INC.|5445 DTC PKWY|SUITE 1100|GREENWOOD VILLAGE CO 80111|USA|||  ||ANTHONY CAMPEN|303-694-1600|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|04/07/2006|0|7|0|0|0|0
Denver Regional Office|  29807|801-61022|COUNTRY CLUB FINANCIAL SERVICES, INC.|COUNTRY CLUB FINANCIAL SERVICES, INC.|2001 SHAWNEE MISSION PARKWAY||SHAWNEE MISSION KS 66205|USA|P. O. BOX 410889||KANSAS CITY MO 64141-0889|USA|SANDRA DERSHEM-VEGA|(816) 931-4060|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/05/2002|0|0|0|0|0|0
Denver Regional Office|  35844|801-53819|CASCADE INVESTMENT GROUP, INC.|CASCADE INVESTMENT GROUP, INC.|90 S. CASCADE AVENUE, SUITE 1250||COLORADO SPRINGS CO 80903|USA|||  ||CRAIG S. RALSTON|719-632-0818|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/10/1997|0|0|0|0|0|0
Denver Regional Office|  36487|801-61692|UNITED SECURITIES ALLIANCE, INC.|UNITED SECURITIES ALLIANCE, INC.|7720 EAST BELLEVIEW AVENUE|SUITE B103|GREENWOOD VILLAGE CO 80111|USA|||  ||DANA L. DAVIS|303-350-1960|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|01/31/2003|0|13|0|0|0|0
Denver Regional Office|  36937|801-67826|FIRST MATRIX INVESTMENT SERVICES|FIRST MATRIX INVESTMENT SERVICES CORP.|700 17TH STREET||DENVER CO 80202|USA|||  ||CHERYL BRADY|720-932-4128|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/08/2007|0|0|0|0|0|0
Denver Regional Office|  39385|801-54195|FELDMAN SECURITIES GROUP LLC|FELDMAN SECURITIES GROUP L.L.C.|5901 COLLEGE BLVD||OVERLAND PARK KS 66211|USA|||  ||BRADLEY W. YOUNG|800 676-1755|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/03/1997|0|2|0|0|0|0
Denver Regional Office|  41438|801-52357|CAPITAL CONSULTING & ASSET MANAGEMENT|CAPITAL CONSULTING & ASSET MANAGEMENT, INC.|140 N. 8TH STREET|410 THE APOTHECARY|LINCOLN NE 68508|USA|||  ||CORY KOEPPEN|402-477-2500|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|07/03/1996|0|2|0|0|0|0
Denver Regional Office|  44645|801-55220|FOUNDERS ASSET MANAGEMENT LLC|FOUNDERS ASSET MANAGEMENT LLC|210 UNIVERSITY BLVD, SUITE 800||DENVER CO 80206-4658|USA|||  ||KENNETH R. CHRISTOFFERSEN|303-394-4404|Limited Liability Company|Portfolio management for investment companies|APPROVED|03/13/1998|0|12|10|0|0|0
Denver Regional Office|  46727|801-62731|ADVISORS ASSET MANAGEMENT, INC.|ADVISORS ASSET MANAGEMENT, INC.|18925 BASE CAMP ROAD|SUITE 203|MONUMENT CO 80132|USA|||  ||MICHAEL P. DUDLEY|210-630-6331|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/06/2004|0|2|0|0|0|0
Denver Regional Office| 104574|801-33304|PRUDENT MAN INVESTMENT MANAGEMENT|PRUDENT MAN INVESTMENT MANAGEMENT INC|1601 ARAPAHOE STREET|SUITE 13|DENVER CO 80202-2015|USA|||  ||DIAMOND, KEITH|303-436-1577|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|11/21/1988|0|0|0|0|0|0
Denver Regional Office| 104652|801-13991|JANUS|JANUS CAPITAL MANAGEMENT LLC|151 DETROIT STREET||DENVER CO 80206|USA|||  ||KOWALSKI, DAVID RICHARD|303-333-3863|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|07/01/1978|0|5|1|0|0|0
Denver Regional Office| 104738|801-21656|R.D. THOMPSON INVESTMENTS|THOMPSON ROBERT DOULGAS|807 EAST SOUTH TEMPLE, SUITE 202||SALT LAKE CITY UT 84102|USA|||  ||THOMPSON, ROBERT D|(801)363-1952|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|06/29/1984|0|0|0|0|0|0
Denver Regional Office| 104775|801-14393|SUNDERMANN CAPITAL MANAGEMENT LLC|SUNDERMANN CAPITAL MANAGEMENT LLC|8400 E. PRENTICE AVENUE|SUITE 1360|GREENWOOD VILLAGE CO 80111-2925|USA|||  ||SUNDERMANN, EDWARD (NED) H|303-758-1223|Limited Liability Company|Portfolio management for individuals and/or small businesses, Other|APPROVED|02/16/1979|0|0|0|0|0|0
Denver Regional Office| 104807|801-24443|SHELDON J. MILLER, REGISTERED INVESTMENT ADVISOR|MILLER SHELDON JOSEPH|8100 E 22ND ST. NORTH BLD 1900||WICHITA KS 67226-2319|USA|||  ||MILLER, SHELDON JOSEPH|415 381 6912|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/27/1985|0|0|0|0|0|0
Denver Regional Office| 104851|801-36028|CAMBRIDGE ADVISORS INC|CAMBRIDGE ADVISORS INC|17330 WRIGHT STREET, SUITE 205||OMAHA NE 68130|USA|||  ||LIFFRING, LORI L.|402-697-1166|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|02/16/1990|0|0|0|0|0|0
Denver Regional Office| 104861|801-36025|STRATEGIS FINANCIAL GROUP, INC|STRATEGIS FINANCIAL GROUP, INC|2230 N UNIVERSITY PKWY., STE 9C||PROVO UT 84604|USA|||  ||SCOTT H. GARBUTT|801-373-1100|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Market timing services, Other|APPROVED|02/16/1990|0|0|0|0|0|0
Denver Regional Office| 104917|801-22145|MCMANNAMA & ASSOCIATES|MCMANNAMA & ASSOCIATES INC|444 REGENCY PARKWAY DRIVE|SUITE 201|OMAHA NE 68114-3779|USA|||  ||MCMANNAMA, JOHN W.|402/493-6300|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|09/12/1984|0|0|0|0|0|0
Denver Regional Office| 104957|801-50648|QA3 FINANCIAL LLC|QA3 FINANCIAL LLC|ONE VALMONT PLAZA, 4TH FLOOR||OMAHA NE 68154-5203|USA|ONE VALMONT PLAZA 4TH FL|P O BOX 542055|OMAHA NE 68154|USA|ZIELINSKI, THOMAS|402-964-3820|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Market timing services|APPROVED|11/30/1995|0|2|0|0|0|0
Denver Regional Office| 105032|801-33557|HARBOR FINANCIAL GROUP, INC.|FOSTER ELYSE DOLPH|1909 26TH STREET, SUITE 1A||BOULDER CO 80302|USA|||  ||FOSTER, ELYSE DOLPH|303-939-8788|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|12/15/1988|0|0|0|0|0|0
Denver Regional Office| 105036|801-17763|CFW CAPITAL MANAGEMENT INCORPORATED|CFW CAPITAL MANAGEMENT INC|1900 WEST 75TH STREET, SUITE 220||PRAIRIE VILLAGE KS 66208|USA|||  ||CHABOT, KIMBERLY K.|913-432-5600|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|10/18/1982|0|1|0|0|0|0
Denver Regional Office| 105050|801-23210|BEEKMAN CAPITAL MANAGEMENT LTD|BEEKMAN CAPITAL MANAGEMENT LTD|414 OLD TAOS HIGHWAY||SANTA FE NM 87501|USA|P.O. BOX 373|WOODLAWN STATION|BRONX NY 10470|USA|HAMARAT, NEDIM|914-776-3301|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/14/1985|0|0|0|0|0|0
Denver Regional Office| 105053|801-27034|LAWSON KROEKER INVESTMENT MANAGEMENT INC|LAWSON KROEKER INVESTMENT MANAGEMENT INC|8805 INDIAN HILLS DRIVE|SUITE 250|OMAHA NE 68114-4070|USA|||  ||KROEKER, KENNETH W|402-392-2606|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/22/1986|0|0|0|0|0|0
Denver Regional Office| 105088|801-18819|WEITZ WALLACE R & CO|WEITZ WALLACE R & CO|1125 SOUTH 103RD STREET|SUITE 600|OMAHA NE 68124-6008|USA|||  ||BEERLING, MARY KAY|402-391-1980|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/12/1983|0|1|0|0|0|0
Denver Regional Office| 105147|801-36249|PARAGON CAPITAL MANAGEMENT|PARAGON CAPITAL MANAGEMENT|999 18TH ST., STE 1220||DENVER CO 80202|USA|||  ||LESTER, HENRY B.|303-293-3680|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|03/23/1990|0|0|0|0|0|0
Denver Regional Office| 105156|801-11769|RAMSAY STATTMAN VELA & PRICE INC|RAMSAY STATTMAN VELA & PRICE INC|2 N. CASCADE AVE., STE 810||COLORADO SPRINGS CO 80903|USA|||  ||DETWILER, SANDRA J.|719-473-6925|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|05/25/1976|0|0|0|0|0|0
Denver Regional Office| 105202|801-19479|NELSON BENSON & ZELLMER INC|NELSON BENSON & ZELLMER INC|3200 CHERRY CREEK SOUTH DRIVE STE 730||DENVER CO 80209|USA|||  ||HERRINGTON, THOMAS L|303-778-6800|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/18/1983|0|0|0|0|0|0
Denver Regional Office| 105348|801-18564|CREATIVE PLANNING|CREATIVE PLANNING, INC.|3400 COLLEGE BLVD||OVERLAND PARK KS 66211|USA|||  ||JIM WILLIAMS|913-338-2727|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/18/1983|0|0|0|0|0|0
Denver Regional Office| 105433|801-14889|WILLIAM E, SWEET & ASSOCIATES|SWEET WILLIAM ELLERY III|1777 S. HARRISON, STE 1040||DENVER CO 80210|USA|||  ||SWEET, WILLIAM ELLERY III|303-759-4414|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|10/25/1979|0|0|0|0|0|0
Denver Regional Office| 105477|801-8008|SECURITY GLOBAL INVESTORS|SECURITY INVESTORS, LLC|ONE SECURITY BENEFIT PLACE||TOPEKA KS 66636-0001|USA|||  ||AMY J. LEE|(785) 438-3226|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/20/1971|0|0|0|0|0|0
Denver Regional Office| 105482|801-34142|FIREMARK INVESTMENTS|FIREMARK ADVISORS, INC.|200 WEST DEVARGAS ST,  SUITE 9||SANTA FE NM 87501|USA|||  ||MORRISSEY, MICHAEL JOSEPH|505-989-8384|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/20/1989|0|0|0|0|0|0
Denver Regional Office| 105500|801-11574|DEMARCHE ASSOCIATES INC|DEMARCHE ASSOCIATES INC|6320 LAMAR AVE||OVERLAND PARK KS 66202-4247|USA|PO BOX 7027||KANSAS CITY MO 64113|USA|STEPHEN DELISLE FARRELL|913-384-4994|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters, Security ratings or pricing services, Market timing services, Other|APPROVED|04/30/1976|0|1|0|0|0|0
Denver Regional Office| 105505|801-16605|INVESTORS ADVISORY SERVICES INC|INVESTORS ADVISORY SERVICES INC|7007 COLLEGE BLVD STE 260||OVERLAND PARK KS 66211|USA|||  ||GOLDBERG, RONALD DENNIS|913-345-8108|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|11/18/1981|0|0|0|0|0|0
Denver Regional Office| 105521|801-33131|INTEGRITY MONEY MANAGEMENT, INC.|INTEGRITY MONEY MANAGEMENT, INC.|#1 NORTH MAIN||MINOT ND 58703|USA|||  ||JACQUELINE L. CASE|701-852-5292|Corporation|Portfolio management for investment companies|APPROVED|11/21/1988|0|2|0|0|0|0
Denver Regional Office| 105541|801-30581|PVG ASSET MANAGEMENT CORP|PVG ASSET MANAGEMENT CORP|24918 GENESEE TRAIL ROAD||GOLDEN CO 80401|USA|||  ||BURNS, M. MARGARET|303-526-0548|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/23/1987|0|0|1|0|0|0
Denver Regional Office| 105571|801-36483|MALM KENDRICK ELMER|MALM KENDRICK ELMER|117 WEST 4TH STREET||PINE BLUFFS WY 82082|USA|P.O. BOX 730||PINE BLUFFS WY 82082-0730|U.S.A.|MALM, KEN E|307-245-3222|Sole Proprietorship|Financial planning services, Selection of other advisers|APPROVED|04/30/1990|0|0|0|0|0|0
Denver Regional Office| 105586|801-5440|BOLLINGER & CO INC|BOLLINGER & CO INC|717 17TH ST., STE 1535||DENVER CO 80202|USA|||  ||MARY HEARN|303-292-0147|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/29/1969|0|0|0|0|0|0
Denver Regional Office| 105602|801-25405|CAPITAL ALLOCATION & MANAGEMENT INC|CAPITAL ALLOCATION & MANAGEMENT INC|5445 DTC PARKWAY|STE 1000|GREENWOOD VILLAGE CO 80111|USA|||  ||H. N. BOYKIN II|303.796.8400|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|10/04/1985|0|0|0|0|0|0
Denver Regional Office| 105687|801-6004|BRIDGES INVESTMENT ADVISERS|BRIDGES EDSON LOWELL II|256 DURHAM PLAZA|8401 WEST DODGE ROAD|OMAHA NE 68114|USA|||  ||MASON, MARY ANN|(402) 397-4700|Sole Proprietorship|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|09/27/1969|0|1|0|0|0|0
Denver Regional Office| 105692|801-3153|BRIDGES INVESTMENT COUNSEL INC|BRIDGES INVESTMENT COUNSEL INC|256 DURHAM PLAZA|8401 W DODGE ROAD|OMAHA NE 68114-3453|USA|||  ||MASON, MARY ANN|402-397-4700|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|04/13/1963|0|1|0|0|0|0
Denver Regional Office| 105807|801-16377|SEARCY FINANCIAL SERVICES, INC.|SEARCY FINANCIAL SERVICES, INC.|13220 METCALF AVENUE, STE 360||OVERLAND PARK KS 66213-2813|USA|||  ||SEARCY, MICHAEL J.|913-814-3800|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|09/24/1981|0|0|0|0|0|0
Denver Regional Office| 105809|801-26805|COX GARY IAN|COX GARY IAN|15740 HIGHWAY 83||COLORADO SPRINGS CO 80921-1519|USA|||  ||COX, GARY I|719-495-8100|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Publication of periodicals or newsletters|APPROVED|04/24/1986|0|0|0|0|0|0
Denver Regional Office| 105887|801-34278|GEORDAN CAPITAL MANAGEMENT LLC|GEORDAN CAPITAL MANAGEMENT LLC|8400 E. PRENTICE AVE.,STE. 625||GREENWOOD VILLAGE CO 80111|USA|||  ||GEORDAN, NICHOLAS JOHN|303-694-4500|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|04/21/1989|0|0|0|0|0|0
Denver Regional Office| 105898|801-17344|CLAYTON FINANCIAL SERVICES INC|CLAYTON FINANCIAL SERVICES INC|716 SOUTH KANSAS AVENUE||TOPEKA KS 66603-3808|USA|||  ||CLAYTON, RANDY J|785-232-3266|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Publication of periodicals or newsletters|APPROVED|07/01/1982|0|0|0|0|0|0
Denver Regional Office| 105957|801-18270|ALBION FINANCIAL GROUP|ALBION MANAGEMENT GROUP|812 EAST 2100 SOUTH||SALT LAKE CITY UT 84106|USA|||  ||SCANDRICK, LORENA M.|801-487-3700|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/10/1983|0|0|0|0|0|0
Denver Regional Office| 105962|801-45326|PARAGON CAPITAL MANAGEMENT INC|PARAGON CAPITAL MANAGEMENT INC|3651 NORTH 100 EAST|SUITE 275|PROVO UT 84604|USA|||  ||YOUNG, DAVID A.|801-375-2500|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|12/08/1993|0|0|0|0|0|0
Denver Regional Office| 106043|801-63664|UMA FINANCIAL SERVICES INC|UMA FINANCIAL SERVICES INC|310 EAST 4500 SOUTH, #500||SALT LAKE CITY UT 84107|USA|||  ||SEARLE, TRENT L|801 747-3500|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/03/2005|0|0|0|0|0|0
Denver Regional Office| 106048|801-53189|JOHNSTON & ASSOCIATES INC|JOHNSTON JAMES M & ASSOCIATES INC|1775 SHERMAN|SUITE 2830|DENVER CO 80203|USA|||  ||EDWARD J. DURICA, III|303-831-6120|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|11/26/1996|0|0|0|0|0|0
Denver Regional Office| 106050|801-38328|SHARKEY HOWES & JAVER INC|SHARKEY HOWES & JAVER INC|720 SOUTH COLORADO BLVD|#600 SOUTH TOWER|DENVER CO 80246-1904|USA|||  ||HOWES, LAWRENCE EDWARD|303-639-5100|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/28/1991|0|0|0|0|0|0
Denver Regional Office| 106081|801-11095|WASATCH ADVISORS INC|WASATCH ADVISORS INC|150 SOCIAL HALL AVENUE, 4TH FLOOR||SALT LAKE CITY UT 84111|USA|||  ||THURBER, DANIEL|801-533-0777|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/23/1975|0|0|0|0|0|0
Denver Regional Office| 106097|801-50526|SHINE INVESTMENT ADVISORY SERVICES INC|SHINE INVESTMENT ADVISORY SERVICES, INC.|9892 ROSEMONT AVE. SUITE #100||LONE TREE CO 80124-4101|USA|||  ||MCCALLIE,JOANIE M|303-740-8600|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|11/20/1995|0|0|0|0|0|0
Denver Regional Office| 106110|801-51483|INNOVEST PORTFOLIO SOLUTIONS LLC|INNOVEST PORTFOLIO SOLUTIONS LLC|4643 S. ULSTER ST.|SUITE 1040|DENVER CO 80237|USA|||  ||FENDER, WILLIAM|303-694-1900|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|03/19/1996|0|0|0|0|0|0
Denver Regional Office| 106120|801-40896|HEBERT ADVISORY SERVICES INC|HEBERT ADVISORY SERVICES INC|1501 WASHINGTON AVENUE||GOLDEN CO 80401|USA|||  ||SUZANNE M. HEBERT|303 986 9110|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|04/03/1992|0|0|0|0|0|0
Denver Regional Office| 106127|801-64096|PETERSON FINANCIAL SERVICES LLC|PETERSON FINANCIAL SERVICES LLC|1726 CLARKSON STREET||DENVER CO 80218|USA|||  ||PETERSON, KIRK R|303-831-4800|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Publication of periodicals or newsletters|APPROVED|02/28/2005|0|0|0|0|0|0
Denver Regional Office| 106134|801-43962|SOLTIS INVESTMENT ADVISORS, INC.|SOLTIS INVESTMENT ADVISORS, INC.|20 NORTH MAIN|SUITE 400|ST GEORGE UT 84770|USA|||  ||ANDERSON, HAL GARY|435-674-1600|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Publication of periodicals or newsletters|APPROVED|05/24/1993|0|0|0|0|0|0
Denver Regional Office| 106151|801-63035|HIGH COUNTRY CAPITAL MANAGEMENT|HIGH COUNTRY CAPITAL MANAGEMENT INC|521 E. MAIN STREET||MONTROSE CO 81401-3931|USA|||  ||MCKENNA, JOHN L. "JACK"|970-249-3499|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|04/08/2004|0|0|0|0|0|0
Denver Regional Office| 106171|801-43245|BEEKMAN NORTHWEST PARTNERS|BEEKMAN NORTHWEST PARTNERS|414 OLD TAOS HIGHWAY||SANTA FE NM 87501|USA|P.O. BOX 373|WOODLAWN STATION|BRONX NY 10470|USA|HAMARAT, NED|914-776-3301|Partnership|Portfolio management for individuals and/or small businesses|APPROVED|02/02/1993|0|0|0|0|0|0
Denver Regional Office| 106198|801-49283|ALAN MITCHELL CPA PC|ALAN MITCHELL CPA PC|375 BELLEVUE DRIVE||BOULDER CO 80302|USA|5440 CENTENNIAL TRAIL||BOULDER CO 80303|USA|MITCHELL, ALAN|303-543-8988|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|06/05/1995|0|0|0|0|0|0
Denver Regional Office| 106255|801-38948|FINANCIALLY SPEAKING INC|FINANCIALLY SPEAKING INC|1805 SHEA CENTER DRIVE|SUITE 290|HIGHLANDS RANCH CO 80129|USA|||  ||LUCCOCK, PHILIP H.|(303) 290-0702|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|06/06/1991|0|0|0|0|0|0
Denver Regional Office| 106276|801-46986|ASSET ONE LLC|ASSET ONE LLC|2851 S PARKER RD|STE 900|AURORA CO 80014-2730|USA|||  ||BAUMLER,THOMAS|303-751-8859|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Market timing services|APPROVED|08/02/1994|0|0|1|0|0|0
Denver Regional Office| 106343|801-40372|WADDELL & REED INVESTMENT MANAGEMENT CO|WADDELL & REED INVESTMENT MANAGEMENT CO|6300 LAMAR AVE||OVERLAND PARK KS 66202|USA|||  ||RICHARDS, KRISTEN A.|913-236-1923|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/08/1992|0|10|4|0|0|0
Denver Regional Office| 106357|801-17853|THORNBURG INVESTMENT MANAGEMENT INC|THORNBURG INVESTMENT MANAGEMENT INC|119 EAST MARCY STREET|SUITE 202|SANTA FE NM 87501-2046|USA|||  ||SOPHIA FRANCO-MARQUEZ|505-954-5248|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/15/1982|0|0|0|0|0|0
Denver Regional Office| 106393|801-47146|KESSLER INVESTMENT ADVISORS INC|KESSLER INVESTMENT ADVISORS INC|1200 17TH STREET|SUITE 110|DENVER CO 80202-5835|USA|||  ||JOHNSON, MAXINE ADA|303-291-8451|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|08/01/1994|0|1|0|0|0|0
Denver Regional Office| 106428|801-41945|K P SMITH ASSET MANAGEMENT|SMITH KEITH PAUL|9910 N. 48TH ST.|STE 112|OMAHA NE 68152|USA|||  ||SMITH, KEITH PAUL|402-392-0509|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|07/16/1992|0|0|0|0|0|0
Denver Regional Office| 106457|801-43337|PRODIGY ASSET MANAGEMENT LLC|PRODIGY ASSET MANAGEMENT LLC|14100 CRAWFORD STREET||BOYS TOWN NE 68010|USA|||  ||RUDEN, PHILIP JAMES|402-493-9875|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/25/1993|0|0|0|0|0|0
Denver Regional Office| 106462|801-21562|ROBERT GREY AN SEC REG. INVESTMENT ADVISOR DBA DENVER MONEY MGR.|GREY ROBERT EDMUND|1401 WEWATTA STREET #110||DENVER CO 80202|USA|||  ||GREY, ROBERT EDMUND|303-675-6770|Sole Proprietorship|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Market timing services, Other|APPROVED|06/27/1984|0|0|0|0|0|0
Denver Regional Office| 106490|801-42281|CB&T WEALTH MANAGEMENT, INC.|CB&T WEALTH MANAGEMENT, INC.|6385 CORPORATE DRIVE|SUITE 201|COLORADO SPRINGS CO 80919|USA|||  ||CONDON, STEVEN P|719-475-2165|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|09/10/1992|0|0|0|0|0|0
Denver Regional Office| 106513|801-39915|SK GROUP, INC|SK GROUP, INC|977 E WILSON AVENUE||SALT LAKE CITY UT 84105|USA|||  ||KITHANY SUBHASH|801-484-2575|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|09/30/1991|0|0|0|0|0|0
Denver Regional Office| 106521|801-44115|WEALTH MANAGEMENT ADVISORS INC|WEALTH MANAGEMENT ADVISORS INC|4000 W. 114TH ST., STE. 160||LEAWOOD KS 66211|USA|||  ||KEVIN S. MCGREW|913-661-1650|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/11/1993|0|0|0|0|0|0
Denver Regional Office| 106527|801-40271|PINNACLE WEST ASSET MANAGEMENT INC|PINNACLE WEST ASSET MANAGEMENT INC|152 N. DURBIN STREET|SUITE 410|CASPER WY 82601|USA|PO BOX 51407||CASPER WY 82605|USA|CREAGER, TOM R|307 235-3300|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|11/26/1991|0|0|0|0|0|0
Denver Regional Office| 106570|801-16369|SULLIVAN & ASSOCIATES|SULLIVAN PATRICK LEA|1229 LAKE PLAZA DRIVE|SUITE A|COLORADO SPRINDGS CO 80906|USA|||  ||SULLIVAN, PATRICK LEA|719-576-4500|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|09/18/1981|0|0|0|0|0|0
Denver Regional Office| 106627|801-23074|M.Z. KARK & ASSOCIATES, INC|KARK M Z & ASSOCIATES INC|410 17TH ST|#1110|DENVER CO 80202|USA|410 17TH STREET, SUITE 1110||DENVER CO 80202|USA|BETH CLEMENT|303-623-1818|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|01/15/1985|0|0|0|0|0|0
Denver Regional Office| 106644|801-42242|BRUNI J V & CO|BRUNI J V & CO|1528 N TEJON STREET||COLORADO SPRINGS CO 80907-7439|USA|||  ||BRUNI, JEROME VINCENT|719-575-9880|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/03/1992|0|0|0|0|0|0
Denver Regional Office| 106730|801-46300|HCM INVESTORS INC|HCM INVESTORS INC|275 CENTURY CIRCLE|SUITE 202|LOUISVILLE CO 80027|USA|||  ||KATHERINE SPINES|720-890-8826|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|06/21/1994|0|0|0|0|0|0
Denver Regional Office| 106733|801-51401|THE MILESTONE GROUP, INC.|THE MILESTONE GROUP, INC.|370 17TH STREET|SUITE 3100|DENVER CO 80202|USA|||  ||DEBI DOLSBY|303-539-0100|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|03/06/1996|0|0|0|0|0|0
Denver Regional Office| 106766|801-40622|RESOURCES INVESTMENT ADVISORS INC|RESOURCES INVESTMENT ADVISORS INC|11300 TOMAHAWK CREEK PARKWAY|SUITE 190|LEAWOOD KS 66211|USA|||  ||ALANA D SCOTT|913-338-5300|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/22/1992|0|0|0|0|0|0
Denver Regional Office| 106769|801-39554|WESTPEAK GLOBAL ADVISORS, L.P.|WESTPEAK GLOBAL ADVISORS, L.P.|1470 WALNUT STREET||BOULDER CO 80302-5333|USA|||  ||GAMEL, DEBORAH A.|303-786-7700|Partnership|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/25/1991|0|12|1|0|0|0
Denver Regional Office| 106786|801-50778|ALTA CAPITAL MANAGEMENT LLC|ALTA CAPITAL MANAGEMENT LLC|6440 SOUTH WASATCH BLVD|SUITE 260|SALT LAKE CITY UT 84121|USA|||  ||HAMMOND, HALEY|801-274-6010|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/11/1995|0|0|0|0|0|0
Denver Regional Office| 106790|801-50721|MARKETSPACE FINANCIAL|MARKETSPACE FINANCIAL INC|6565 AMERICAS PARKWAY NE|SUITE 611|ALBUQUERQUE NM 87110|USA|||  ||KAREN STEIGHNER|303-795-0400|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|12/01/1995|0|0|0|0|0|0
Denver Regional Office| 106802|801-43661|SPENCE ASSET MANAGEMENT|SPENCE ASSET MANAGEMENT|2455 EAST MISSOURI|SUITE A|LAS CRUCES NM 88001|USA|||  ||WALTON, SHEILA C|575-556-8500|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/07/1993|0|0|0|0|0|0
Denver Regional Office| 106893|801-37651|NEXUS FINANCIAL PROGRAMS, INC.|NEXUS FINANCIAL PROGRAMS, INC.|2910 N. ARCADIA||COLORADO SPRINGS CO 80907|USA|||  ||LOVE, DIANA L|719-630-7204|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Other|APPROVED|11/01/1990|0|0|0|0|0|0
Denver Regional Office| 106899|801-33635|ANGELL FINANCIAL|ANGELL FINANCIAL|8174 REGIMENT COURT||COLORADO SPRINGS CO 80920|USA|||  ||ANGELL, ROYCE V|719-633-6688|Sole Proprietorship|Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters, Security ratings or pricing services, Market timing services|APPROVED|01/26/1989|0|0|0|0|0|0
Denver Regional Office| 106916|801-22681|CHARLES STEPHEN & CO INC|CHARLES STEPHEN AND COMPANY, INC.|5951 JEFFERSON COURT NE|SUITE D|ALBUQUERQUE NM 87109|USA|P.O. BOX 35370||ALBUQUERQUE NM 87176-5370||CIEPIELA, STEPHEN J|505-884-0451|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|11/23/1984|0|0|0|0|0|0
Denver Regional Office| 106944|801-52118|PEAK ASSET MANAGEMENT LLC|PEAK ASSET MANAGEMENT LLC|1371 HECLA DRIVE|SUITE A|LOUISVILLE CO 80027|USA|||  ||MCCORVIE, JR., JOHN N.|303-926-0100|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|04/22/1996|0|0|0|0|0|0
Denver Regional Office| 106966|801-36824|CAPITAL INVESTMENT COUNSEL INC|CAPITAL INVESTMENT COUNSEL INC|210 UNIVERSITY BLVD., SUITE 550||DENVER CO 80206|USA|||  ||SHARON LEE GAARE|303-329-9000|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/01/1990|0|0|1|0|0|0
Denver Regional Office| 106984|801-41702|AMERICA FIRST INVESTMENT ADVISORS LLC|AMERICA FIRST INVESTMENT ADVISORS LLC|1004 FARNAM STREET, STE 400||OMAHA NE 68102|USA|||  ||DEICKE, CARL F.|402-930-3062|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|06/12/1992|0|0|0|0|0|0
Denver Regional Office| 107019|801-38227|KOPPER INVESTMENT MANAGEMENT, INC.|KOPPER INVESTMENT MANAGEMENT INC|102 NORTH CASCADE AVENUE STE 220||COLORADO SPRINGS CO 80903|USA|||  ||KOPPER, WILLIAM BRUCE|719-578-2040|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Portfolio management for individuals and/or small businesses|APPROVED|02/07/1991|0|0|0|0|0|0
Denver Regional Office| 107029|801-40165|PLANNED FUTURES FINANCIAL GROUP|PETTI VINCENT JAMES|1031 N. WEBER STREET||COLORADO SPRINGS CO 80903|USA|P. O. BOX 1576||COLORADO SPRINGS CO 80901|USA|KIMBER, CAROL S|719-578-8855|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|11/05/1991|0|0|0|0|0|0
Denver Regional Office| 107037|801-37189|AGILE ADVISORS INC.|NATURAL WEALTH REAL ESTATE INC|4909 PEARL EAST CIRCLE|STE. 300|BOULDER CO 80301|USA|||  ||STEPHEN ERWIN|303-440-6500|Corporation|Financial planning services, Selection of other advisers|APPROVED|10/05/1990|0|0|0|0|0|0
Denver Regional Office| 107057|801-23147|SUNFLOWER ASSET MANAGEMENT INC.|SUNFLOWER ASSET MANAGEMENT INC.|12351 W. 96TH TERRACE|SUITE 103|LENEXA KS 66215|USA|||  ||KAIN, JOSEPH N|913-642-1017|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|01/17/1985|0|1|1|0|0|0
Denver Regional Office| 107070|801-52077|AGILE GROUP|TACTICAL ALLOCATION SERVICES LLC|4909 PEARL EAST CIRCLE|STE. 300|BOULDER CO 80301|USA|||  ||STEPHEN ERWIN|303-440-6500|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Market timing services|APPROVED|06/03/1996|0|0|0|0|0|0
Denver Regional Office| 107083|801-41865|REINHARDT FINANCIAL SERVICES INC|REINHARDT FINANCIAL SERVICES INC|211 E 8TH STREET, STE E||LAWRENCE KS 66044-2771|USA|||  ||REINHARDT, CATHY A|785-843-4939|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/07/1992|0|0|0|0|0|0
Denver Regional Office| 107084|801-52094|QWEST ASSET MANAGEMENT COMPANY|QWEST ASSET MANAGEMENT COMPANY|1801 CALIFORNIA STREET, SUITE 3800||DENVER CO 80202-2028|USA|||  ||KAREN M. FRAME|303-382-0608|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|06/07/1996|0|1|7|0|0|0
Denver Regional Office| 107110|801-49508|HANSEATIC MANAGEMENT SERVICES INC|HANSEATIC MANAGEMENT SERVICES INC|5600 WYOMING NE|SUITE 220|ALBUQUERQUE NM 87109|USA|||  ||BRIAN STANGEL|505 828 2824|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Market timing services|APPROVED|06/27/1995|0|0|0|0|0|0
Denver Regional Office| 107122|801-47396|MADDOCK FINANCIAL, LLC|MADDOCK FINANCIAL, LLC|8400 E PRENTICE AVE,SUITE 1360||GREENWOOD VILLAGE CO 80111|USA|||  ||MADDOCK,BRADLY C|303-793-3700|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|09/07/1994|0|0|0|0|0|0
Denver Regional Office| 107135|801-43756|MOSBY LINCOLN LC|MOSBY LINCOLN LC|7309 E. 21ST, SUITE 120||WICHITA KS 67206-1080|USA|7309 E. 21ST, SUITE 120||WICHITA KS 67206-1080|USA|SOUTHWORTH,HERBERT HOWARD|316 261 5301|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/26/1993|0|0|0|0|0|0
Denver Regional Office| 107156|801-37889|JANICZEK & COMPANY, LTD.|JJJ ADVISORS INC|8400 E. CRESCENT PARKWAY|SUITE 160|GREENWOOD VILLAGE CO 80111-2831|USA|||  ||MATTHEW J. MOREHEAD|303-721-7000|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Publication of periodicals or newsletters, Other|APPROVED|12/13/1990|0|0|0|0|0|0
Denver Regional Office| 107177|801-39348|MERITAGE PORTFOLIO MANAGEMENT, INC.|MERITAGE PORTFOLIO MANAGEMENT, INC.|7500 COLLEGE BLVD|SUITE 1212|OVERLAND PARK KS 66210|USA|||  ||EVEANS, DEBORAH KAY|913-345-7000|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/28/1991|0|0|0|0|0|0
Denver Regional Office| 107193|801-19998|WOOD & CO.|WOOD GEORGE FRANCIS|55 MADISON STREET,SUITE 680||DENVER CO 80206|USA|||  ||WOOD,GEORGE F.|303-321-8188|Sole Proprietorship|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/20/1983|0|0|0|0|0|0
Denver Regional Office| 107196|801-39169|PETRA FINANCIAL ADVISORS INC|PETRA FINANCIAL ADVISORS INC|2 NORTH CASCADE AVE SUITE 720||COLORADO SPRINGS CO 80903|USA|||  ||HANCOCK,CONNIE|719 636 9000|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|06/27/1991|0|0|0|0|0|0
Denver Regional Office| 107202|801-68539|FINANCIAL PLANNING OFFICE, LLC|FINANCIAL PLANNING OFFICE, LLC|1308 SOUTH 1700 EAST|SUITE 208|SALT LAKE CITY UT 84108|USA|||  ||SMITH,DENISE D|(801) 466-4101|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|12/14/2007|0|0|0|0|0|0
Denver Regional Office| 107212|801-57971|KHC WEALTH MANAGEMENT SERVICES|KOESTEN HIRSCHMANN & CRABTREE, INC.|10000 COLLEGE BLVD., SUITE 260||OVERLAND PARK KS 66210|USA|||  ||KOESTEN, STEWART SOLOMON|913-345-1881|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|09/26/2000|0|0|0|0|0|0
Denver Regional Office| 107222|801-29301|CENTRAL PLAINS ADVISORS, INC.|CENTRAL PLAINS ADVISORS, INC.|100 NORTH BROADWAY STREET|SUITE 130|WICHITA KS 67202-2212|USA|||  ||PETERS,POLLY B.|316-682-5148|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|04/03/1987|0|0|2|0|0|0
Denver Regional Office| 107231|801-17274|CENTURY FUNDS MANAGEMENT INC|CENTURY FUNDS MANAGEMENT INC|103 WEST CENTERVILLE COMMONS||CENTERVILLE UT 84014|USA|||  ||HUNTER, JOHN LARRY|914 574-1194|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/10/1982|0|1|0|0|0|0
Denver Regional Office| 107272|801-52309|MAXIM CAPITAL MANAGEMENT, LLC|GW CAPITAL MANAGEMENT LLC|8515 EAST ORCHARD ROAD||GREENWOOD  VILLAGE CO 80111|USA|||  ||BEVERLY BYRNE|(303) 737-3817|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/28/1996|0|21|0|0|0|0
Denver Regional Office| 107293|801-47933|DENVER INVESTMENT ADVISORS LLC|DENVER INVESTMENT ADVISORS LLC|1225 17TH ST|26TH FLOOR|DENVER CO 80202|USA|||  ||TODGER ANDERSON|303-312-5058|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/30/1994|0|0|0|0|0|0
Denver Regional Office| 107295|801-49238|NORTHSTAR INVESTMENT ADVISORS LLC|NORTHSTAR INVESTMENT ADVISORS LLC|700 SEVENTEENTH STREET|SUITE 2350|DENVER CO 80202|USA|||  ||RICHARD P. KOPP, CFA|303/832.2300|Limited Liability Company|Portfolio management for individuals and/or small businesses, Other|APPROVED|05/23/1995|0|0|0|0|0|0
Denver Regional Office| 107307|801-34729|ADRIAN & ASSOCIATES INC|ADRIAN & ASSOCIATES INC|5613 DTC PARKWAY SUITE 1200||GREENWOOD VILLAGE CO 80111|USA|||  ||LOWELL JAMES ADRIAN|303-721-0691|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|06/29/1989|0|0|0|0|0|0
Denver Regional Office| 107321|801-37987|VALUE FINANCIAL ADVISERS, INC.|VALUE FINANCIAL ADVISERS, INC.|9185 E. KENYON AVE. STE 250||DENVER CO 80237|USA|||  ||WILLIAM H. CONNORS|303.770.3030|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|12/28/1990|0|0|0|0|0|0
Denver Regional Office| 107324|801-55409|PEAK WEALTH MANAGEMENT LLC|PEAK WEALTH MANAGEMENT LLC|4600 S. SYRACUSE, SUITE 250||DENVER CO 80237|USA|||  ||J. ALAN FAVRE|303-331-0123|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/23/1998|0|0|0|0|0|0
Denver Regional Office| 107345|801-35207|KNAPP R H & CO|KNAPP RH & CO|8785 NORTH AWL ROAD||PARKER CO 80138|USA|||  ||RONALD H KNAPP|303-805-8008|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/18/1989|0|0|0|0|0|0
Denver Regional Office| 107392|801-51758|MONTICELLO ASSOCIATES INC|MONTICELLO ASSOCIATES INC|1200 17TH STREET|SUITE 2600|DENVER CO 80202|USA|||  ||TERESA A. BARTOLETTI|(303)572-6300|Corporation|Pension consulting services, Selection of other advisers, Other|APPROVED|04/18/1996|0|0|0|0|0|0
Denver Regional Office| 107426|801-47547|CHERRY CREEK INVESTMENT ADVISORS INC|CHERRY CREEK INVESTMENT ADVISORS INC|68 INVERNESS LANE EAST #206||ENGLEWOOD CO 80112|USA|||  ||SEAN CASTLE|303/320-5774|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|10/06/1994|0|0|0|0|0|0
Denver Regional Office| 107443|801-53893|MARATHON INVESTMENT MANAGEMENT, INC.|MARATHON INVESTMENT MANAGEMENT, INC.|6565 SOUTH DAYTON|SUITE 1200|GREENWOOD VILLAGE CO 80111|USA|||  ||EDGAR GEORGE AARON GUMBINER|303-708-0667|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/19/1997|0|0|0|0|0|0
Denver Regional Office| 107451|801-26718|GERSON INVESTMENT MANAGEMENT|GERSON GEORGE|289 CHINLE CT||GRAND JUNCTION CO 81503|USA|P.O. BOX 3507||GRAND JUNCTION CO 81502|USA|GAYLE GERSON|970-241-8460|Sole Proprietorship|Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|08/26/2005|0|0|0|0|0|0
Denver Regional Office| 107485|801-45532|BAYDUSH SIMON WEAVER, LLC|BAYDUSH SIMON WEAVER, LLC|2336 PEARL STREET, SUITE 100||BOULDER CO 80302|USA|||  ||RALIEGH RIDDOCH|303-444-9696|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|01/03/1994|0|0|0|0|0|0
Denver Regional Office| 107539|801-51319|CANNON TINGEY INVESTMENT ADVISORS INC|CANNON TINGEY INVESTMENT ADVISORS INC|948 EAST 7145 SOUTH|SUITE C-101|MIDVALE UT 84047|USA|||  ||CLINTON C. CANNON|(801) 352-8166|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters, Other|APPROVED|02/16/1996|0|0|0|0|0|0
Denver Regional Office| 107544|801-17662|GUERIN FINANCIAL SERVICES,LTD.|GUERIN FINANCIAL SERVICES,LTD.|2755 S LOCUST ST. STE 206||DENVER CO 80222-7132|USA|||  ||DIANE LEVENE|303-758-4866|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|09/17/1982|0|1|0|0|0|0
Denver Regional Office| 107563|801-49990|GHP INVESTMENT ADVISORS INC|GHP INVESTMENT ADVISORS INC|1670 BROADWAY|SUITE 3000|DENVER CO 80202|USA|||  ||DAVID MAY|303-831-5000|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Publication of periodicals or newsletters|APPROVED|08/28/1995|0|0|0|0|0|0
Denver Regional Office| 107609|801-52144|STURNIOLO JOSEPH S & ASSOCIATES INC|STURNIOLO JOSEPH S & ASSOCIATES INC|7535 EAST HAMPDEN|SUITE 501|DENVER CO 80231|USA|||  ||STEVEN D. ARRIGAN|303-695-4363|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/07/1996|0|1|0|0|0|0
Denver Regional Office| 107625|801-41655|SILVER LAKE ADVISORY|COHEN RONNA SUE|3661 MACINTOSH LANE||SALT LAKE CITY UT 84121|USA|||  ||RONNA COHEN|801-733-9470|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|06/04/1992|0|0|0|0|0|0
Denver Regional Office| 107636|801-39066|BOULDER ASSET MANAGEMENT|STARK RICHARD JOSEPH|9785 MAROON CIRCLE|SUITE 130|ENGLEWOOD CO 80112|USA|||  ||RICHARD JOSEPH STARK, CFA|303-779-8772|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|06/21/1991|0|0|0|0|0|0
Denver Regional Office| 107686|801-57636|DIMENSIONS FINANCIAL GROUP|DIMENSIONS FINANCIAL GROUP, INC.|1625 N. WATERFRONT PARKWAY|SUITE 150|WICHITA KS 67206|USA|||  ||DARTY P. DOLE|316-689-8333|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/02/2000|0|2|0|0|0|0
Denver Regional Office| 107699|801-40186|REDSTONE ADVISORS INC|REDSTONE ADVISORS INC|8100 E 22ND ST N|BLDG 800|WICHITA KS 67226|USA|||  ||MARC A. VINCENT|316 687-2143|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|11/22/1991|0|0|0|0|0|0
Denver Regional Office| 107735|801-16178|FRIESS ASSOCIATES, LLC|FRIESS ASSOCIATES, LLC|115 E. SNOW KING AVE.||JACKSON WY 83001|USA|P.O. BOX 576||JACKSON WY 83001|USA|DAVID MARKY|302-656-3017|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/26/1981|0|0|0|0|0|0
Denver Regional Office| 107747|801-29130|PORTFOLIO MANAGEMENT CONSULTANTS, INC.|PORTFOLIO MANAGEMENT CONSULTANTS, INC.|1999 BROADWAY, 8TH FLOOR||DENVER CO 80202|USA|||  ||GEORGE L. ALVIN|(312) 827-3965|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/17/1987|0|2|0|0|0|0
Denver Regional Office| 107783|801-56307|STERLING FINANCIAL ADVISORS LLC|STERLING FINANCIAL ADVISORS LLC|7024 N 104 CIR||OMAHA NE 68122|USA|||  ||PAULINE QUINN|402-970-9389|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Other|APPROVED|02/25/1999|0|2|0|0|0|0
Denver Regional Office| 107789|801-55781|FWD INVESTMENTS INC.|FWD INVESTMENTS INC.|5613 DTC PARKWAY #310|C/O MADISON STREET PARTNERS|GREENWOOD VILLAGE CO 80111-5017|USA|5500 PEMBERTON DR||GREENWOOD VILLAGE CO 80121|USA|FREDERIC W. DUBOC|303-815-1676|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|08/18/1998|0|0|0|0|0|0
Denver Regional Office| 107812|801-61992|WS INVESTMENT ADVISORS, LLC|WS & CO INVESTMENT ADVISORS LLC|8101 E PRENTICE AVENUE|#600|GREENWOOD VILLAGE CO 80111-2935|USA|||  ||JOSH D. LOZOW|303-771-5300|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/21/2002|0|3|0|0|0|0
Denver Regional Office| 107834|801-56412|SEAMOUNT FINANCIAL GROUP INC|SEAMOUNT FINANCIAL GROUP INC|90 SO CASCADE AVENUE|SUITE 1140|COLORADO SPRINGS CO 80903|USA|||  ||LEON JOSEPH COLAFRANCESCO|719-471-1171|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|04/06/1999|0|0|0|0|0|0
Denver Regional Office| 107844|801-52499|ANDERSON ROXANNE FIE|ANDERSON ROXANNE FIE|4720 BOW MAR DRIVE||BOW MAR CO 80123-1445|USA|||  ||ROXANNE FIE ANDERSON|303-948-2313|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|07/25/1996|0|0|0|0|0|0
Denver Regional Office| 107849|801-64319|COLORADO INVESTMENT MANAGEMENT INC|COLORADO INVESTMENT MANAGEMENT INC|3700 EAST ALAMEDA AVENUE SUITE 300||DENVER CO 80209|USA|||  ||BETH E. HOLCOMBE|303-282-0074|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/02/2005|0|2|0|0|0|0
Denver Regional Office| 107871|801-68647|EQUITY DEVELOPMENT CORPORATION|EQUITY DEVELOPMENT CORPORATION|720 SOUTH COLORADO BLVD.|SUITE 192-A|DENVER CO 80246|USA|||  ||MARTI HAYGOOD|303-757-6556|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/08/2008|0|0|0|0|0|0
Denver Regional Office| 107927|801-56605|VIKING FUND MANAGEMENT LLC|VIKING FUND MANAGEMENT LLC|116 1ST ST. SW|SUITE C|MINOT ND 58701|USA|P.O. BOX 500||MINOT ND 58702|USA|SHANNON D. RADKE|701-852-1264|Limited Liability Company|Portfolio management for investment companies|APPROVED|07/02/1999|1|1|0|0|0|0
Denver Regional Office| 107975|801-57265|CLS INVESTMENT FIRM, LLC|CLS INVESTMENT FIRM, LLC|4020 SOUTH 147TH STREET||OMAHA NE 68137|USA|||  ||BRIAN NIELSEN|(402) 493-3313 EXT.7127|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|01/01/2000|0|2|0|0|0|0
Denver Regional Office| 107999|801-55489|STEPP & ROTHWELL INC|STEPP & ROTHWELL INC|7300 COLLEGE BOULEVARD|SUITE 100|OVERLAND PARK KS 66210|USA|||  ||HOWARD R. ROTHWELL|913-345-4800|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/26/1998|0|1|0|0|0|0
Denver Regional Office| 108028|801-57056|BRIDGES INVESTMENT MANAGEMENT INC|BRIDGES INVESTMENT MANAGEMENT INC|256 DURHAM PLAZA, 8401 WEST DODGE RD||OMAHA NE 68114|USA|||  ||MARY ANN MASON|402-397-4700|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/09/1999|0|1|0|0|0|0
Denver Regional Office| 108140|801-55237|PRIVATE CAPITAL MANAGEMENT INC.|PRIVATE CAPITAL MANAGEMENT INC.|210 ST PAUL STREET|SUITE 225|DENVER CO 80206|USA|||  ||KIMBERLY M. WHITMAN|303-370-0055|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|02/06/1998|0|0|0|0|0|0
Denver Regional Office| 108153|801-55966|SEMPER AUGUSTUS INVESTMENTS GROUP LLC|SEMPER AUGUSTUS INVESTMENTS GROUP LLC|1745 SHEA CENTER DRIVE SUITE 400||HIGHLANDS RANCH CO 80129|USA|||  ||CHAD S CHRISTENSEN|303 893 1214|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/26/1998|0|0|0|0|0|0
Denver Regional Office| 108168|801-55805|PARAGON CAPITAL MANAGEMENT LLC|PARAGON CAPITAL MANAGEMENT LLC|9200 INDIAN CREEK PKWY SUITE 230||OVERLAND PARK KS 66210|USA|||  ||WARD WILLIAMS|913-451-2291|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/18/1998|0|0|0|0|0|0
Denver Regional Office| 108202|801-56775|M.C. DRAPER CAPITAL MANAGEMENT|MONT CLAYTON DRAPER III|12764 BRADFORD CIRCLE||WICHITA KS 67206|USA|||  ||MONT C. DRAPER III|316-612-8944|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|08/11/1999|0|0|0|0|0|0
Denver Regional Office| 108208|801-8599|INVESTMENT RESEARCH CORP|INVESTMENT RESEARCH CORP|110 16TH STREET|SUITE 1400|DENVER CO 80202|USA|||  ||TIMOTHY E TAGGART|303-626-0632|Corporation|Portfolio management for investment companies|APPROVED|04/26/1972|0|0|0|0|0|0
Denver Regional Office| 108240|801-60008|UNION INVESTMENT ADVISORS, INC|UNION INVESTMENT ADVISORS, INC|6801 S 27TH||LINCOLN NE 68512|USA|6801 S. 27TH ST|PO BOX 82535|LINCOLN NE 68501|USA|TANYA LEBSOCK|4023231700|Corporation|Portfolio management for investment companies|APPROVED|01/26/2001|0|0|0|0|0|0
Denver Regional Office| 108268|801-38868|ICON ADVISERS, INC.|ICON ADVISERS, INC.|5299 DTC BOULEVARD|SUITE 1200|GREENWOOD VILLAGE CO 80111|USA|||  ||DONALD SALCITO|303-328-9207|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/17/1991|0|1|0|0|0|0
Denver Regional Office| 108297|801-54675|HUNTLEY THATCHER ELLSWORTH, LTD.|HUNTLEY THATCHER ELLSWORTH, LTD.|102 SOUTH TEJON STREET|SUITE 430|COLORADO SPRINGS CO 80903|USA|||  ||CYNTHIA A. BOGREN|719-522-1339|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/27/1997|0|0|0|0|0|0
Denver Regional Office| 108325|801-38096|RAINSBERGER WEALTH ADVISORS, INC.|RAINSBERGER WEALTH ADVISORS, INC.|980 PICO POINT||COLORADO SPRINGS CO 80906|USA|||  ||ELLIS D. RAINSBERGER|719-328-1944|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|02/04/1991|0|0|0|0|0|0
Denver Regional Office| 108406|801-56825|FLAGSTONE INVESTMENTS LLC|FLAGSTONE INVESTMENTS LLC|2414 NORTH WOODLAWN|STE 166|WICHITA KS 67220|USA|||  ||BRAD JANTZ|(316) 618-1800|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|09/03/1999|0|0|0|0|0|0
Denver Regional Office| 108418|801-56050|MOYLAN KROPP RETIREMENT PLANNING, LLC|MOYLAN KROPP RETIREMENT PLANNING, LLC|1010 SOUTH 120TH STREET|SUITE 320|OMAHA NE 68154|USA|||  ||KIM KROPP|402-390-9066|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|11/27/1998|0|0|0|0|0|0
Denver Regional Office| 108434|801-60006|JAMES STUART, III|JAMES STUART, III|2001 PINE LAKE ROAD, STE 400||LINCOLN NE 68512|USA|||  ||ANNE E. HANSEN|402 434 7152|Sole Proprietorship|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|02/01/2001|0|0|0|0|0|0
Denver Regional Office| 108471|801-7332|SMC CAPITAL MANAGEMENT, INC.|SMC CAPITAL MANAGEMENT, INC.|8188 S. HIGHLAND DRIVE|SUITE D-5|SANDY UT 84093|USA|||  ||LYNN C. MILLER|801-943-9988|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/03/1971|0|2|0|0|0|0
Denver Regional Office| 108485|801-55503|WATERSHED INVESTMENT CONSULTANTS INC|WATERSHED INVESTMENT CONSULTANTS INC|6400 S. FIDDLER'S GREEN CIRCLE|SUITE 2050|GREENWOOD VILLAGE CO 80111-4981|USA|||  ||KEVIN G. YOSHIDA|303-738-0300|Corporation|Pension consulting services|APPROVED|04/30/1998|0|0|0|0|0|0
Denver Regional Office| 108489|801-44517|FINANCIAL MOUNTAIN INC|FINANCIAL MOUNTAIN INC|SALINA STAR ROUTE (1719 DEER TRAIL)||BOULDER CO 80306-1236|USA|PO BOX E||BOULDER CO 80306-1236|USA|ROBERT D. ZIMBERG|303-442-4390|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|09/13/1993|0|0|0|0|0|0
Denver Regional Office| 108534|801-56178|ORCHARD CAPITAL MANAGEMENT, LLC|ORCHARD CAPITAL MANAGEMENT, LLC|8515 EAST ORCHARD ROAD||GREENWOOD VILLAGE CO 80111|USA|||  ||BEVERLY BYRNE|(303) 737-3817|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/29/1999|0|21|0|0|0|0
Denver Regional Office| 108581|801-57585|CRESTONE ASSET MANAGEMENT LLC|CRESTONE ASSET MANAGEMENT LLC|1050 WALNUT ST|SUITE 402|BOULDER CO 80302|USA|||  ||DIANA STEWART|303-442-4447|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/22/2000|0|0|0|0|0|0
Denver Regional Office| 108588|801-56830|PLAN PROFESSIONALS INCORPORATED|PLAN PROFESSIONALS INCORPORATED|112 SW 6TH AVE., STE 400||TOPEKA KS 66603-3810|USA|112 SW 6TH AVE., STE 400||TOPEKA KS 66603-3810|USA|MARK A. SCHNEIDER|785-232-2378|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters, Market timing services, Other|APPROVED|09/17/1999|0|0|0|0|0|0
Denver Regional Office| 108616|801-58115|HOLLAND DUELL FINANCIAL STRATEGIES|DUELL, HOLLAND BOSSON|50 E. LOUCKS ST., #211||SHERIDAN WY 82801|USA|P.O. BOX 1085||SHERIDAN WY 82801|USA|HOLLAND B. DUELL|307-672-6364|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters, Other|APPROVED|11/09/2000|0|0|0|0|0|0
Denver Regional Office| 108719|801-55600|AFC TAX AND FINANCIAL ADVISORS, INC.|AFC TAX AND ACCOUNTING SERVICES, INC.|900 SOUTH KIPLING PARKWAY||LAKEWOOD CO 80226|USA|||  ||MATTHEW Q CARPINELLI|303-989-5900|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|05/28/1998|0|0|0|0|0|0
Denver Regional Office| 108745|801-56515|BOULDER INVESTMENT ADVISERS LLC|BOULDER INVESTMENT ADVISERS LLC|2344 SPRUCE STREET|SUITE A|BOULDER CO 80302-4672|USA|||  ||STEPHEN C. MILLER|303-444-5483|Limited Liability Company|Portfolio management for investment companies|APPROVED|05/17/1999|0|0|0|0|0|0
Denver Regional Office| 108833|801-64029|INTELLIGENT INVESTMENT MANAGEMENT,LLP|INTELLIGENT INVESTMENT MANAGEMENT,LLP|150 EAST 9TH ST|STE 333|DURANGO CO 81301|USA|||  ||G. STEPHEN WHEELDON|970-403-1234|Limited Liability Partnership|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|03/09/2005|0|0|0|0|0|0
Denver Regional Office| 108872|801-57450|STRATEGIC CAPITAL ADVISERS, INC.|STRATEGIC CAPITAL ADVISERS, INC.|600 GRANT STREET|SUITE 850|DENVER CO 80203|USA|||  ||JOHN HANCOCK|303-333-0060|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|04/28/2000|0|0|0|0|0|0
Denver Regional Office| 108939|801-54762|PENECO INVESTMENTS LLC|PENECO INVESTMENTS LLC|8400 EAST PRENTICE AVE|SUITE 840|GREENWOOD VILLAGE CO 80111|USA|||  ||LINDA T. HEIFETS|(303)793-3840|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|08/01/1997|0|0|0|0|0|0
Denver Regional Office| 108946|801-55339|ASSURITY ADVISORS INC.|ASSURITY ADVISORS INC.|4000 PINE LAKE ROAD||LINCOLN NE 68501-4310|USA|PO BOX 84310||LINCOLN NE 68501-4310|USA|CAROL J. WATSON|(402) 437-4403|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|03/12/1998|0|0|0|0|0|0
Denver Regional Office| 108973|801-69062|MOORE FINANCIAL GROUP|MOORE FINANCIAL GROUP LLC|10390 W. BRADFORD ROAD|SUITE 202|LITTLETON CO 80127|USA|||  ||JON D. MOORE|303.225.8400|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/28/2008|0|0|1|0|0|0
Denver Regional Office| 108986|801-57036|INSTITUTIONAL CAPITAL MANAGEMENT, INC.|INSTITUTIONAL CAPITAL MANAGEMENT, INC.|808 SOUTH PUBLIC ROAD|SUITE 101|LAFAYETTE CO 80026|USA|||  ||ROBERT J. MOORE|303.541.0759|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/03/1999|0|0|0|0|0|0
Denver Regional Office| 109036|801-56587|FIRST AFFIRMATIVE FINANCIAL NETWORK LLC|FIRST AFFIRMATIVE FINANCIAL NETWORK LLC|5475 MARK DABLING BOULEVARD|SUITE 108|COLORADO SPRINGS CO 80918|USA|||  ||KATHLEEN J. SUTHERLAND|719-636-1045 X119|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|06/07/1999|0|1|0|0|0|0
Denver Regional Office| 109037|801-55164|FINANCIAL NETWORK SPECIALISTS LLC|FINANCIAL NETWORK SPECIALISTS LLC|5220 S ULSTER ST UNIT 2210||GREENWOOD VILLAGE CO 80111|USA|||  ||MITCHELL D MILLER|303-520-5187|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/07/1998|0|0|0|0|0|0
Denver Regional Office| 109117|801-57390|CHAPEL & COLLINS, LLC|CHAPEL & COLLINS, LLC|375 EAST HORSETOOTH RD BLDG 4|SUITE 100|FORT COLLINS CO 80525|USA|||  ||DENNIS COLLINS|(970) 204-1376|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|03/21/2000|0|0|0|0|0|0
Denver Regional Office| 109238|801-57511|THE MUTUAL FUND STORE|THE MUTUAL FUND STORE-KANSAS CITY, LLC|7301 COLLEGE BOULEVARD|SUITE 220|OVERLAND PARK KS 66210|USA|||  ||CHERYL DONOVAN|913-319-8100|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Other|APPROVED|04/21/2000|0|0|0|0|0|0
Denver Regional Office| 109250|801-54914|MARSICO CAPITAL MANAGEMENT, LLC|MARSICO CAPITAL MANAGEMENT, LLC|1200 17TH STREET|SUITE 1600|DENVER CO 80202-5824|USA|||  ||STEVEN R CARLSON|303-454-5600|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/26/1997|0|8|0|0|0|0
Denver Regional Office| 109251|801-57055|LIGHTHOUSE FINANCIAL LLC|LIGHTHOUSE FINANCIAL LLC|360 INTERLOCKEN BLVD.|SUITE 101|BROOMFIELD CO 80021-3496|USA|||  ||MIKE GORDON|303-444-1818|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|12/23/1999|0|0|0|0|0|0
Denver Regional Office| 109260|801-57279|CENTURION HINDS INVESTMENT MANAGEMENT INC.|CENTURION HINDS INVESTMENT MANAGEMENT INC.|141 UNION BOULEVARD|SUITE 350|LAKEWOOD CO 80228|USA|200 NORTH MARTINGALE RD||SCHAUMBURG IL 60173|USA|GIGI FUHRY|847-330-7906|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|03/09/2000|2|0|0|0|0|0
Denver Regional Office| 109268|801-57982|PFLUG KOORY, LLC|PFLUG KOORY, LLC|11312 'Q' STREET||OMAHA NE 68137|USA|||  ||THOMAS F. PFLUG|402-691-0988|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/26/2000|0|0|0|0|0|0
Denver Regional Office| 109317|801-56842|ESTHER M MCGANN , MBA, CFP|ESTHER MAE MCGANN|1267 NORTH 15TH|SUITE 123-E|LARAMIE WY 82072|USA|||  ||ESTHER MCGANN|307 742-3999|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|10/29/1999|0|0|0|0|0|0
Denver Regional Office| 109381|801-55150|SUMMIT INVESTMENT PARTNERS|SUMMIT INVESTMENT ADVISORS, INC.|390 N COTNER||LINCOLN NE 68505-2371|USA|||  ||KAREN DIKE|402-467-7854|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/13/1998|0|0|1|0|0|0
Denver Regional Office| 109413|801-57575|YUKON WEALTH MANAGEMENT, INC.|YUKON WEALTH MANAGEMENT, INC.|15050 ANTIOCH ROAD|SUITE 101|OVERLAND PARK KS 66221|USA|||  ||JOHN HANAHAN|913-681-9200|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Market timing services|APPROVED|05/12/2000|0|1|0|0|0|0
Denver Regional Office| 109424|801-54437|FOUNTAIN CAPITAL MANAGEMENT LLC|FOUNTAIN CAPITAL MANAGEMENT LLC|11551 ASH STREET|SUITE 250|LEAWOOD KS 66211|USA|||  ||DOUGLAS E. CAMPBELL|913-345-2766|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/16/1997|0|0|0|0|0|0
Denver Regional Office| 109446|801-57516|REDW STANLEY FINANCIAL ADVISORS, LLC|REDW STANLEY FINANCIAL ADVISORS, LLC|6401 JEFFERSON NE||ALBUQUERQUE NM 87109|USA|P.O. BOX 93656||ALBUQUERQUE NM 87199|USA|VIRGINIA M.K. STANLEY|505-998-3216|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters, Other|APPROVED|05/10/2000|0|0|0|0|0|0
Denver Regional Office| 109490|801-57263|MUTUAL ASSET MANAGEMENT|MUTUAL ASSET MANAGEMENT|11152 HURON STREET|SUITE 105|NORTHGLENN CO 80234|USA|||  ||MICHAEL BALL|303-452-4374|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|03/14/2000|0|0|1|0|0|0
Denver Regional Office| 109522|801-36738|KEELER THOMAS INC|KEELER THOMAS INC|1327 SOUTH 800 EAST SUITE 100||OREM UT 84097|USA|||  ||CHARLES UNICE|801-226-0800|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Other|APPROVED|06/07/1990|0|0|0|0|0|0
Denver Regional Office| 109541|801-54632|ENDEX CAPITAL MANAGMENT LLC|ENDEX CAPITAL MANAGMENT LLC|6320 LAMAR||OVERLAND PARK KS 66202|USA|PO BOX 7027||KANSAS CITY MO 64113||STEPHEN D FARRELL|913-981-1363|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/13/1997|0|1|0|0|0|0
Denver Regional Office| 109555|801-57488|GATEWAY FINANCIAL STRATEGIES LLC|GATEWAY FINANCIAL STRATEGIES LLC|526 BRIGGS STREET|SUITE D|ERIE CO 80516|US|PO BOX 957||ERIE CO 80516|USA|JOHN H. ALPERS III|303-828-0077|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|05/02/2000|0|0|0|0|0|0
Denver Regional Office| 109560|801-57916|EVEREST FUNDS MANAGEMENT LLC|EVEREST FUNDS MANAGEMENT LLC|5805 S. 86TH CIRCLE||OMAHA NE 68127|USA|||  ||CURT VAN HILL|402-593-4503|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/30/2000|0|0|0|0|0|0
Denver Regional Office| 109578|801-55317|THE KARRAS COMPANY, INC.|THE KARRAS COMPANY, INC.|4695 S 1900 WEST|SUITE 3|ROY UT 84067|USA|||  ||BRETT NOLAN KARRAS|801-825-3000|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|03/20/1998|0|0|0|0|0|0
Denver Regional Office| 109628|801-54790|THE BORNHOFT GROUP CORPORATION|THE BORNHOFT GROUP CORPORATION|1660 LINCOLN ST|STE 100|DENVER CO 80264-3103|USA|||  ||RICHARD E. BORNHOFT|303-572-1000|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/04/1997|0|0|0|0|0|0
Denver Regional Office| 109660|801-48112|LAUER CAPITAL MANAGEMENT LTD.|LAUER CAPITAL MANAGEMENT LTD|1720 S. SPRING AVENUE||SIOUX FALLS SD 57105|USA|PO BOX 89625||SIOUX FALLS SD 57109-9625|USA|RICHARD T.W. LAUER|605-357-8088|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|12/23/1994|0|0|0|0|0|0
Denver Regional Office| 109661|801-47199|HANSEN WEALTH MANAGEMENT|HANSEN, BRIAN BENNETT|994 MOYLE DR.||ALPINE UT 84004|USA|||  ||BRIAN HANSEN|801-756-2458|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|09/02/1994|0|0|0|0|0|0
Denver Regional Office| 109664|801-19624|MANARIN INVESTMENT COUNSEL LTD|MANARIN INVESTMENT COUNSEL LTD|15858 W DODGE RD|STE 310|OMAHA NE 68118|USA|||  ||DEBORAH KOCH|(402) 330-1166|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|09/01/1983|0|0|0|0|0|0
Denver Regional Office| 109791|801-55123|JOHN MOORE & ASSOCIATES INC|JOHN MOORE & ASSOCIATES INC|6301 INDIAN SCHOOL RD NE|SUITE 810|ALBUQUERQUE NM 87110-9614|USA|||  ||JAMI SCHWALM|505-881-5100|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|01/09/1998|0|0|0|0|0|0
Denver Regional Office| 109796|801-19282|FINANCIAL ADVISORY SERVICE INC|FINANCIAL ADVISORY SERVICE INC|4747 WEST 135TH STREET|SUITE 100|LEAWOOD KS 66224|USA|||  ||CAROL SLOAN|913-239-2300|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|07/21/1983|0|0|0|0|0|0
Denver Regional Office| 109904|801-60238|ORIZON INVESTMENT COUNSEL LLC|ORIZON INVESTMENT COUNSEL LLC|16924 FRANCES STREET|SUITE 200|OMAHA NE 68130-2311|USA|||  ||DANIEL TUCKER|402.330.7008|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|05/03/2001|0|1|0|0|0|0
Denver Regional Office| 109910|801-60047|FRONTIER ASSET MANAGEMENT, LLC|FRONTIER ASSET MANAGEMENT, LLC|201 N CONNOR ST, SUITE 250||SHERIDAN WY 82801|USA|P.O. BOX 2086||SHERIDAN WY 82801|USA|SCOTT MACKILLOP|720-379-3590|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|03/09/2001|0|0|0|0|0|0
Denver Regional Office| 109924|801-61042|CAPITAL INVESTMENT MANAGEMENT|CAPITAL INVESTMENT MANAGEMENT, INC.|8055 E. TUFTS AVENUE|SUITE 1350|DENVER CO 80237|USA|||  ||CHAD WILLIAMS|303-221-1000|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Market timing services|APPROVED|04/03/2002|0|1|0|0|0|0
Denver Regional Office| 109937|801-60930|WAGNER WEALTH MANAGEMENT, LLC|WAGNER WEALTH MANAGEMENT, LLC|50 SOUTH STEELE STREET|SUITE 215|DENVER CO 80209|USA|||  ||AUSTIN LEWIS|303-394-9600|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|02/15/2002|0|0|0|0|0|0
Denver Regional Office| 109976|801-57756|COLORADO INVESTOR SERVICES CORP|COLORADO INVESTOR SERVICES CORP|1700 BROADWAY|STE 2020|DENVER CO 80290|USA|||  ||LEONARD CHUBINSKY|(914) 765-3918|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/21/2000|0|0|0|0|0|0
Denver Regional Office| 109978|801-63994|IRVING PLANNING & INVESTMENTS, LTD.|IRVING PLANNING & INVESTMENTS, LTD.|3333 S. WADSWORTH BLVD.|SUITE 320|LAKEWOOD CO 80227|USA|||  ||MICHAEL J. IRVING|303-985-4100|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|03/25/2005|0|0|0|0|0|0
Denver Regional Office| 109982|801-46608|JONES BARCLAY BOSTON & CO.|JONES BARCLAY BOSTON & COMPANY|1718 GAYLORD STREET||DENVER CO 80206|USA|||  ||CRAIG S. JONES|303-592-4282|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|05/24/1994|0|0|0|0|0|0
Denver Regional Office| 110069|801-54953|OBERMEYER ASSET MANAGEMENT CO|OBERMEYER ASSET MANAGEMENT CO|501 RIO GRANDE PLACE|SUITE 107|ASPEN CO 81611|USA|||  ||WALTER R. OBERMEYER|970-925-8747|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|10/10/1997|0|0|0|0|0|0
Denver Regional Office| 110110|801-34341|SCHAEFER FINANCIAL MANAGEMENT, INC.|SCHAEFER FINANCIAL MANAGEMENT, INC.|7700 EAST ARAPAHOE ROAD|SUITE 265|CENTENNIAL CO 80112-6108|USA|||  ||JEFFREY A. SCHAEFER, CFP|303-770-6700|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/12/1989|0|0|0|0|0|0
Denver Regional Office| 110198|801-56776|TRUENORTH, INC.|TRUENORTH, INC.|8200 EAST 32ND STREET NORTH|SUITE 100|WICHITA KS 67226|USA|||  ||MARGARET E. HORNBECK|316-266-6573|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|09/13/1999|0|0|0|0|0|0
Denver Regional Office| 110343|801-48330|ALLOCCA & BRUNETT,INC|ALLOCCA & BRUNETT, INC.|1549 ST FRANCIS DR||SANTA FE NM 87505|USA|||  ||JOHN F. BRUNETT|505-988-9739|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|01/27/1995|0|0|0|0|0|0
Denver Regional Office| 110364|801-37728|OMNI INVESTMENT ADVISORS INC|OMNI INVESTMENT ADVISORS INC|1245 E BRICKYARD RD|SUITE 160|SALT LAKE CITY UT 84106|USA|||  ||ROBERT LEO VONDERHARR|(801)484-6004|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|11/15/1990|0|6|0|0|0|0
Denver Regional Office| 110404|801-16626|ALL SEASON FINANCIAL ADVISORS, INC.|ALL SEASON FINANCIAL ADVISORS, INC.|731 SHERMAN STREET||DENVER CO 80203|USA|||  ||JOHN BURKHOLDER|303-837-1187|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|12/11/1981|0|0|0|0|0|0
Denver Regional Office| 110466|801-57677|SCOTT INVESTMENT ADVISORS, L.P.|SCOTT INVESTMENT ADVISORS LIMITED PARTNERSHIP|349 EAST KELLY AVENUE||JACKSON WY 83001|USA|P.O. BOX 1271||JACKSON WY 83001|USA|STEPHEN SCOTT|562-438-2811|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/29/2000|0|0|0|0|0|0
Denver Regional Office| 110471|801-57170|SHEPARD & ASSOCIATES INC|SHEPARD & ASSOCIATES FINANCIAL SERVICES, INC.|8655 COLLEGE BLVD., SUITE 100||OVERLAND PARK KS 66210-1835|USA|||  ||AMY L. HIGHFILL|913-362-2712|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/10/2000|0|0|0|0|0|0
Denver Regional Office| 110518|801-45628|SECURITIES AMERICA ADVISORS, INC.|SECURITIES AMERICA ADVISORS, INC.|12325 PORT GRACE BLVD||LAVISTA NE 68128-8204|USA|P.O. BOX 460001||PAPILLION NE 68046|USA|JOYCE STERNBERG|402-399-9111|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|01/25/1994|3|40|0|0|0|0
Denver Regional Office| 110568|801-49439|CALLAHAN CAPITAL MANAGEMENT|CALLAHAN CAPITAL MANAGEMENT INC|1169 HILLTOP PKWY|106A|STEAMBOAT SPRINGS CO 80487|USA|1169 HILLTOP PKWY|106A|STEAMBOAT SPRINGS CO 80487|USA|DANIEL CALLAHAN|970-870-8750|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/07/1995|0|0|0|0|0|0
Denver Regional Office| 110776|801-56902|SMITH HAYES ADVISERS INC|SMITH HAYES ADVISERS INC|200 CENTRE TERRACE|1225 L STREET|LINCOLN NE 68508|USA|P.O. BOX 83000||LINCOLN NE 68501-3000|UNITED STATES|CINDEE L DEVALL|402-476-3000|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|11/12/1999|0|2|0|0|0|0
Denver Regional Office| 110780|801-25916|FINANCIAL RESOURCES CONSULTANTS INC|FINANCIAL RESOURCES CONSULTANTS INC|7200 S. ALTON WAY|SUITE A-320|CENTENNIAL CO 80112-2254|USA|||  ||GARY EARLE MITCHELL|303-841-7069|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|11/25/1985|0|0|0|0|0|0
Denver Regional Office| 110785|801-28640|FREEDOM FUNDS MANAGEMENT CO|FREEDOM FUNDS MANAGEMENT CO|1200 17TH ST|STE 850|DENVER CO 80202-5808|USA|||  ||MARY PHILLIPS|303 572-6990|Corporation|Portfolio management for investment companies|APPROVED|01/16/1987|0|0|0|0|0|0
Denver Regional Office| 110845|801-39481|COLORADO FINANCIAL MANAGEMENT INC|COLORADO FINANCIAL MANAGEMENT INC|2725 ROCKY MOUNTAIN AVENUE|SUITE #320|LOVELAND CO 80538|USA|||  ||GARY D. PREMER|970-613-1392|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/15/1991|0|0|0|0|0|0
Denver Regional Office| 110870|801-17207|SMEDLEY FINANCIAL SERVICES INC|SMEDLEY FINANCIAL SERVICES INC|420 E SOUTH TEMPLE|SUITE 420|SALT LAKE CITY UT 84111|USA|P.O. BOX 4133||SALT LAKE CITY UT 84110-4133|USA|SHARLA J. JESSOP|(801)355-8888|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters, Other|APPROVED|06/04/1982|0|0|0|0|0|0
Denver Regional Office| 110900|801-14574|INVESTMENT MANAGEMENT ASSOCIATES|INVESTMENT MANAGEMENT ASSOCIATES|7979 EAST TUFTS AVE|SUITE 820|DENVER CO 80237|USA|||  ||THERESA LEWINGDON|303-796-8333|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/04/1979|0|1|0|0|0|0
Denver Regional Office| 110919|801-19409|M. J. SMITH AND ASSOCIATES|M. J. SMITH AND ASSOCIATES|9635 MAROON CIRCLE|#230|ENGLEWOOD CO 80112-5927|USA|||  ||LONDETTE STRANG|303-768-0007|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|08/04/1983|0|0|0|0|0|0
Denver Regional Office| 110939|801-49763|ASSET MANAGEMENT GROUP, INC.|ASSET MANAGEMENT GROUP, INC.|9400 MISSION ROAD||SHAWNEE MISSION KS 66206|USA|P.O. BOX 410889||KANSAS CITY MO 64141-0889|U.S.A.|LONNIE HARRIS|816-931-4060|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|08/01/1995|0|0|0|0|0|0
Denver Regional Office| 110961|801-28498|WESTCHESTER CAPITAL MANAGEMENT INC|WESTCHESTER CAPITAL MANAGEMENT INC|801 NORTH 96TH ST||OMAHA NE 68114-2538|USA|||  ||CINDY L. CHRISTENSEN|402.392.2418|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|12/19/1986|0|0|0|0|0|0
Denver Regional Office| 111000|801-55812|KAISER WEALTH MANAGEMENT|KAISER WEALTH MANAGEMENT|6101 YELLOWSTONE RD. STE 100||CHEYENNE WY 82009|USA|||  ||TODD P. BISHOP|307-634-1547|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/11/1998|0|0|0|0|0|0
Denver Regional Office| 111030|801-56975|CONLEY INVESTMENT COUNSEL INC|CONLEY INVESTMENT COUNSEL INC|9300 UNDERWOOD AVENUE|SUITE 100|OMAHA NE 68114-2400|USA|||  ||J. KENNEDY COSTELLO III|402-391-1840|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|12/16/1999|0|0|0|0|0|0
Denver Regional Office| 111033|801-49107|PITTENGER & ANDERSON INC|PITTENGER & ANDERSON INC|5533 S. 27TH STREET|SUITE 201|LINCOLN NE 68512|USA|||  ||JAMES S. PITTENGER, JR.|402-328-8800|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/03/2000|0|0|0|0|0|0
Denver Regional Office| 111052|801-60458|TLG ADVISORS, INC.|TLG ADVISORS, INC.|26 WEST DRY CREEK CIRCLE|SUITE 575|LITTLETON CO 80120|USA|||  ||Z. JANE RILEY|303-797-9080 EXT 101|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|08/06/2001|0|0|0|0|0|0
Denver Regional Office| 111087|801-34933|KORNITZER CAPITAL MANAGEMENT, INC.|KORNITZER CAPITAL MANAGEMENT, INC.|5420 WEST 61ST PLACE||SHAWNEE MISSION KS 66205|USA|P.O. BOX 918||SHAWNEE MISSION KS 66201|U.S.A.|BARRY E. KOSTER|913-677-7778|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|08/04/1989|0|0|0|0|0|0
Denver Regional Office| 111115|801-36051|CAUSEY DEMGEN & MOORE INC|CAUSEY DEMGEN & MOORE INC|1801 CALIFORNIA ST|STE 4650|DENVER CO 80202-2681|USA|||  ||JAMES PATRICK HAYES|303 296-2229|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|02/22/1990|0|0|0|0|0|0
Denver Regional Office| 111145|801-14822|WAGNER INVESTMENT MANAGEMENT INC.|WAGNER INVESTMENT MANAGEMENT INC.|3200 CHERRY CREEK SOUTH DR. SUITE 240||DENVER CO 80209|USA|||  ||LYNN MONAHAN|303-777-1800|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|09/14/1979|0|0|0|0|0|0
Denver Regional Office| 111177|801-58279|AMUSSEN, HUNSAKER & ASSOCIATES INCORPORATED|AMUSSEN, HUNSAKER & ASSOCIATES INCORPORATED|275 SOUTH TEMPLE SUITE 204||SALT LAKE CITY UT 84111|USA|||  ||BRIAN WARD HUNSAKER|801 575-6409|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/24/2001|0|0|0|0|0|0
Denver Regional Office| 111196|801-33822|DESTINY CAPITAL CORPORATION|DESTINY CAPITAL CORP|14142 DENVER WEST PARKWAY|SUITE 290|GOLDEN CO 80401-3127|USA|||  ||PATRICIA A. KRAMER|303-277-9977|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|02/10/1989|0|0|0|0|0|0
Denver Regional Office| 111202|801-68563|BEACON CAPITAL MANAGEMENT|JENKINS, DANIEL EVAN|8100 EAST 22ND ST NORTH|BUILDING 2300-3|WICHITA KS 67226|USA|||  ||DANNY E. JENKINS|(316)687-2423|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|12/11/2007|0|0|0|0|0|0
Denver Regional Office| 111256|801-60086|J.T. BISHOP ADVISORS|BISHOP JOHN THOMAS|1360 WEST ST||WILSON WY 83014|USA|BOX 1370||WILSON WY 83014|U.S.A.|JOHN BISHOP|307-733-5525|Sole Proprietorship|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/09/2001|1|0|0|0|0|0
Denver Regional Office| 111267|801-56325|BELSEN GETTY, LLC|BELSEN GETTY LLC|1245 EAST BRICKYARD ROAD|SUITE 590|SALT LAKE CITY UT 84106|USA|||  ||TERRY M. DERU|801-433-2000|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/18/1999|0|0|0|0|0|0
Denver Regional Office| 111332|801-60895|DAVIS CAPITAL MANAGEMENT, LLC|DAVIS CAPITAL MANAGEMENT, LLC|55 MADISON STREET SUITE 680||DENVER CO 80206-5420|USA|||  ||LEE W. DINES, JR.|303-329-6262|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|02/01/2002|0|0|0|0|0|0
Denver Regional Office| 111486|801-45741|RICE BROWN FINANCIAL SERVICES|BROWN, RICE E|1173 SOUTH 250 WEST SUITE 201||SAINT GEORGE UT 84770|USA|||  ||ANN C BOWERS|435-656-5099|Sole Proprietorship|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Publication of periodicals or newsletters|APPROVED|04/26/1994|0|0|0|0|0|0
Denver Regional Office| 111514|801-55501|AMERIVEST INVESTMENT MANAGEMENT, LLC|AMERIVEST INVESTMENT MANAGEMENT, LLC|1005 NORTH AMERITRADE PLACE||BELLEVUE NE 68005|USA|||  ||GERALD KRAGER|402-574-6040|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies|APPROVED|07/21/1998|0|1|0|0|0|0
Denver Regional Office| 111516|801-66615|INTERVEST INTERNATIONAL, INC.|INTERVEST INTERNATIONAL, INC.|1980 DOMINION WAY, SUITE 202||COLORADO SPRINGS CO 80918|USA|||  ||ROBERT E. COPUS, CFP|(719)592-9299|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|04/18/2006|0|1|0|0|0|0
Denver Regional Office| 111588|801-54255|DREMAN VALUE MANAGEMENT LLC|DREMAN VALUE MANAGEMENT, L.L.C.|520 EAST COOPER AVENUE|SUITE 230-4|ASPEN CO 81611-9725|USA|C/O CONTRARIAN SERVICES CORP|HARBORSIDE FNCL CTR, PLAZA 10, STE 800|JERSEY CITY NJ 07311|U.S.A.|HANNAH EMERY|201 793-2018|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|04/24/1997|0|0|0|0|0|0
Denver Regional Office| 111601|801-60257|FNB FUND ADVISERS|FIRST NATIONAL BANK OF OMAHA|1620 DODGE STREET|STOP 1075|OMAHA NE 68197-1075|USA|||  ||DOUGLAS HOFFMAN|(402)633-3389|Other (specify)|Portfolio management for investment companies, Other|APPROVED|05/23/2001|0|0|0|0|0|0
Denver Regional Office| 111709|801-60148|CAPITAL FINANCIAL GROUP, INC.|CAPITAL FINANCIAL GROUP, INC.|1660 WYNKOOP STREET SUITE 1155||DENVER CO 80202-1146|USA|||  ||DENNIS A. LEONIDA|(303) 629-7500|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|04/13/2001|0|0|0|0|0|0
Denver Regional Office| 111711|801-30439|CHERRY ST PARTNERS|HHM LTD|425 S CHERRY ST STE 900||DENVER CO 80246|USA|||  ||DAWN HOOVER|303-399-9090|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Publication of periodicals or newsletters|APPROVED|10/05/1987|0|0|0|0|0|0
Denver Regional Office| 111739|801-60156|EQUITY ADVISORS, INC.|EQUITY ADVISORS, INC.|4601 COLLEGE BOULEVARD SUITE 285||LEAWOOD KS 66211-1678|USA|||  ||JOSEPH C. JOHNSON|(913) 491-3993|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/19/2001|0|0|0|0|0|0
Denver Regional Office| 111842|801-67827|LIFETIME WEALTH PRIVATE CLIENT EXPERIENCE, INC.|LIFETIME WEALTH PRIVATE CLIENT EXPERIENCE, INC.|350 INDIANA STREET|SUITE 200|GOLDEN CO 80401|USA|||  ||JOHN SCOTT|303-273-0100|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|04/27/2007|0|2|0|0|0|0
Denver Regional Office| 111863|801-60361|KRG CAPITAL PARTNERS|KRG CAPITAL MANAGEMENT, L.P.|1515 ARAPAHOE STREET TOWER 1, SUITE 1500||DENVER CO 80202|USA|||  ||THERESA SHELTON|(303) 390-5001|Partnership|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|07/17/2001|0|0|1|0|0|0
Denver Regional Office| 111903|801-57841|SENDERO CAPITAL MANAGEMENT, INC.|SENDERO CAPITAL MANAGEMENT, INC.|1655 LA FONDA||LAS CRUCES NM 88001|USA|||  ||MERLINDA SANCHEZ|505-556-8530|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/16/2000|0|1|0|0|0|0
Denver Regional Office| 111953|801-60459|SUNRISE ADVISORS|SUNRISE ADVISORS, INC.|13401 MISSION ROAD|SUITE 201|LEAWOOD KS 66209|USA|||  ||DAVID P. SCOTT|913 681-0215|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|08/10/2001|0|0|0|0|0|0
Denver Regional Office| 112018|801-60280|CORINTHIAN CAPITAL COMPANY|CORINTHIAN CAPITAL COMPANY|1401 17TH STREET|SUITE 480|DENVER CO 80202|USA|||  ||CLAUDIA L. BERANATO|303-298-9950|Other (specify)|Portfolio management for individuals and/or small businesses|APPROVED|05/31/2001|0|0|0|0|0|0
Denver Regional Office| 112024|801-19008|THE WEALTH CONSERVANCY, INC.|THE WEALTH CONSERVANCY, INC.|1525 SPRUCE STREET|SUITE 300|BOULDER CO 80302|USA|||  ||MELISSA HOYER|303 444 1919|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters, Other|APPROVED|06/03/1983|0|0|0|0|0|0
Denver Regional Office| 112058|801-58105|ADVISED ASSETS GROUP, LLC|ADVISED ASSETS GROUP, LLC|8515 EAST ORCHARD RD|10T2|GREENWOOD VILLAGE CO 80111|USA|||  ||BEVERLY A. BYRNE|(303) 737-3817|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|11/22/2000|0|22|0|0|0|0
Denver Regional Office| 112167|801-56393|GHP FINANCIAL GROUP|GHP HORWATH, P.C.|1670 BROADWAY, STE 3000||DENVER CO 80202|USA|||  ||STEVEN LEVEY|303-831-5000|Corporation|Financial planning services, Other|APPROVED|04/30/1999|0|0|0|0|0|0
Denver Regional Office| 112198|801-54833|CULVER INVESTMENT COMPANY, LLC|CULVER INVESTMENT COMPANY, LLC|360 INTERLOCKEN BLVD.|SUITE 104|BROOMFIELD CO 80021|USA|||  ||MARK P. CULVER|303-442-3670|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Other|APPROVED|07/25/2000|0|0|1|0|0|0
Denver Regional Office| 112227|801-48276|SPRINKLE FINANCIAL CONSULTANTS LLC|SPRINKLE FINANCIAL CONSULTANTS LLC|1520 WEST CANAL COURT, SUITE 220||LITTLETON CO 80120|USA|||  ||SCOTT K. SPRINKLE|303-297-2185|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|01/23/1995|0|0|0|0|0|0
Denver Regional Office| 112315|801-61646|PRISM FINANCIAL GROUP, LLC|PRISM FINANCIAL GROUP, LLC|7101 COLLEGE BLVD. SUITE 1510||OVERLAND PARK KS 66210|USA|||  ||THERESA SHMIDL|913-345-1444|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|12/12/2002|0|0|0|0|0|0
Denver Regional Office| 112364|801-41021|CORDILLERA ASSET MANAGEMENT|CORDILLERA ASSET MANAGEMENT|901 AURARIA PKWY STE 350||DENVER CO 80204|USA|||  ||TIMOTHY J MEISINGER|303-572-6897|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/23/1992|0|0|0|0|0|0
Denver Regional Office| 112464|801-62251|CARNICK & COMPANY, INCORPORATED|CARNICK & COMPANY, INCORPORATED|675 SOUTHPOINTE COURT SUITE 102||COLORADO SPRINGS CO 80906|USA|POST OFFICE BOX 7||COLORADO SPRINGS CO 80901-0007|USA|CRAIG EVANS CARNICK, CFP|719-579-8000|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|08/07/2003|0|0|0|0|0|0
Denver Regional Office| 112467|801-68813|JORDAN FINANCIAL STRATEGIES|JORDAN FINANCIAL STRATEGIES, LLC|891 GARRISON ST||LAKEWOOD CO 80215|USA|||  ||KRISTY R. JORDAN|303-444-1110|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/19/2008|0|0|0|0|0|0
Denver Regional Office| 112472|801-67155|LEGIONCE INVESTMENT ADVISORS, LLC|LEGIONCE INVESTMENT ADVISORS, LLC|7535 EAST HAMPDEN AVENUE|SUITE 305|DENVER CO 80231-4840|USA|||  ||GREGORY F. SCHAFFNER|(303) 751-5550|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/03/2007|0|0|0|0|0|0
Denver Regional Office| 112504|801-63213|EPLAN ADVISORS, LLC|EPLAN ADVISORS, LLC|4949 S. SYRACUSE ST.|SUITE 550|DENVER CO 80237|USA|700 N. COLORADO BLVD|SUITE 288|DENVER CO 80206|USA|STEVE PERKINS|303-567-8941|Limited Liability Company|Pension consulting services|APPROVED|06/29/2004|0|0|0|0|0|0
Denver Regional Office| 112505|801-69305|OLDFATHER FINANCIAL SERVICES LLC|OLDFATHER FINANCIAL SERVICES LLC|2033 CENTRAL AVENUE||KEARNEY NE 68848-1775|USA|P.O BOX 1775||KEARNEY NE 68848-1775|US|WILLIAM OLDFATHER|(308)237-4571|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|07/03/2008|0|0|0|0|0|0
Denver Regional Office| 112528|801-60282|TRIBUTARY CAPITAL MANAGEMENT, LLC|TRIBUTARY CAPITAL MANAGEMENT, LLC|215 WEST OAK STREET, SUITE 201||FORT COLLINS CO 80521|USA|||  ||CELESTE M. BLACKBURN|970-498-1914|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/23/2001|0|0|0|0|0|0
Denver Regional Office| 112538|801-62722|FALCO FINANCIAL SERVICES, INC.|FALCO FINANCIAL SERVICES, INC.|1110 CIRCLE DRIVE|SUITE 100|SCOTTSBLUFF NE 69361|USA|||  ||FRED A LOCKWOOD|308-632-4146|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|01/30/2004|0|0|0|0|0|0
Denver Regional Office| 112558|801-42266|INVESTMENT MANAGEMENT CONSULTANTS, LTD.|INVESTMENT MANAGEMENT CONSULTANTS, LTD.|2505 W. ALAMO AVENUE||LITTLETON CO 80120|USA|||  ||RICHARD L. BEHR, JR.|303-707-0360|Other (specify)|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|09/03/1992|0|0|0|0|0|0
Denver Regional Office| 112603|801-61624|KUMMER FINANCIAL STRATEGIES, INC.|KUMMER FINANCIAL STRATEGIES, INC.|8871 RIDGELINE BLVD.|SUITE 100|HIGHLANDS RANCH CO 80129|USA|||  ||PATRICIA KUMMER|303-470-1209|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/02/2003|0|0|0|0|0|0
Denver Regional Office| 112649|801-66255|ADVISERS INVESTMENT MANAGEMENT, INC.|ADVISERS INVESTMENT MANAGEMENT,INC|1255 LAKE PLAZA DR. SUITE 244||COLORADO SPRINGS CO 80906|USA|||  ||ROLLYN L. WILD|719-540-9990|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/31/2006|0|0|0|0|0|0
Denver Regional Office| 112663|801-68945|KATHLEEN LENOVER, INC.|KATHLEEN LENOVER, INC.|1770 HIGH STREET||DENVER CO 80218-1306|USA|||  ||KATHLEEN LENOVER|303-388-2466|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/12/2008|0|0|0|0|0|0
Denver Regional Office| 112664|801-67305|KEATING INVESTMENTS, LLC|KEATING INVESTMENTS, LLC|5251 DTC PARKWAY|SUITE 1000|GREENWOOD VILLAGE CO 80111-2739|USA|||  ||BRETT W. GREEN|720-489-4909|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|11/20/2006|0|0|0|0|0|0
Denver Regional Office| 112732|801-60893|BRADDOCK FINANCIAL CORP.|BRADDOCK FINANCIAL CORP.|1200 17TH STREET|SUITE 880|DENVER CO 80202|USA|||  ||DAVID KAPLAN|303-308-6400|Corporation|Other|APPROVED|02/01/2002|0|0|0|0|0|0
Denver Regional Office| 112743|801-65817|DIVERSIFIED ASSET MANAGEMENT, INC.|DIVERSIFIED ASSET MANAGEMENT, INC.|1113 SPRUCE ST|SUITE 505|BOULDER CO 80302|USA|||  ||ROBERT J. PYLE|303-440-2906|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|01/27/2006|0|0|0|0|0|0
Denver Regional Office| 112761|801-64135|GREENWOOD INVESTMENT MANAGEMENT, INC.|GREENWOOD INVESTMENT MANAGEMENT, INC.|6430 SOUTH QUEBEC STREET|BUILDING 6|CENTENNIAL CO 80111|USA|||  ||KENNETH W. JAMES|303-663-5799|Corporation|Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|04/13/2005|0|0|0|0|0|0
Denver Regional Office| 112773|801-55499|COLUMBIA CAPITAL MANAGEMENT, LLC|COLUMBIA CAPITAL MANAGEMENT, LLC|6330 LAMAR AVENUE|SUITE 200|OVERLAND PARK KS 66202|USA|||  ||KEVIN B. WICKLIFFE|913-312-8081|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|05/15/1998|0|0|0|0|0|0
Denver Regional Office| 112829|801-16541|COOK STREET CONSULTING, INC.|COOK STREET CONSULTING, INC.|44 COOK STREET|SUITE 600|DENVER CO 80206|USA|||  ||SEAN WATERS|303.333.7770|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|10/16/1981|0|0|0|0|0|0
Denver Regional Office| 112859|801-68103|BOCK EVANS FINANCIAL COUNSEL, LTD.|BOCK EVANS FINANCIAL COUNSEL, LTD|650 SOUTH CHERRY STREET|SUITE 1000|DENVER CO 80246|USA|||  ||MARY C EVANS|303-534-1355|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|07/12/2007|0|0|0|0|0|0
Denver Regional Office| 112908|801-69067|ELDERADO FINANCIAL, INC|ELDERADO FINANCIAL, INC|1100 S. TOWNSEND AVE||MONTROSE CO 81401|USA|||  ||JIM ELDER|970-249-9900|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/24/2008|0|0|0|0|0|0
Denver Regional Office| 112935|801-56236|TRACS FINANCIAL|FLYNN, JEFFERY, BENJAMIN|3030 WEST LOWER SADDLEBACK ROAD||PARK CITY UT 84098|USA|||  ||JEFFERY FLYNN|435-649-8277|Sole Proprietorship|Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|01/27/1999|0|0|0|0|0|0
Denver Regional Office| 113115|801-64209|HABERKORN FINANCIAL SERVICES, INC.|HABERKORN FINANCIAL SERVICES, INC.|357 S MCCASLIN BLVD, SUITE 200||LOUISVILLE CO 80027|USA|||  ||DENNIS J HABERKORN|(303)926-4900|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|05/18/2005|0|0|0|0|0|0
Denver Regional Office| 113145|801-60313|MARY J. SPITLER, M.S.|MARYANN J. SPITLER|1267 N. 15TH ST.|SUITE 123-E|LARAMIE WY 82072|USA|||  ||MARY J. SPITLER|(307)742-3999|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/01/2001|0|0|0|0|0|0
Denver Regional Office| 113189|801-68279|GALLACHER CAPITAL MANAGEMENT, LLC|GALLACHER CAPITAL MANAGEMENT LLC|9250 EAST COSTILLA AVENUE|SUITE 201|GREENWOOD VILLAGE CO 80112-3662|USA|||  ||KEVIN E. GALLACHER|303-708-1640|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/29/2007|0|0|0|0|0|0
Denver Regional Office| 113216|801-56204|SARGENT BICKHAM LAGUDIS, LLC|SARGENT BICKHAM LAGUDIS, LLC|1801 13TH STREET|SUITE 208|BOULDER CO 80302|USA|||  ||PATRICIA MENELEY|303.443.2433|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|03/08/1999|0|0|0|0|0|0
Denver Regional Office| 113262|801-61810|MAURER & ASSOCIATES CAPITAL MANAGEMENT, INC.|MAURER & ASSOCIATES CAPITAL MANAGEMENT, INC.|4600 SOUTH SYRACUSE STREET|SUITE # 1060|DENVER CO 80237-2750|USA|||  ||SHAY LINDEMANN|303-757-5350|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/21/2003|0|0|0|0|0|0
Denver Regional Office| 113319|801-61164|DWMC II, L.L.C|DWMC II, L.L.C|1 SOUTH MAIN STREET|8TH FLOOR|SALT LAKE CITY UT 84133|USA|||  ||TODD JENKINS STEVENS|(801) 524-8939|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/23/2002|0|0|0|0|0|0
Denver Regional Office| 113320|801-61165|ZWMC, L.L.C.|ZWMC, L.L.C.|1 SOUTH MAIN STREET|8TH FLOOR|SALT LAKE CITY UT 84133|USA|||  ||TODD JENKINS STEVENS|(801) 524-8939|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/10/2002|0|0|0|0|0|0
Denver Regional Office| 113322|801-61163|WASATCH MANAGEMENT PARTNERS, L.L.C.|WASATCH MANAGEMENT PARTNERS, L.L.C.|1 SOUTH MAIN ST.|8TH FLOOR|SALT LAKE CITY UT 84133|USA|||  ||TODD JENKINS STEVENS|(801) 524-8939|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/10/2002|0|0|0|0|0|0
Denver Regional Office| 113348|801-63874|NATURAL INVESTMENTS, LLC|NATURAL INVESTMENTS, LLC|15230 BLACK BRIDGE ROAD||PAONIA CO 81428|USA|P.O. BOX 747||PAONIA CO 81428|USA|HAROLD BRILL|970-527-6550|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|02/10/2005|0|0|0|0|0|0
Denver Regional Office| 113387|801-63233|FINANCIAL DESIGN & MANAGEMENT, INC.|FINANCIAL DESIGN & MANAGEMENT, INC.|401 W. MOUNTAIN AVENUE|SUITE 100|FORT COLLINS CO 80521-2680|USA|||  ||JODY RANDALL|970-490-2033|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers, Other|APPROVED|06/24/2004|0|0|0|0|0|0
Denver Regional Office| 113407|801-69029|MICHAEL C. PARKE, CPA, CFP|PARKE, MICHAEL CLARE|235 SIMS, SUITE 10||DICKINSON ND 58601|USA|||  ||MICHAEL C. PARKE|701 483-4312|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|05/01/2008|1|2|0|0|0|0
Denver Regional Office| 113432|801-63972|MUELLER FINANCIAL SOLUTIONS CO.|MUELLER FINANCIAL SOLUTIONS CO.|303 N. 7TH ST.||CANON CITY CO 81212|USA|||  ||JEFFREY L MUELLER|719-275-1651|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|03/04/2005|0|0|0|0|0|0
Denver Regional Office| 113553|801-64030|HOLMES & TURNER FINANCIAL SERVICES, INC.|HOLMES & TURNER FINANCIAL SERVICES, INC.|1512 LARIMER STREET|SUITE 250|DENVER CO 80202|USA|||  ||KELLI DOUGLAS|303-292-1121|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|03/15/2005|0|0|0|0|0|0
Denver Regional Office| 113564|801-64548|EIDE BAILLY ADVISORS, LLC|EIDE BAILLY ADVISORS, LLC|4310 17TH AVE. S||FARGO ND 58108|USA|||  ||BRADLEY KELLEY|701-476-8759|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|09/01/2005|0|0|0|0|0|0
Denver Regional Office| 113618|801-68797|BRETT R. SMITH CPA WEALTH MANAGEMENT, LLC|BRETT R. SMITH CPA WEALTH MANAGEMENT, LLC|1285 CIMARRON DRIVE|SUITE 202|LAFAYETTE CO 80026|USA|||  ||BRETT SMITH|303-604-0505|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/07/2008|0|0|0|0|0|0
Denver Regional Office| 113681|801-66559|TOWNSEND RETIREMENT SPECIALISTS|TOWNSEND & ASSOCIATES, INC.|2761 W. 120TH AVE., SUITE 200||WESTMINSTER CO 80234|USA|||  ||SHAWN KELLY|303-452-5986|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|04/28/2006|0|0|0|0|0|0
Denver Regional Office| 113717|801-64121|ASSET SOLUTIONS, INC.|ASSET SOLUTIONS, INC.|8441 WEST BOWLES AVENUE|SUITE 225|LITTLETON CO 80123|USA|||  ||EILEEN RICHEY|303 932-2288|Corporation|Financial planning services|APPROVED|08/21/2006|0|0|0|0|0|0
Denver Regional Office| 113718|801-62772|IDG ADVISORS, LLC|IDG ADVISORS, LLC|6825 EAST TENNESSEE AVE.|SUITE 200|DENVER CO 80224|USA|||  ||REM BASHARI|303-399-5554|Limited Liability Company|Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|02/20/2004|0|1|0|0|0|0
Denver Regional Office| 113761|801-66167|WINDWARD FINANCIAL PLANNING, INC.|WINDWARD FINANCIAL PLANNING, INC.|4200 SOMERSET|SUITE 201|PRAIRIE VILLAGE KS 66208|USA|||  ||DARRELL R. TIERNEY|913.381.7411|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/31/2006|0|0|0|0|0|0
Denver Regional Office| 113836|801-67433|CONTRYMAN WEALTH ADVISORS|WEALTH ADVISORS NETWORK, INC.|2215 W. 12TH STREET||HASTINGS NE 68902-2026|USA|PO BOX 2026||HASTINGS NE 68902-2026|USA|JEFF ANDERSON|(402)463-6711|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|01/09/2007|0|1|0|0|0|0
Denver Regional Office| 113879|801-63838|SERCO INVESTMENTS INC.|SERCO INVESTMENTS INC.|26 DEVOYS PEAK||SANTA FE NM 87508|USA|||  ||RAJIV SHARMA|505-438-6679|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/07/2005|0|4|0|0|0|0
Denver Regional Office| 113934|801-65927|FINANCIAL SECURITY ADVISORS|VIDEO RECORDS INC.|8340 MISSION ROAD|SUITE 113|PRAIRIE VILLAGE KS 66206|USA|||  ||SANDI WEAVER|913-385-5523|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/01/2006|0|0|0|0|0|0
Denver Regional Office| 113945|801-61050|SEAL FINANCIAL SERVICES, INC.|SEAL FINANCIAL SERVICES, INC.|7600 E. EASTMAN AVE, SUITE 412||DENVER CO 80231|USA|||  ||GREGORY P. SEAL|303-671-9777|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|04/19/2002|0|0|0|0|0|0
Denver Regional Office| 114011|801-60868|COLORADO CAPITAL MANAGEMENT|COLORADO CAPITAL MANAGEMENT, INC.|4430 ARAPAHOE AVENUE, SUITE 120||BOULDER CO 80303-1100|USA|||  ||ANDREW GILSON|303.444.9300|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|02/01/2002|0|0|0|0|0|0
Denver Regional Office| 114035|801-62180|STRATEGIES LLC|STRATEGIES LLC|1855 BLAKE STREET|SUITE 100|DENVER CO 80202|USA|||  ||HALSETH, DAVID|303-926-9600|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|06/24/2003|0|0|0|0|0|0
Denver Regional Office| 114067|801-68955|RADEMACHER FINANCIAL, INC.|RADEMACHER FINANCIAL, INC.|515 ROCKLEDGE ROAD||LAWRENCE KS 66049|USA|||  ||PHILLIP A. RADEMACHER|785-865-5308|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|03/18/2008|0|0|0|0|0|0
Denver Regional Office| 114068|801-63971|FIRST FINANCIAL ADVISORS, INC.|FIRST FINANCIAL ADVISORS, INC.|2220 WEST 124TH STREET||LEAWOOD KS 66209-1306|USA|||  ||JAY VICTOR BODNEY|913-338-1030|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/11/2005|0|0|0|0|0|0
Denver Regional Office| 114077|801-60461|CROW FINANCIAL ADVISORS|TRIBUTARY ADVISORS, INC.|8210 LOUISIANA BLVD NE|SUITE B|ALBUQUERQUE NM 87113|USA|||  ||VICKI CROW|5052432281|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/06/2001|0|0|1|0|0|0
Denver Regional Office| 114165|801-60892|KRG CAPITAL PARTNERS, L.L.C.|KRG CAPITAL PARTNERS, LLC|1515 ARAPAHOE STREET, TOWER ONE|SUITE 1500|DENVER CO 80202|USA|||  ||THERESA SHELTON|(303) 390-5001|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/19/2002|0|0|0|0|0|0
Denver Regional Office| 114358|801-67559|WINVEST INVESTMENTS L.P.|WINVEST INVESTMENTS L.P.|20349 PAHGRE ROAD||MONTROSE CO 81401|USA|||  ||FREDERICK HOLLAND WINSTON|970-249-3602|Limited Liability Partnership|Portfolio management for individuals and/or small businesses|APPROVED|03/13/2007|0|0|0|0|0|0
Denver Regional Office| 114372|801-63612|DOUGLAS M. MIDDLETON & COMPANY|DOUGLAS M. MIDDLETON & COMPANY|2618 ASHGROVE STREET||COLORADO SPRINGS CO 80906-3709|USA|||  ||ANDREW B. MIDDLETON|719-579-0808|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|11/19/2004|0|0|0|0|0|0
Denver Regional Office| 114412|801-62611|MCDANIEL & MCDANIEL, INC.|MCDANIEL & MCDANIEL FINANCIAL SERVICES, INC.|2500 W 31ST ST.|SUITE B|LAWRENCE KS 66047-3051|USA|||  ||KAREY CHESTER|785 841-4664|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|01/02/2004|0|0|0|0|0|0
Denver Regional Office| 114507|801-66380|ROCKY MOUNTAIN PLANNING GROUP, INC|ROCKY MOUNTAIN PLANNING GROUP, INC|48 E. BEAVER CREEK SUITE 308||AVON CO 81620|USA|PO BOX 2882||AVON CO 81620|USA|BARBARA A. HOCH|970 949-9281|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers, Other|APPROVED|03/14/2006|0|0|0|0|0|0
Denver Regional Office| 114510|801-64495|CORNERSTONE ADVISORS|CORNERSTONE ADVISORS, LLC|6540 SW 10TH AVENUE||TOPEKA KS 66615|USA|||  ||M. DANYSE FORD|785-273-2685|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|09/08/2005|0|1|1|0|0|0
Denver Regional Office| 114556|801-63322|KC INVESTMENT ADVISORS, LLC|KC INVESTMENT ADVISORS, LLC|250 NORTH ROCK ROAD|SUITE 150|WICHITA KS 67206|USA|||  ||JEFFREY WALD|(970) 330-8860|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|07/02/2004|0|0|0|0|0|0
Denver Regional Office| 114596|801-58163|SLAYTON LEWIS INC|SLAYTON LEWIS INC|22 EAST 100 SOUTH|THIRD FLOOR|SALT LAKE CITY UT 84111|USA|||  ||WILLIAM CAMPBELL|801 521 2191|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|12/21/2000|0|0|0|0|0|0
Denver Regional Office| 114733|801-64600|CHERRY HILLS INVESTMENT ADVISORS, LLC|CHERRY HILLS INVESTMENT ADVISORS, LLC|5347 SOUTH VALENTIA WAY|SUITE 200|GREENWOOD VILLAGE CO 80111|USA|||  ||SUSAN E. JOHNSTON|303-703-4560|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|08/18/2005|0|0|0|0|0|0
Denver Regional Office| 114825|801-69390|ADELMANN FINANCIAL, INC.|ASSET MANAGEMENT AND TIMING SERVICE, INC.|5540 N. ACADEMY BLVD.|SUITE 250|COLORADO SPRINGS CO 80918|USA|||  ||RUSSELL BRAYTON ADELMANN|719-599-7374|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Market timing services|APPROVED|07/17/2008|0|0|0|0|0|0
Denver Regional Office| 114865|801-68064|PRUDENT WEALTH MANAGEMENT LLC|PRUDENT WEALTH MANAGEMENT LLC|1109 EL ALHAMBRA CIR NW||ALBUQUERQUE NM 87107|USA|||  ||DOUGLAS JAY MANZ|505-898-6923|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|06/20/2007|0|0|0|0|0|0
Denver Regional Office| 114956|801-63942|KEITH KELVIN ANDERSON|KEITH KELVIN ANDERSON|2227 CALLE CACIQUE||SANTA FE NM 87505|USA|||  ||KEITH K ANDERSON|505 984 2563|Sole Proprietorship|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/25/2005|0|0|0|0|0|0
Denver Regional Office| 115069|801-63952|LUDWICK & SHIRMAN|LUDWICK & SHIRMAN, LLC|3050 BROADWAY|SUITE 202|BOULDER CO 80304|USA|||  ||ROY LUDWICK|303-440-9377|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|02/17/2005|0|0|0|0|0|0
Denver Regional Office| 115093|801-60541|CAMBIAR INVESTORS, LLC|CAMBIAR INVESTORS, LLC|2401 E SECOND AVENUE|SUITE 400|DENVER CO 80206|USA|||  ||CHRISTINE M. SIMON|(303)302-9000|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|09/06/2001|0|0|0|0|0|0
Denver Regional Office| 115156|801-68780|HEARTLAND INVESTMENT ADVISORS, LLC|HEARTLAND INVESTMENT ADVISORS, LLC|7015 COLLEGE BLVD|SUITE 750|OVERLAND PARK KS 66211|USA|||  ||DOUGLAS A. HUNT|913-469-8227|Limited Liability Company|Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|02/07/2008|0|0|0|0|0|0
Denver Regional Office| 115207|801-60554|PEAK FINANCIAL ADVISORS|PEAK FINANCIAL ADVISORS, LLC|50 SOUTH STEELE STREET|SUITE 435|DENVER CO 80209|USA|||  ||LORRAINE HAVERLEY|(303) 316-2799|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|09/10/2001|0|0|0|0|0|0
Denver Regional Office| 115411|801-65896|BLACKTHORN INVESTMENT GROUP, LLC|BLACKTHORN INVESTMENT GROUP, LLC|10975 GRANDVIEW DRIVE|SUITE 150|OVERLAND PARK KS 66210|USA|||  ||MONTGOMERY MCCLAIN|913-451-7770|Limited Liability Company|Other|APPROVED|01/24/2006|0|0|0|0|0|0
Denver Regional Office| 115435|801-66390|LARMER & ELSTUN LLC|LARMER & ELSTUN LLC|13715 WEST 109TH STREET|SUITE 110|LENEXA KS 66215|USA|||  ||WILLIAM B LARMER|913-451-8351|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|03/16/2006|0|0|0|0|0|0
Denver Regional Office| 115684|801-67984|MINDFUL INVESTMENT MANAGEMENT COMPANY|MINDFUL INVESTMENT MANAGEMENT COMPANY|214 MCKENZIE STREET||SANTA FE NM 87501|USA|||  ||LILLIA ELIZABETH ROY|(505) 988-3889|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|06/13/2007|0|0|0|0|0|0
Denver Regional Office| 115755|801-60589|RYAN INVESTMENT MANAGEMENT, INC.|RYAN INVESTMENT MANAGEMENT, INC.|418 E. COOPER AVE.|SUITE 203|ASPEN CO 81611|USA|||  ||CHRISTOPHER S. RYAN|970 429-1100|Corporation|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|03/14/2003|0|0|0|0|0|0
Denver Regional Office| 115916|801-61283|DANDA TROUVE INVESTMENT MANAGEMENT, INC.|DANDA TROUVE INVESTMENT MANAGEMENT, INC.|6405 METCALF AVENUE|SUITE 309|OVERLAND PARK KS 66202|USA|||  ||MICHELLE TROUVE|913-262-1108|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/16/2002|0|2|0|0|0|0
Denver Regional Office| 115961|801-68316|INVESTMENT PROTECTION SERVICE|MUTUAL FUND PROTECTION SERVICE|215 S. WADSWORTH BLVD. SUITE 540||LAKEWOOD CO 80226|USA|||  ||JAYE WEILAND|303.697.3174|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Publication of periodicals or newsletters, Other|APPROVED|09/18/2007|0|0|0|0|0|0
Denver Regional Office| 115998|801-61095|ESSENTIAL ADVISERS, INC.|ESSENTIAL ADVISERS, INC.|1777 S. HARRISON STREET|SKYDECK|DENVER CO 80210|USA|||  ||JONATHAN F. ZESCHIN|303.333.8498|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters, Other|APPROVED|04/24/2002|0|0|0|0|0|0
Denver Regional Office| 116061|801-62136|ASPEN WEALTH MANAGEMENT, INC.|ASPEN WEALTH MANAGEMENT, INC.|7300 COLLEGE BLVD.|SUITE 306|OVERLAND PARK KS 66210|USA|||  ||STEPHEN SMALL|913.491.0500|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/10/2003|0|0|0|0|0|0
Denver Regional Office| 116085|801-63010|JACOBSEN CAPITAL MANAGEMENT|JACOBSEN CAPITAL MANAGEMENT, LLC|136 EAST SOUTH TEMPLE|SUITE 825|SALT LAKE CITY UT 84111|USA|||  ||ERIC M. JACOBSEN|801.746.7171|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|04/07/2004|0|0|0|0|0|0
Denver Regional Office| 116149|801-68988|ASPEN FINANCIAL MANAGEMENT, INC.|ASPEN FINANCIAL MANAGEMENT, INC.|3453 HWY 434|SUITE 202|ANGEL FIRE NM 87710|USA|PO BOX 412||ANGEL FIRE NM 87710|USA|ALAN KEPFER|575-377-5978|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|03/24/2008|0|0|0|0|0|0
Denver Regional Office| 116265|801-60778|MERIDIAN|MERIDIAN MANAGEMENT, INC.|14301 FNB PARKWAY|SUITE 209|OMAHA NE 68154|USA|||  ||PATRICK TUCKER|402-342-1400|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|12/17/2001|0|0|0|0|0|0
Denver Regional Office| 116303|801-69101|MAIN STREET ADVISORS, LLC|MAIN STREET ADVISORS, LLC|1407 MAIN STREET||HAYS KS 67601|USA|1407 MAIN STREET|P.O. BOX 835|HAYS KS 67601|USA|DARON E. JAMISON|785-625-5601|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|05/05/2008|0|1|0|0|0|0
Denver Regional Office| 116338|801-60753|AGILE GROUP, LLC|AGILE GROUP, LLC|4909 PEARL EAST CIRCLE|STE. 300|BOULDER CO 80301|USA|||  ||STEPHEN ERWIN|303-440-6500|Limited Liability Company|Selection of other advisers|APPROVED|12/05/2001|0|1|0|0|0|0
Denver Regional Office| 116447|801-63198|CHANNER DARMOUR YANARI, LLC|CHANNER DARMOUR YANARI, LLC|1728 SIXTEENTH STREET|SUITE 201|BOULDER CO 80302-6357|USA|||  ||DAVID DARMOUR|303-545-5400|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/03/2004|0|0|0|0|0|0
Denver Regional Office| 116452|801-64139|WMW MANAGEMENT, INC.|WMW MANAGEMENT, INC.|722 W SHEPARD LANE STE 103||FARMINGTON UT 84025|USA|||  ||NANCY NAPPI|801-451-9500|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/26/2005|0|3|1|0|0|0
Denver Regional Office| 116578|801-63221|MOUNT YALE ASSET MANAGEMENT, LLC|MOUNT YALE ASSET MANAGEMENT, LLC|1125 17TH STREET|SUITE 1400|DENVER CO 80202|USA|||  ||MICHAEL J SABRE|952-897-5395|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/18/2004|0|0|0|0|0|0
Denver Regional Office| 116966|801-64619|R.O.I.|RONALD OLSON, INC.|351 EAST 140 NORTH||LINDON UT 84042-2004|USA|||  ||BEN OLSON|1-801-785-3254|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/22/2005|0|0|0|0|0|0
Denver Regional Office| 117111|801-67487|OAKBRIDGE ASSET MANAGMENT, LLC|OAKBRIDGE ASSET MANAGMENT, LLC|897 WEST BAXTER DRIVE||SOUTH JORDAN UT 84095|USA|||  ||GAIL GLENN|801-327-7205|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|02/06/2007|0|0|0|0|0|0
Denver Regional Office| 117178|801-66270|LAWING FINANCIAL ASSOCIATES, INC.|LAWING FINANCIAL ASSOCIATES, INC.|11020 KING STREET|4TH FLOOR|OVERLAND PARK KS 66210|USA|||  ||HEATHER POVLICK|913-491-6226|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|03/09/2006|1|0|2|0|0|0
Denver Regional Office| 117273|801-62093|LUTZ FINANCIAL|LUTZ FINANCIAL SERVICES, LLC|11837 MIRACLE HILLS DRIVE|SUITE 110|OMAHA NE 68154-4418|USA|||  ||JAMES P. BOULAY|402-827-2300|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|06/04/2003|0|0|0|0|0|0
Denver Regional Office| 117522|801-69010|MONTVEST LLC|MONTVEST LLC|7519 KAY LANE||SOUTH WEBER UT 84405|USA|||  ||WILLIAM F. MUHS|801-479-9585|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|04/15/2008|0|0|0|0|0|0
Denver Regional Office| 117713|801-60876|IRON STREET RESEARCH, INC.|IRON STREET RESEARCH, INC.|111 SOUTH 5TH ST.||SALINA KS 67401|USA|P.O. BOX 332||SALINA KS 67401|UNITED STATES|MARY A. HEATH|785-823-3091|Corporation|Market timing services|APPROVED|02/07/2002|0|0|0|0|0|0
Denver Regional Office| 117750|801-68147|SQUIRE INVESTMENT MANAGEMENT COMPANY, LLC|SQUIRE INVESTMENT MANAGEMENT COMPANY, LLC|1329 SOUTH 800 EAST||OREM UT 84097|USA|||  ||TIMOTHY A. CHRISTENSEN|801.226.7722|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|08/07/2007|0|0|0|0|0|0
Denver Regional Office| 117897|801-65296|NOVEN FINANCIAL GROUP, INC.|NOVEN FINANCIAL GROUP, INC.|1777 S. HARRISON STREET|SUITE P309|DENVER CO 80210|USA|||  ||DANIEL NOVEN|303-782-9100|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Market timing services|APPROVED|01/13/2006|0|0|0|0|0|0
Denver Regional Office| 117965|801-66488|SPECTRUM WEALTH ADVISORS, INC.|SPECTRUM WEALTH ADVISORS, INC.|7285 W 132 ST.|SUITE 180|OVERLAND PARK KS 66213|USA|||  ||JANE VEGA|913-685-8581|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|04/07/2006|0|0|0|0|0|0
Denver Regional Office| 117977|801-65213|KARSTENS INVESTMENT COUNSEL, INC.|KARSTENS INVESTMENT COUNSEL, INC.|10250 REGENCY CIRCLE|SUITE 100|OMAHA NE 68114-4301|USA|||  ||MICHAEL D. KARSTENS|402-492-2727|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|01/10/2006|0|0|0|0|0|0
Denver Regional Office| 118013|801-68829|JEMICO, INCORPORATED|JEMICO, INCORPORATED|11650 S. STATE STREET|SUITE # 314|DRAPER UT 84020|USA|||  ||JEFF COLLINGS|801-553-0333|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/15/2008|0|0|0|0|0|0
Denver Regional Office| 118136|801-68250|CCR FINANCIAL PLANNING|MCKOY, ROBERT ALAN|1210 EAST 1550 NORTH||NORTH LOGAN UT 84341|USA|||  ||ROBERT A. MCKOY|435-753-3555|Sole Proprietorship|Financial planning services|APPROVED|08/17/2007|0|0|0|0|0|0
Denver Regional Office| 118192|801-61885|COMPREHENSIVE PERSONAL FINANCIAL ADVISORS|CPFA, LLC|5299 DTC BLVD|SUITE 320|GREENWOOD VILLAGE CO 80111-3323|USA|||  ||RICHARD J. ROGERS|303-770-0154|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|03/27/2003|0|0|0|0|0|0
Denver Regional Office| 118203|801-60813|TRAIL RIDGE CAPITAL LLC|TRAIL RIDGE CAPITAL LLC|4643 SOUTH ULSTER STREET|SUITE 1020|DENVER CO 80237|USA|||  ||BRIAN CUNNINGHAM|720-346-0086|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|01/23/2002|0|0|0|0|0|0
Denver Regional Office| 118234|801-67982|RAVEN'SWING ASSET MANAGEMENT, INC.|RAVEN'SWING ASSET MANAGEMENT, INC.|214 MCKENZIE STREET||SANTA FE NM 87501|USA|||  ||DAVID AARON CANTOR|(505) 988-4022|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/12/2007|0|0|0|0|0|0
Denver Regional Office| 118244|801-67862|BUTLER FINANCIAL SERVICES|BUTLER FINANCIAL SERVICES, INC.|1113 SPRUCE ST|SUITE 404 B|BOULDER CO 80302|USA|||  ||MARK BUTLER|303-444-3380|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|05/23/2007|0|0|0|0|0|0
Denver Regional Office| 118828|801-61755|FOY FINANCIAL SERVICES, INC.|FOY FINANCIAL SERVICES, INC.|12501 HOLDREGE STREET||LINCOLN NE 68527|USA|||  ||EDWARD FOY|(402) 483-2004|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|01/29/2003|0|0|0|0|0|0
Denver Regional Office| 118874|801-65772|QUIXOTE CAPITAL MANAGEMENT LLC|QUIXOTE CAPITAL MANAGEMENT LLC|8000 E. PRENTICE AVE.|SUITE C-5|GREENWOOD VILLAGE CO 80111|USA|||  ||VICTORIA SIMMONS|(303) 796-2970|Limited Liability Company|Portfolio management for individuals and/or small businesses, Other|APPROVED|12/09/2005|0|0|0|0|0|0
Denver Regional Office| 118915|801-61520|SIERRA FINANCIAL ADVISORS, LLC|SIERRA FINANCIAL ADVISORS, LLC|4800 COLLEGE BOULEVARD||OVERLAND PARK KS 66211|USA|||  ||MICHAEL EARL|913-327-1567|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|10/11/2002|0|1|0|0|0|0
Denver Regional Office| 119030|801-64346|CASCADE FINANCIAL MANAGEMENT, INC.|CASCADE FINANCIAL MANAGEMENT, INC.|1512 LARIMER STREET|SUITE 250|DENVER CO 80202|USA|||  ||KELLI DOUGLAS|303-292-1121|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/26/2005|0|2|0|0|0|0
Denver Regional Office| 119288|801-60942|BIGELOW & HART CAPITAL MANAGEMENT LLC|BIGELOW & HART CAPITAL MANAGEMENT LLC|700 17TH ST SUITE 2400||DENVER CO 80202|USA|||  ||MARK ADAMS|303-292-5900 X1873|Limited Liability Company|Other|APPROVED|02/26/2002|0|0|0|0|0|0
Denver Regional Office| 119310|801-62780|WATERS CAPITAL ADVISERS, LLC|WATERS CAPITAL ADVISERS, LLC|KEY BANK BUILDING|3300 E. FIRST AVENUE, SUITE 490|DENVER CO 80206|USA|||  ||JAMES WATERS|303-333-7779|Limited Liability Company|Other|APPROVED|02/05/2004|0|0|0|0|0|0
Denver Regional Office| 119661|801-61023|ASSET STRATEGIES, INC.|ASSET STRATEGIES, INC.|111 W. 2ND STREET|SUITE 608|CASPER WY 82601|USA|||  ||CONNIE A. BREZIK|307.266.4525|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|03/25/2002|0|0|0|0|0|0
Denver Regional Office| 120225|801-62170|THE MUTUAL FUND STORE|THE MUTUAL FUND STORE-ST. LOUIS, LLC|7301 COLLEGE BOULEVARD|SUITE 220|OVERLAND PARK KS 66210|USA|||  ||CHERYL DONOVAN|913-319-8100|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/20/2003|0|0|0|0|0|0
Denver Regional Office| 120253|801-64363|RIGGS CAPITAL MANAGEMENT, LLC|RIGGS CAPITAL MANAGEMENT, LLC|584 S. STATE STREET||OREM UT 84058|USA|||  ||JAY RIGGS|801-221-7923|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/24/2005|0|0|0|0|0|0
Denver Regional Office| 120270|801-61122|CURIAN CAPITAL, LLC|CURIAN CAPITAL, LLC|7601 TECHNOLOGY WAY||DENVER CO 80237|USA|||  ||ROBERT DRIESSEN|720-489-6537|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/21/2002|0|12|0|0|0|0
Denver Regional Office| 120586|801-61269|RETIREMENT PLUS, INC.|RETIREMENT PLUS, INC.|3400 COLLEGE BLVD|SUITE 200|LEAWOOD KS 66211|USA|||  ||RANDALL P. HALLIER|913-402-0313|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Publication of periodicals or newsletters, Other|APPROVED|06/24/2002|0|0|1|0|0|0
Denver Regional Office| 120783|801-66261|BRANZAN INVESTMENT ADVISORS, INC.|BRANZAN INVESTMENT ADVISORS, INC.|475 SEVENTEENTH STREET SUITE 570||DENVER CO 80202|USA|||  ||THOMAS E. ZANECCHIA|303-292-9224|Corporation|Portfolio management for individuals and/or small businesses, Other|APPROVED|04/21/2006|0|0|0|0|0|0
Denver Regional Office| 120894|801-62331|GENEOS WEALTH MANAGEMENT, INC.|GENEOS WEALTH MANAGEMENT, INC.|9055 E. MINERAL CIRCLE|SUITE 200|CENTENNIAL CO 80112|USA|||  ||DEAN RAGER|303-785-8470 X121|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|08/20/2003|0|2|0|0|0|0
Denver Regional Office| 121059|801-62974|GERONIMO FINANCIAL ASSET MANAGEMENT, LLC|GERONIMO FINANCIAL ASSET MANAGEMENT, LLC|1515 ARAPAHOE STREET, TOWER 1|SUITE 1000|DENVER CO 80202|USA|||  ||DAVID P. PROKUPEK|303-628-4701|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/14/2004|0|0|0|0|0|0
Denver Regional Office| 121742|801-61486|CA PARTNERS LLC|CA PARTNERS LLC|1071 WILLOUGHBY WAY||ASPEN CO 81611|USA|P.O. BOX 4389||ASPEN CO 81612||HARRISON H. AUGUR|970-925-2926|Limited Liability Company|Selection of other advisers, Other|APPROVED|10/04/2002|0|0|0|0|0|0
Denver Regional Office| 121964|801-66978|GOLDEN SUN CAPITAL MANAGEMENT, LLC|GOLDEN SUN CAPITAL MANAGEMENT, LLC|1919 14TH STREET|SUITE 450|BOULDER CO 80302|USA|||  ||SOLOMON HALPERN|303-449-6125|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/12/2006|0|0|0|0|0|0
Denver Regional Office| 122030|801-67302|FINANCIAL STRATEGIES GROUP, INC.|FINANCIAL STRATEGIES GROUP, INC.|1220 28TH AVENUE NORTH||FARGO ND 58102|USA|||  ||MARK V. YOUNG|701-234-0103|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|12/01/2006|0|0|0|0|0|0
Denver Regional Office| 122169|801-64794|SCOTT C. MARSH FINANCIAL|SCOTT CLYDE MARSH|1313 EAST 4170 SOUTH||SALT LAKE CITY UT 84124-1456|USA|||  ||SCOTT CLYDE MARSH|801-272-4677|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|11/14/2005|0|0|0|0|0|0
Denver Regional Office| 122312|801-63037|JAYHAWK CAPITAL MANAGEMENT, L.L.C.|JAYHAWK CAPITAL MANAGEMENT, L.L.C.|5410 WEST 61ST PLACE|SUITE 100|MISSION KS 66205|USA|||  ||MICHAEL D SCHMITZ|913-642-2611|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|04/16/2004|0|0|0|0|0|0
Denver Regional Office| 122575|801-67699|DUNN WARREN INVESTMENT ADVISORS, LLC|DUNN WARREN INVESTMENT ADVISORS, LLC|6143 SOUTH WILLOW DR.|STE. 102|GREENWOOD VILLAGE CO 80111|USA|||  ||JAMES CORNEHLSEN|800-793-4866|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|04/17/2007|0|0|0|0|0|0
Denver Regional Office| 122603|801-61602|WATCHMAKER ADVISORS, LLC|WATCHMAKER ADVISORS, LLC|7300 COLLEGE BOULEVARD|THIRD FLOOR|OVERLAND PARK KS 66210|USA|||  ||DARREN UNRUH|913-338-3333|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|11/15/2002|0|0|0|0|0|0
Denver Regional Office| 122659|801-61450|ALPHA ASSET ADVISORS|ALPHA ASSET ADVISORS LLC|2450 EAST 5TH AVENUE, UNIT G||DENVER CO 80206|USA|191 UNIVERSITY BOULEVARD #334||DENVER CO 80206|USA|SHELLY R. JORDAN|303-321-3837|Limited Liability Company|Pension consulting services, Other|APPROVED|09/09/2002|0|0|0|0|0|0
Denver Regional Office| 122665|801-66720|WESTWATER CAPITAL MANAGEMENT, LLC|WESTWATER CAPITAL MANAGEMENT, LLC|1416 LARIMER STREET, SUITE 201||DENVER CO 80202|USA|||  ||JONATHAN MURDOCK|303-893-3377|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|05/23/2006|0|0|0|0|0|0
Denver Regional Office| 122997|801-67980|LONGVIEW ASSET MANAGEMENT, LLC|LONGVIEW ASSET MANAGEMENT, LLC|214 MCKENZIE STREET||SANTA FE NM 87501|USA|||  ||DAVID CANTOR|505-988-9555|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|06/15/2007|0|0|0|0|0|0
Denver Regional Office| 123105|801-66429|JOHNSON WEALTH MANAGEMENT, LLC|JOHNSON WEALTH MANAGEMENT, LLC|322 DEMERS AVENUE|SUITE 200|GRAND FORKS ND 58201|USA|||  ||DERRICK P. JOHNSON|701-746-8310|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|09/26/2006|0|0|0|0|0|0
Denver Regional Office| 123381|801-61515|IVY INVESTMENT MANAGEMENT COMPANY|IVY INVESTMENT MANAGEMENT COMPANY|6300 LAMAR AVENUE||OVERLAND PARK KS 66202|USA|||  ||KRISTEN RICHARDS|913.236.1923|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|10/10/2002|0|6|2|0|0|0
Denver Regional Office| 123497|801-64348|TANNER CAPITAL MANAGEMENT, LLC|TANNER CAPITAL MANAGEMENT, LLC|3610 N. UNIVERSITY AVENUE|SUITE 350|PROVO UT 84604|USA|||  ||J. DAVID TANNER|801-377-1144|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|05/26/2005|0|0|0|0|0|0
Denver Regional Office| 123554|801-67920|TENET CAPITAL LLC|TENET CAPITAL LLC|2355 CANYON BLVD|SUITE 102|BOULDER CO 80302|USA|||  ||CALEB S. SEVIAN|(303) 444-2990|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|05/25/2007|0|0|0|0|0|0
Denver Regional Office| 123711|801-61622|TORTOISE CAPITAL ADVISORS, L.L.C.|TORTOISE CAPITAL ADVISORS, L.L.C.|11550 ASH STREET, SUITE 300||LEAWOOD KS 66211|USA|||  ||DIANE BONO|913-981-1020|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/22/2002|0|0|0|0|0|0
Denver Regional Office| 124042|801-62099|KAHLER FINANCIAL GROUP|BUSINESS SERVICES CORPORATION|1010 9TH STREET, SUITE 1||RAPID CITY SD 57701|USA|||  ||DARLA CREAL|605-343-1400|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters, Other|APPROVED|06/05/2003|0|0|0|0|0|0
Denver Regional Office| 124127|801-67362|MESA CAPITAL MANAGEMENT|MESA MANAGEMENT GROUP, INC.|109 EAST 17TH STREET|SUITE 15|CHEYENNE WY 82001|USA|||  ||SCOTT J. WILEY|307-432-4024|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|01/03/2007|0|0|0|0|0|0
Denver Regional Office| 124247|801-62051|ONE WORLD AMS, LLC|ONE WORLD ASSET MANAGEMENT SOLUTIONS, LLC|609 E. WASHINGTON|SUITE 100|RIVERTON WY 82501|USA|||  ||CARMEN MILBURY|307-856-2637|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|05/20/2003|0|0|0|0|0|0
Denver Regional Office| 124273|801-61650|ROCK CANYON ADVISORY GROUP, INC.|ROCK CANYON ADVISORY GROUP, INC.|2989 WEST MAPLE LOOP,SUITE 210||LEHI UT 84043|USA|||  ||JONATHAN FERRELL|801-753-0045|Corporation|Portfolio management for investment companies|APPROVED|12/10/2002|0|0|0|0|0|0
Denver Regional Office| 124276|801-69355|CORNERSTONE WEALTH ADVISORS, LLC|CORNERSTONE WEALTH ADVISORS, LLC|6420 WEST 95TH STREET|STE 202|OVERLAND PARK KS 66212|USA|||  ||DAVID L. IMHOFF|913-381-8350|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|06/26/2008|0|0|0|0|0|0
Denver Regional Office| 124760|801-61778|WEST RIM CAPITAL I, LLC|WEST RIM CAPITAL I, LLC|3098 W. EXECUTIVE PARKWAY|SUITE 200|LEHI UT 84043|USA|||  ||DONNA TILLERY|801-407-8407|Limited Liability Company|Other|APPROVED|02/07/2003|0|0|0|0|0|0
Denver Regional Office| 124767|801-61777|WEST RIM CAPITAL MANAGEMENT, L.P.|WEST RIM CAPITAL MANAGEMENT, L.P.|3098 W. EXECUTIVE PARKWAY|SUITE 200|LEHI UT 84043|USA|||  ||DONNA TILLERY|801-407-8407|Partnership|Other|APPROVED|02/07/2003|0|0|0|0|0|0
Denver Regional Office| 124768|801-61780|SORENSON PARTNERS, LLC|SORENSON PARTNERS, LLC|3098 W. EXECUTIVE PARKWAY|SUITE 200|LEHI UT 84043|USA|||  ||DONNA TILLERY|(801) 407-8407|Limited Liability Company|Other|APPROVED|02/03/2003|0|0|0|0|0|0
Denver Regional Office| 124859|801-61753|PALACE CAPITAL MANAGEMENT LLC|PALACE CAPITAL MANAGEMENT LLC|504 E. PALACE AVENUE||SANTA FE NM 87501|USA|P.O. BOX 2322||SANTA FE NM 87504|USA|BLAIR C. NAYLOR|505-984-9143|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/27/2003|0|0|0|0|0|0
Denver Regional Office| 125101|801-63274|JOHNSON FINANCIAL GROUP LLC|JOHNSON FINANCIAL GROUP LLC|13015 MOLLY DRIVE||CONIFER CO 80433-6100|USA|||  ||BRANDON JOHNSON|303-838-6696|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/06/2004|2|0|0|0|0|0
Denver Regional Office| 125139|801-61781|PROPRIETARY CAPITAL, LLC|PROPRIETARY CAPITAL, LLC|1225 SEVENTEENTH STREET, SUITE 2500||DENVER CO 80202|USA|||  ||BRYAN C. ROCHE|303-575-9084|Limited Liability Company|Other|APPROVED|02/10/2003|0|0|0|0|0|0
Denver Regional Office| 125181|801-62250|MCCARTHY CAPITAL CORPORATION|MCCARTHY CAPITAL CORPORATION|1601 DODGE ST|SUITE 3800|OMAHA NE 68102|USA|||  ||TERI MERCER|402-932-8600|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/15/2003|0|0|0|0|0|0
Denver Regional Office| 125266|801-67349|SANDERS BOOZE CAPITAL ADVISORS|SANDERS, BOOZE & COMPANY, INC.|10851 MASTIN, SUITE 270||OVERLAND PARK KS 66210|USA|||  ||JONATHAN L. BOOZE|913-663-2376|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|12/01/2006|0|0|0|0|0|0
Denver Regional Office| 125371|801-66505|THOMPSON CONSULTING, INC.|THOMPSON CONSULTING, INC.|6995 S UNION PARK CENTER|SUITE 320|COTTONWOOD HEIGHTS UT 84047-5503|USA|||  ||KYLE J. THOMPSON|801-255-4422|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/15/2006|0|0|0|0|0|0
Denver Regional Office| 125886|801-62589|RCG CAPITAL ADVISORS, LLC|RCG CAPITAL ADVISORS, LLC|1301 CANYON BLVD|SUITE 226|BOULDER CO 80302|USA|||  ||KENNETH S PHILLIPS|303-444-9944|Limited Liability Company|Other|APPROVED|01/16/2004|0|1|0|0|0|0
Denver Regional Office| 125910|801-62035|ALEXANDER CAPITAL MANAGEMENT GROUP, LLC|ALEXANDER CAPITAL MANAGEMENT GROUP, LLC|1099 18TH STREET|SUITE 2810|DENVER CO 80202-1942|USA|||  ||TOM VAN HORN|303-298-1858|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/01/2003|0|0|0|0|0|0
Denver Regional Office| 125986|801-65128|NIGHTWATCH CAPITAL ADVISORS, LLC|NIGHTWATCH CAPITAL ADVISORS, LLC|5314 RIVER RUN DRIVE|SUITE 350|PROVO UT 84604|USA|||  ||PAUL BURGON|801-805-1300|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/09/2006|0|0|0|0|0|0
Denver Regional Office| 126208|801-62034|VANTAGE INVESTMENT ADVISORS, LLC|VANTAGE INVESTMENT ADVISORS, LLC|8500 SHAWNEE MISSION PARKWAY|SUITE 220|MERRIAM KS 66202|USA|||  ||JOHN WOOLWAY|913-895-0435|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|05/01/2003|0|0|0|0|0|0
Denver Regional Office| 126496|801-63139|LAZARUS MANAGEMENT COMPANY LLC|LAZARUS MANAGEMENT COMPANY LLC|2401 EAST SECOND AVENUE,|SUITE 600|DENVER CO 80206|USA|||  ||JUSTIN BRADLEY BORUS|303-302-9035|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/14/2004|0|0|0|0|0|0
Denver Regional Office| 126616|801-61994|PHOENIX FINANCIAL CONSULTING|WINN, BRUCE DAVID|2241 FARNUM STE 204||CASPER WY 82609|USA|||  ||BRUCE DAVID WINN|307-234-4668|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|04/25/2003|0|0|0|0|0|0
Denver Regional Office| 126983|801-65548|NETWORTH ADVISORY GROUP, LLC|NETWORTH ADVISORY GROUP, LLC|6975 UNION PARK CENTER|SUITE 465|MIDVALE UT 84047|USA|||  ||RAYMOND E. LEVITRE|801-566-6639|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|03/06/2006|0|0|0|0|0|0
Denver Regional Office| 127019|801-67968|WIN ADVISOR GROUP, INC.|WIN ADVISOR GROUP, INC.|5613 DTC PARKWAY|SUITE 850|GREENWOOD VILLAGE CO 80111|USA|||  ||MARK E. AUTTERSON|303-221-3158|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|06/08/2007|0|0|0|0|0|0
Denver Regional Office| 127066|801-62222|PERSONAL BENEFIT SERVICES OF COLORADO, INC.|PERSONAL BENEFIT SERVICES OF COLORADO, INC.|5620 WARD ROAD|STE 100-A|ARVADA CO 80002|USA|||  ||SHARON EVANS|303-424-2100|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|07/29/2003|0|1|0|0|0|0
Denver Regional Office| 127207|801-67624|INSTITUTE FOR WEALTH|INSTITUTE FOR WEALTH MANAGEMENT LLC|1775 SHERMAN ST.|SUITE 2750|DENVER CO 80203|USA|||  ||ANTHONY BENEDETTI|303-572-3500|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/07/2007|0|0|0|0|0|0
Denver Regional Office| 127313|801-68527|SCHWAN FINANCIAL ADVISORS, LLC|SCHWAN FINANCIAL ADVISORS, LLC|320 - 6TH AVENUE SE||ABERDEEN SD 57401|USA|||  ||ANN M. BUFFIE|952-953-3592|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|11/20/2007|0|0|0|0|0|0
Denver Regional Office| 127396|801-62248|MOUNT YALE PORTFOLIO ADVISORS, LLC|MOUNT YALE PORTFOLIO ADVISORS, LLC|1125 17TH STREET SUITE 1400||DENVER CO 80202|USA|||  ||MICHAEL J. SABRE|952-897-5395|Limited Liability Company|Pension consulting services, Other|APPROVED|08/01/2003|0|0|0|0|0|0
Denver Regional Office| 127402|801-62196|THREE PEAKS CAPITAL MANAGEMENT, LLC|THREE PEAKS CAPITAL MANAGEMENT, LLC|3750 DACORO LANE|SUITE 100|CASTLE ROCK CO 80109|USA|||  ||SANDY RUFENACHT|(303) 221-9488|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/03/2003|0|0|0|0|0|0
Denver Regional Office| 127485|801-68069|REA CAPITAL MANAGEMENT, LLC|REA CAPITAL MANAGEMENT, LLC|4703-B BOARDWALK DRIVE,SUITE 1||FORT COLLINS CO 80525|USA|||  ||JEFFERY V. FANNING|970-223-0907|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/21/2007|0|0|0|0|0|0
Denver Regional Office| 127586|801-69057|MACRO FINANCIAL ADVISORS, INC|MACRO FINANCIAL ADVISORS, INC|8525 EXECUTIVE WOODS DRIVE||LINCOLN NE 68512|USA|||  ||MARK SPIERS|402-420-2233|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/21/2008|0|0|0|0|0|0
Denver Regional Office| 127616|801-66560|ELGETHUN CAPITAL MANAGEMENT|ELGETHUN CAPITAL MANAGEMENT|122 S. PHILLIPS AVE.|SUITE 201|SIOUX FALLS SD 57104|USA|||  ||TERRY ELGETHUN|605-367-3336|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|05/19/2006|0|0|0|0|0|0
Denver Regional Office| 127666|801-64035|PORTFOLIO SOLUTIONS, INC.|PORTFOLIO SOLUTIONS, INC.|2100 KOHLER DRIVE||BOULDER CO 80305|USA|2100 KOHLER DRIVE||BOULDER CO 80305||JOHN C. HERMAN|303-494-5639|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|04/07/2005|0|0|0|0|0|0
Denver Regional Office| 127844|801-62264|DAVIDSON FIXED INCOME MANAGEMENT, INC.|DAVIDSON FIXED INCOME MANAGEMENT, INC.|1600 BROADWAY, SUITE 1100||DENVER CO 80202|USA|||  ||CHRISTOPHER BLACKWOOD|303-764-5749|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters, Other|APPROVED|09/08/2003|0|0|0|0|0|0
Denver Regional Office| 127918|801-62292|THOMAS JACKSON FAMILY OFFICE, INC.|THOMAS JACKSON FAMILY OFFICE, INC.|210 REGENCY PARKWAY||OMAHA NE 68114|USA|||  ||THOMAS C. JACKSON|402-681-3060|Corporation|Selection of other advisers|APPROVED|08/25/2003|0|0|0|0|0|0
Denver Regional Office| 128013|801-62285|FIRST WESTERN INVESTMENT MANAGEMENT, INC.|FIRST WESTERN INVESTMENT MANAGEMENT, INC.|1200 SEVENTEENTH STREET|SUITE 2650|DENVER CO 80202|USA|||  ||WARREN J OLSEN|303-531-8102|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/21/2003|0|0|0|0|0|0
Denver Regional Office| 128040|801-62315|FOOTPRINTS ASSET MANAGEMENT & RESEARCH, INC.|FOOTPRINTS ASSET MANAGEMENT & RESEARCH, INC.|11422 MIRACLE HILLS DRIVE|SUITE 208|OMAHA NE 68154|USA|||  ||REBECCA HENDRICKSON|402-445-9333|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|09/24/2003|0|0|0|0|0|0
Denver Regional Office| 128090|801-62576|SECTORQUANT CAPITAL MANAGMENT, LLC|SECTORQUANT CAPITAL MANAGMENT, LLC|1660 LINCOLN STREET|SUITE 100|DENVER CO 80264|USA|||  ||RON MONTANO|303 820-3000|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/02/2004|0|0|0|0|0|0
Denver Regional Office| 128161|801-69118|BALANCED FINANCIAL PLANNING, INC.|BALANCED FINANCIAL PLANNING, INC.|6701 W. 64TH STREET|SUITE 100|OVERLAND PARK KS 66202-4091|USA|||  ||ROSEMARY O. DANIELSON|913-677-1090|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|04/23/2008|0|0|0|0|0|0
Denver Regional Office| 128285|801-62321|TRENDSTAR ADVISORS, LLC|TRENDSTAR ADVISORS, LLC|7300 C0LLEGE BLVD|SUITE 308|OVERLAND PARK KS 66210|USA|7300 COLLEGE BLVD|SUITE 308|OVERLAND PARK KS 66210|USA|KYLE R. BUBECK|913-661-2900|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/12/2003|0|0|0|0|0|0
Denver Regional Office| 128366|801-69240|ETF PORTFOLIO SOLUTIONS, INC.|ETF PORTFOLIO SOLUTIONS, INC.|6240 WEST 135TH STREET|SUITE 200|OVERLAND PARK KS 66223|USA|||  ||DEBBIE ROMEY|(913) 491-1143|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|06/13/2008|0|0|0|0|0|0
Denver Regional Office| 128442|801-64536|PALM ADVISORS, LLC|PALM ADVISORS, LLC|5941 SOUTH MIDDLEFIELD|SUITE 200|LITTLETON CO 80123|USA|||  ||CARL DE ROZARIO|3039623555|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/18/2005|0|0|0|0|0|0
Denver Regional Office| 128455|801-68206|NABITY-JENSEN INVESTMENT MANAGEMENT, INC.|NABITY-JENSEN INVESTMENT MANAGEMENT, INC.|9850 NICHOLAS STREET|SUITE 305|OMAHA NE 68114|USA|||  ||RANDALL L. JENSEN|402-391-0222|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/08/2007|0|0|0|0|0|0
Denver Regional Office| 128638|801-62488|MYFINANCIALADVICE, INC.|MYFINANCIALADVICE, INC.|3005 CENTER GREEN DRIVE|SUITE 115|BOULDER CO 80301|USA|||  ||KEVIN P. CONDON|(303) 395.3355|Corporation|Selection of other advisers, Other|APPROVED|11/05/2003|0|0|0|0|0|0
Denver Regional Office| 128667|801-62453|DIVIDEND CAPITAL INVESTMENTS LLC|DIVIDEND CAPITAL INVESTMENTS LLC|518 17TH STREET|17TH FLOOR|DENVER CO 80202|USA|||  ||RICK GROVE|303-226-9891|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/07/2003|0|0|0|0|0|0
Denver Regional Office| 128919|801-64870|1ST FINANCIAL SERVICES, LLC|1ST FINANCIAL SERVICES, LLC|400 S. COLORADO BLVD #820||DENVER CO 80246|USA|||  ||JEFF EISNAUGLE|303-333-3609|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/10/2006|0|0|0|0|0|0
Denver Regional Office| 128950|801-62591|CT PREFERRED INVESTORS MANAGEMENT, LLC|CT PREFERRED INVESTORS MANAGEMENT, LLC|802 WEST BROADWAY|P.O. BOX 4741|JACKSON WY 83001|USA|||  ||JOHN C TOZZI|307-733-8229|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/12/2004|0|0|0|0|0|0
Denver Regional Office| 129015|801-64153|CBF WEALTH MANAGEMENT|CHRISTENSEN ASSOCIATES, P.C.|125 SOUTH 4TH STREET||NORFOLK NE 68701|USA|P.O. BOX 762||NORFOLK NE 68702-0762|USA|STAN CHRISTENSEN|402-371-1160|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|04/21/2005|0|0|0|0|0|0
Denver Regional Office| 129208|801-62494|SMART401K, LLC|SMART401K, LLC|7501 COLLEGE BLVD STE 225||OVERLAND PARK KS 66210|USA|||  ||SCOTT REVARE|913 744 3371|Limited Liability Company|Portfolio management for individuals and/or small businesses, Other|APPROVED|11/14/2003|0|0|0|0|0|0
Denver Regional Office| 129246|801-64118|CORNERSTONE FINANCIAL GROUP,LLC|CORNERSTONE FINANCIAL GROUP,LLC|11225 DAVENPORT STREET,|SUITE 102|OMAHA NE 68154|USA|||  ||DALE ENGSKOV|402.758.0700|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|04/21/2005|0|0|0|0|0|0
Denver Regional Office| 129316|801-67846|MICHAEL J. BUTKUS & COMPANY|MICHAEL JOHN BUTKUS|6401 PACIFIC STREET||OMAHA NE 68106|USA|||  ||MICHAEL BUTKUS|402-558-7774|Sole Proprietorship|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|05/01/2007|0|0|0|0|0|0
Denver Regional Office| 129433|801-68136|HD FINANCIAL SERVICES, LLC|HD FINANCIAL SERVICES, LLC|12829 WEST DODGE ROAD|SUITE 100|OMAHA NE 68154|USA|||  ||RICHARD M. HOMAN|402-763-6401|Limited Liability Company|Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|07/13/2007|0|0|0|0|0|0
Denver Regional Office| 129625|801-62655|THE RETIREMENT PLANNING GROUP, INC.|THE RETIREMENT PLANNING GROUP, INC.|11512 W. 119TH||OVERLAND PARK KS 66213|USA|||  ||ROBERT R. O'BLENNIS|913-498-8898|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/16/2004|0|0|0|0|0|0
Denver Regional Office| 129764|801-62732|EVERGREEN CAPITAL MANAGEMENT, INC.|EVERGREEN CAPITAL MANAGEMENT, INC.|5505 SOUTH 900 EAST, SUITE 105|SPORTS MALL CORPORATE PLAZA I|SALT LAKE CITY UT 84117|USA|||  ||JOHN ROBERTSON|801-266-4204|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|02/03/2004|0|0|0|0|0|0
Denver Regional Office| 129971|801-62684|HINDS FINANCIAL GROUP INC|HINDS FINANCIAL GROUP INC|141 UNION BLVD., SUITE 350||LAKEWOOD CO 80228|USA|||  ||JONATHAN KELLEY|303-985-9889|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/16/2004|0|0|0|0|0|0
Denver Regional Office| 130097|801-63531|QUANTITATIVE EQUITY STRATEGIES, LLC|QUANTITATIVE EQUITY STRATEGIES, LLC|640 PLAZA DRIVE|SUITE #340|HIGHLANDS RANCH CO 80129-2399|USA|||  ||JOSEPH W. LEIGH|303.471.0277|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Market timing services, Other|APPROVED|09/27/2004|0|0|0|0|0|0
Denver Regional Office| 130344|801-64885|MADISON STREET PARTNERS, LLC|MADISON STREET PARTNERS, LLC|5613 DTC PARKWAY|SUITE 310|GREENWOOD VILLAGE CO 80111|USA|||  ||DREW M. HAYWORTH|303-815-1660|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/12/2005|0|0|0|0|0|0
Denver Regional Office| 130401|801-62811|CYPRESS CAPITAL MANAGEMENT, LLC|CYPRESS CAPITAL MANAGEMENT, LLC|50 EAST LOUCKS, SUITE 206||SHERIDAN WY 82801|USA|PO BOX J||SHERIDAN WY 82801|US|VICKI BENEDICT|307-674-1770|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/20/2004|0|0|0|0|0|0
Denver Regional Office| 130728|801-62877|CONNELLY CAPITAL MANAGEMENT, LLC|CONNELLY CAPITAL MANAGEMENT, LLC|320 SPRUCE DRIVE JHG&T||JACKSON WY 83001|USA|||  ||CLARKE ADAMS|307-739-2181|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/18/2004|0|0|0|0|0|0
Denver Regional Office| 130731|801-63085|RICHARD  DUDLEY KEY DBA RICHARD D. KEY|RICHARD DUDLEY KEY|141 EAST B ST||PINEDALE WY 82941-1634|USA|P.O. BOX 1634||PINEDALE WY 82941-1634|U.S.A.|RICHARD KEY|307-367-6661|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/07/2004|0|0|0|0|0|0
Denver Regional Office| 131000|801-67313|KNOX CAPITAL ADVISORS, LLC|KNOX CAPITAL ADVISORS, LLC|13961 S. MINUTEMAN DRIVE|SUITE 300|DRAPER UT 84020|USA|||  ||J. BRETT BELLISTON|801-984-8000|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|12/20/2006|0|0|0|0|0|0
Denver Regional Office| 131008|801-66573|DIVERSIFIED PORTFOLIO MANAGEMENT, LLC|DIVERSIFIED PORTFOLIO MANAGEMENT, LLC|2410 CENTRAL AVENUE||DODGE CITY KS 67801|USA|||  ||LARRY C. COOK|620-225-6100|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/17/2006|0|0|0|0|0|0
Denver Regional Office| 131405|801-63140|OLD MUTUAL CAPITAL|OLD MUTUAL CAPITAL, INC.|4643 SOUTH ULSTER STREET|SUITE 600|DENVER CO 80237-2853|USA|||  ||JAMES FRANK LUMMANICK|720-200-7790|Corporation|Portfolio management for investment companies, Selection of other advisers|APPROVED|05/14/2004|0|0|0|0|0|0
Denver Regional Office| 131435|801-63095|THE RIKOON GROUP, LLC|THE RIKOON GROUP, LLC|2218 OLD ARROYO CHAMISO||SANTA FE NM 87505|USA|||  ||ROBERT RIKOON|505-989-3581|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|05/12/2004|0|1|0|0|0|0
Denver Regional Office| 131463|801-63312|BLUE RIVER ASSET MANAGEMENT, LLC|BLUE RIVER ASSET MANAGEMENT, LLC|700 17TH STREET|SUITE 2400|DENVER CO 80202|USA|||  ||MARK ADAMS|(303) 292-5900 X1873|Limited Liability Company|Other|APPROVED|06/30/2004|1|0|0|0|0|0
Denver Regional Office| 131475|801-63311|BIGELOW ASSET MANAGEMENT INTERNATIONAL, LLC|BIGELOW ASSET MANAGEMENT INTERNATIONAL, LLC|700 17TH STREET|SUITE 2400|DENVER CO 80202|USA|||  ||MARK ADAMS|303-292-5900 X1873|Limited Liability Company|Other|APPROVED|06/30/2004|0|0|0|0|0|0
Denver Regional Office| 131670|801-66358|THE WILLIS GROUP|THE WILLIS GROUP, INC.|128 SOUTH TEJON STREET|SUITE 150|COLORADO SPRINGS CO 80903|USA|||  ||PAUL D. MYERS|719-884-7500|Corporation|Portfolio management for investment companies|APPROVED|03/09/2006|0|0|0|0|0|0
Denver Regional Office| 131843|801-68958|STRONGWATER SCHOTT, LTD.|STRONGWATER SCHOTT, LTD.|1743 WAZEE STREET|SUITE 375|DENVER CO 80202|USA|||  ||LEE M. STRONGWATER|303-225-5355|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|03/24/2008|0|0|0|0|0|0
Denver Regional Office| 132003|801-63307|LOGRUS MANAGEMENT, LLC|LOGRUS MANAGEMENT, LLC|1371 HECLA DRIVE|SUITE A|LOUISVILLE CO 80027|USA|||  ||JOHN N. MCCORVIE|303-926-0100|Limited Liability Company|Other|APPROVED|07/02/2004|0|0|0|0|0|0
Denver Regional Office| 132125|801-63422|MERIDIAN ASSET MANAGEMENT|MERIDIAN ASSET MANAGEMENT LLC|4525 S. WASATCH BLVD|SUITE 250|SALT LAKE CITY UT 84124|USA|||  ||BLAKE EMETT|801-269-6737|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/22/2004|0|1|0|0|0|0
Denver Regional Office| 132162|801-63410|MCCARTHY GROUP ADVISORS, L.L.C.|MCCARTHY GROUP ADVISORS, L.L.C.|1125 SOUTH 103RD STREET|SUITE 250|OMAHA NE 68124|USA|||  ||ANDREA MCMAHON|402-393-1300|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|07/01/2004|0|0|0|0|0|0
Denver Regional Office| 132293|801-63502|PRAESIDEO MANAGEMENT, LLC|PRAESIDEO MANAGEMENT, LLC|2425 LINCOLN AVENUE||OGDEN UT 84401|USA|||  ||MICHAEL LOUGHTON|801-866-0515|Limited Liability Company|Other|APPROVED|09/15/2004|0|0|0|0|0|0
Denver Regional Office| 132464|801-67544|RK CAPITAL MANAGEMENT, LLC|RK CAPITAL MANAGEMENT, LLC|3033 EAST FIRST AVE.|SUITE 307|DENVER CO 80206-5619|USA|||  ||BENJAMIN CHIN|303-394-0101|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/20/2007|0|0|0|0|0|0
Denver Regional Office| 132478|801-63484|GOLDEN BUSINESS CONSULTANTS, INC.|GOLDEN BUSINESS CONSULTANTS, INC.|1615 MEADOWLARK LANE||SHERIDAN WY 82801-4507|USA|||  ||TOM BUSH|307-752-4075|Corporation|Financial planning services|APPROVED|08/31/2004|0|0|0|0|0|0
Denver Regional Office| 132530|801-65141|SILVERGATE CAPITAL MANAGEMENT, LLC|SILVERGATE CAPITAL MANAGEMENT, LLC|1225 17TH STREET|SUITE 2520|DENVER CO 80202|USA|||  ||MARK ROBERTSON|303-468-8674|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/12/2006|0|0|0|0|0|0
Denver Regional Office| 132576|801-63506|DEMICELL WEALTH MANAGERS, INC.|DEMICELL WEALTH MANAGEMENT, INC.|200 WEST 1ST STREET|SUITE 101|PUEBLO CO 81003|USA|||  ||ALBERT D. DEMICELL|719-544-4300|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|09/09/2004|0|0|0|0|0|0
Denver Regional Office| 132833|801-63551|INDEPENDENCE CAPITAL ASSET PARTNERS, LLC|INDEPENDENCE CAPITAL ASSET PARTNERS, LLC|1400 16TH STREET, SUITE 520||DENVER CO 80202|USA|||  ||ANITA E. FALICIA|303-209-4114|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|09/29/2004|0|1|0|0|0|0
Denver Regional Office| 132840|801-63591|SANTA FE PARTNERS LLC|SANTA FE PARTNERS LLC|1512 PACHECO STREET SUITE D202||SANTA FE NM 87505|USA|||  ||JAMES LEATHERBERRY|505 989-8180|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|10/29/2004|0|0|0|0|0|0
Denver Regional Office| 132903|801-63572|UNIVERSAL ADVISORY SERVICES|UASNM, INC.|4906 ALAMEDA, NE||ALBUQUERQUE NM 87113|USA|||  ||KIRK R. HUDSON|505-856-5600|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|09/04/2004|0|0|0|0|0|0
Denver Regional Office| 133014|801-63567|LEGACY INVESTMENT PARTNERS, LLC|LEGACY INVESTMENT PARTNERS, LLC|11350 TOMAHAWK CREEK PARKWAY|SUITE 150|LEAWOOD KS 66211|USA|||  ||BRENDA E. BLACK|913-696-1550|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|10/08/2004|0|0|0|0|0|0
Denver Regional Office| 133233|801-66678|THE MUTUAL FUND STORE|TMFS-ALBUQUERQUE, LLC|6600 INDIAN SCHOOL ROAD NE|SUITE J|ALBUQUERQUE NM 87110|USA|||  ||MIKE HETTINGA|505-888-0303|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|05/23/2006|0|0|0|0|0|0
Denver Regional Office| 133312|801-67331|WEALTH DESIGN CONSULTING, LLC|WEALTH DESIGN CONSULTING, LLC|505 S. 3RD STREET, SUITE 200||LARAMIE WY 82070|USA|P.O. BOX 1345||LARAMIE WY 82073-1345|USA|DENNIS C. COOK|307-745-6257|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|12/06/2006|0|0|0|0|0|0
Denver Regional Office| 133413|801-63718|INTEGRITY INVESTMENT ADVISORS, LLC|INTEGRITY INVESTMENT ADVISORS, LLC|12721 METCALF AVE SUITE 202||OVERLAND PARK KS 66213|USA|||  ||ANTHONY R MOELLER|913-897-2074|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/03/2005|0|0|0|0|0|0
Denver Regional Office| 133535|801-67165|SIMONDAVIS ASSET MANAGEMENT, INC.|SIMONDAVIS ASSET MANAGEMENT, INC.|600 GRANT ST. #650||DENVER CO 80203|USA|||  ||DAVID A. SIMON|303-837-1119|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|09/20/2006|0|0|0|0|0|0
Denver Regional Office| 133944|801-63855|ARAPAHO ASSET MANAGEMENT LLC|ARAPAHO ASSET MANAGEMENT LLC|101 W MAIN ST  SUITE 206||FRISCO CO 80443|USA|PO BOX 5570||FRISCO CO 80443|USA|RACHEL NAMOFF|970-262-7799|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/25/2005|0|0|0|0|0|0
Denver Regional Office| 134205|801-64014|THERMOPOLIS PARTNERS, LLC|THERMOPOLIS PARTNERS, LLC|1315 SOUTH HWY 89|SUITE 203|JACKSON HOLE WY 83001|USA|P.O. BOX 10369||JACKSON HOLE WY 83002|USA|PHILIP W. TREICK|(307) 732-0514|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/03/2005|0|0|0|0|0|0
Denver Regional Office| 134340|801-67135|ALPS ADVISERS, INC.|ALPS ADVISERS, INC.|1290 BROADWAY, SUITE 1100||DENVER CO 80203|USA|PO BOX 328||DENVER CO 80201-0328|USA|BRADLEY J. SWENSON|303-623-2577|Corporation|Portfolio management for investment companies, Selection of other advisers|APPROVED|09/12/2006|0|1|0|0|0|0
Denver Regional Office| 134530|801-64179|STEFFES FINANCIAL, LTD|STEFFES FINANCIAL, LTD|8655 COLLEGE BLVD|SUITE 101|OVERLAND PARK KS 66210|USA|||  ||GERALD STEFFES|913-722-1111|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|04/15/2005|0|0|0|0|0|0
Denver Regional Office| 134738|801-68822|BMS FINANCIAL ADVISORS, LLC|BMS FINANCIAL ADVISORS, LLC|1508 MOUNTAIN VIEW ROAD|SUITE 101|RAPID CITY SD 57702|USA|||  ||HUGH THOMAS BOYLE|605-341-1555|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|03/12/2008|0|0|0|0|0|0
Denver Regional Office| 135061|801-64182|BRC INVESTMENT MANAGEMENT, LLC|BRC INVESTMENT MANAGEMENT, LLC|8400 EAST PRENTICE AVENUE|SUITE 1401|GREENWOOD VILLAGE CO 80111|USA|||  ||MARK JAEGER|303-414-1100|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/15/2005|0|0|0|0|0|0
Denver Regional Office| 135117|801-67832|RED ROCKS CAPITAL LLC|RED ROCKS CAPITAL LLC|603 PARK POINT DRIVE|SUITE 200|GOLDEN CO 80401|USA|||  ||MATTHEW LUOMA|303 679 8252|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/18/2007|0|0|0|0|0|0
Denver Regional Office| 135524|801-69075|TROMANS INVESTMENT ADVISORS, LLC|TROMANS INVESTMENT ADVISORS, LLC|7509 NALL AVENUE|SUITE 11|PRAIRIE VILLAGE KS 66208|USA|||  ||FREDERICK A. TROMANS|913-648-7378|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|04/23/2008|0|0|0|0|0|0
Denver Regional Office| 135574|801-64388|PROPOLIS CAPITAL MANAGEMENT|PROPOLIS CAPITAL MANAGEMENT, LLC|1205 HILLTOP PKWY.||STEAMBOAT SPRINGS CO 80487|USA|||  ||ANDREA CISNEROS|970-871-1015|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/14/2005|0|0|0|0|0|0
Denver Regional Office| 135786|801-65923|STRATEGIC LEGACY ADVISORS, INC.|STRATEGIC LEGACY ADVISORS, INC.|875 SOUTH 48TH STREET||LINCOLN NE 68510|USA|||  ||M.A. (MIKE) OWENS|(402) 434-2442|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|02/15/2006|0|0|0|0|0|0
Denver Regional Office| 135808|801-64378|WIND RIVER ADVISORS, L.L.C.|WIND RIVER ADVISORS, L.L.C.|1901  PROSPECTOR AVE., STE. 14||PARK CITY UT 84060|USA|P.O. BOX 982858||PARK CITY UT 84098|USA|RICHARD K BAIRD|435-649-0995|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies|APPROVED|06/23/2005|0|0|0|0|0|0
Denver Regional Office| 135879|801-64514|ALLEN CAPITAL GROUP, LLC|ALLEN CAPITAL GROUP, LLC|3032 WEST STOLLEY PARK ROAD|SUITE E|GRAND ISLAND NE 68801|USA|||  ||MARK J. ALLEN|308-385-1500|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/15/2005|0|0|0|0|0|0
Denver Regional Office| 135913|801-64463|NEW WEST MANAGEMENT, INC|NEW WEST MANAGEMENT, INC|1700 LINCOLN STREET|SUITE 2000|DENVER CO 80203|USA|||  ||DAVID HENRY|303-764-9677|Corporation|Other|APPROVED|07/14/2005|0|0|0|0|0|0
Denver Regional Office| 136370|801-64724|SENTINEL WEALTH ADVISORS, LLC|SENTINEL WEALTH ADVISORS, LLC|1901 WEST 47TH PLACE|SUITE 103|WESTWOOD KS 66205|USA|||  ||ANDREA C. WILSON|913-647-1340|Limited Liability Company|Financial planning services, Selection of other advisers, Other|APPROVED|09/26/2005|0|0|0|0|0|0
Denver Regional Office| 136383|801-64571|INVESTMENT PROGRAMS LLC|INVESTMENT PROGRAMS LLC|18420 WEST FOREST DRIVE||MONUMENT CO 80132|USA|PO BOX 1189||MONUMENT CO 80132|USA|RICHARD L. SABBY|719-481-4388|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/30/2005|0|0|0|0|0|0
Denver Regional Office| 136430|801-64530|INTEGRITY FINANCIAL CONSULTANTS, LLC|INTEGRITY FINANCIAL CONSULTANTS, LLC|1028 MARION PL.||SHERIDAN WY 82801|USA|1028 MARION PL.||SHERIDAN WY 82801|USA|LIBBY VAN SLYKE|307-751-6682|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|07/29/2005|0|0|0|0|0|0
Denver Regional Office| 136433|801-68319|BENEFICIAL INVESTMENT SERVICES, INC.|BENEFICIAL INVESTMENT SERVICES, INC.|150 SOCIAL HALL AVE.|SUITE 500|SALT LAKE CITY UT 84145|USA|||  ||J. DAVID PEARCE|801-933-1272|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|09/12/2007|0|1|0|0|0|0
Denver Regional Office| 136529|801-68421|BRUMLEY INTERNATIONAL GROUP|BRUMLEY INTERNATIONAL GROUP INCORPORATED|4155 E. JEWELL AVE. STE. 709||DENVER CO 80222|USA|||  ||RYUJI BRUMLEY|303-807-5749|Corporation|Financial planning services|APPROVED|10/02/2007|0|0|0|0|0|0
Denver Regional Office| 136568|801-64651|INVESTMENT SECURITY GROUP, INC.|INVESTMENT SECURITY GROUP, INC.|4900 S. MONACO ST. STE 300||DENVER CO 80237|USA|||  ||MICHAEL W. DIBALA|303-759-9808|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|09/16/2005|0|0|0|0|0|0
Denver Regional Office| 136725|801-64672|MGM LTD. COMPANY|MGM LTD. COMPANY|4600 JEFFERSON LANE NE|SUITE C|ALBUQUERQUE NM 87109|USA|||  ||JAMES F. MACGILLIVRAY|505-346-3434|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/30/2005|0|0|0|0|0|0
Denver Regional Office| 136773|801-64852|SCHUMANN CAPITAL INC.|SCHUMANN CAPITAL INC.|445 EAST 200 SOUTH|#100|SALT LAKE CITY UT 84111|USA|||  ||JON M SCHUMANN|801-534-1447|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/14/2005|0|0|0|0|0|0
Denver Regional Office| 136786|801-65112|SLN INVESTMENTS, LLC|SLN INVESTMENTS, LLC|141 S COLLEGE AVENUE|SUITE 104|FORT COLLINS CO 80524|USA|||  ||SPENCER NAUMAN|970-416-8652|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/13/2006|0|0|0|0|0|0
Denver Regional Office| 137068|801-65068|MOUNT YALE INVESTMENT ADVISORS, LLC|MOUNT YALE INVESTMENT ADVISORS, LLC|1125 SEVENTEENTH STREET|SUITE 1400|DENVER CO 80202|USA|||  ||MICHAEL J SABRE|952-897-5395|Limited Liability Company|Pension consulting services, Other|APPROVED|01/03/2006|0|0|0|0|0|0
Denver Regional Office| 137080|801-65977|WEALTH MANAGEMENT LLC|WEALTH MANAGEMENT LLC|125 SOUTH 4TH STREET||NORFOLK NE 68701|USA|PO BOX 762||NORFOLK NE 68702-0762|USA|STAN CHRISTENSEN|402-371-1160|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|02/17/2006|0|0|0|0|0|0
Denver Regional Office| 137187|801-67974|ASPEN YORKSHIRE|ASPEN YORKSHIRE & COMPANY, LLC|7478 EXETER PLACE||CASTLE ROCK CO 80108|USA|558 CASTLE PINES PKWY|UNIT B-4 #201|CASTLE ROCK CO 80108|USA|TRACI ANDERSON|303-358-8699|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|05/30/2007|0|0|0|0|0|0
Denver Regional Office| 137554|801-65459|WOODBOURNE MANAGEMENT INTERNATIONAL LP|WOODBOURNE MANAGEMENT INTERNATIONAL LP|1919 14TH STREET|SUITE 300|BOULDER CO 80302|USA|||  ||MICHAEL STEINBERG|303-939-8273|Other (specify)|Other|APPROVED|02/01/2006|0|0|0|0|0|0
Denver Regional Office| 137572|801-65460|WOODBOURNE INVESTMENT MANAGEMENT LLC|WOODBOURNE INVESTMENT MANAGEMENT LLC|1919 14TH STREET|SUITE 300|BOULDER CO 80302|USA|||  ||MIKE STEINBERG|(303) 939-8273|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/24/2006|0|0|0|0|0|0
Denver Regional Office| 137677|801-64862|BEAR CREEK ASSET MANAGEMENT, LLC|BEAR CREEK ASSET MANAGEMENT, LLC|1200 17TH STREET|SUITE 970|DENVER CO 80202|USA|||  ||JOSEPH RODDY|303-459-7330|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/29/2005|0|0|0|0|0|0
Denver Regional Office| 137685|801-65130|AMERICA FIRST FINANCIAL INSTITUTIONS MANAGEMENT LLC|AMERICA FIRST FINANCIAL INSTITUTIONS MANAGEMENT LLC|1004 FARNAM ST. SUITE 400||OMAHA NE 68102|USA|||  ||CARL DEICKE|402-930-3062|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/13/2006|0|0|0|0|0|0
Denver Regional Office| 137773|801-65485|CAMBRIDGE INVESTMENTS LIMITED|CAMBRIDGE INVESTMENTS LIMITED|802 WEST BROADWAY|P.O. BOX 4741|JACKSON WY 83001|USA|PO BOX 4741||JACKSON WY 83001|USA|JOHN R. TOZZI|307-733-8229|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/01/2006|0|0|0|0|0|0
Denver Regional Office| 137896|801-66032|MADISON CAPITAL ADVISORS, LLC|MADISON CAPITAL ADVISORS, LLC|6143 SOUTH WILLOW DRIVE, SUITE 200||GREENWOOD VILLAGE CO 80111|USA|||  ||MICHAEL R. NELSON|303-957-2165|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/27/2006|0|0|0|0|0|0
Denver Regional Office| 138004|801-65892|JRM INVESTMENT COUNSEL.|JRM INVESTMENT COUNSEL, L.L.C.|715 N 161 STREET||OMAHA NE 68118|USA|||  ||JACK MCDONNELL|402-871-6000|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/30/2006|0|0|0|0|0|0
Denver Regional Office| 138472|801-65035|COLORADO CAPITAL ADVISORS, LLC|COLORADO CAPITAL ADVISORS, LLC|1601 BLAKE STREET|SUITE 300|DENVER CO 80202|USA|||  ||CHRIS D. SHEEHAN|(303) 800-4702|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/03/2006|0|0|0|0|0|0
Denver Regional Office| 138520|801-65122|TETON WEALTH MANAGEMENT, INC.|TETON WEALTH MANAGEMENT, INC.|125 EAST PEARL AVENUE, SUITE 208||JACKSON WY 83001|USA|P.O. BOX 6464||JACKSON WY 83002|USA|RICHARD BLOOM|307-734-0501|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/12/2006|0|0|0|0|0|0
Denver Regional Office| 138660|801-65887|VALUED INVESTMENT PARTNERS, LLC|VALUED INVESTMENT PARTNERS, LLC|1777 S. HARRISON ST #1040||DENVER CO 80210|USA|||  ||MICHAEL J NORRIS|3037594414|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|02/01/2006|0|0|0|0|0|0
Denver Regional Office| 138810|801-65636|BLACK MESA CAPITAL LLC|BLACK MESA CAPITAL LLC|125 LINCOLN AVENUE|SUITE 200|SANTA FE NM 87501|USA|||  ||DAVID DEMERS|505-995-0220 X13|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/27/2006|0|0|0|0|0|0
Denver Regional Office| 138836|801-65162|FLEET CAPITAL MANAGEMENT, LLC|FLEET CAPITAL MANAGEMENT, LLC|101 W. MAIN STREET|300-B, BOX 4878|FRISCO CO 80443-4878|USA|||  ||BRUCE FLEET|970-668-0267|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/31/2006|0|1|0|0|0|0
Denver Regional Office| 139380|801-66186|PLATTE RIVER CAPITAL, LLC|PLATTE RIVER CAPITAL, LLC|200 FILLMORE ST, SUITE 200||DENVER CO 80206|USA|||  ||JOSH FREEDMAN|303-292-7381|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/15/2006|0|0|0|0|0|0
Denver Regional Office| 139507|801-66296|WASATCH NEW MEXICO MANAGEMENT PARTNERS, LLC|WASATCH NEW MEXICO MANAGEMENT PARTNERS, LLC|1 SOUTH MAIN STREET|8TH FLOOR|SALT LAKE CITY UT 84133|USA|||  ||TODD JENKINS STEVENS|801-524-8939|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/06/2006|0|0|0|0|0|0
Denver Regional Office| 139620|801-69008|CRESCAT PORTFOLIO MANAGEMENT LLC|CRESCAT PORTFOLIO MANAGEMENT LLC|1225 SEVENTEENTH STREET, SUITE 1690||DENVER CO 80202-5534|USA|||  ||CLAIBORNE B. BOOKER|303-271-9997|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|04/02/2008|0|0|0|0|0|0
Denver Regional Office| 139784|801-66537|BIGELOW MUNICIPAL BOND ADVISERS, LLC|BIGELOW MUNICIPAL BOND ADVISERS, LLC|700 17TH STREET|SUITE 2400|DENVER CO 80202|USA|||  ||MARK ADAMS|303-292-5900 X1873|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|05/12/2006|0|0|0|0|0|0
Denver Regional Office| 140093|801-66486|ORR, BRAD L.|ORR, BRAD LEE|2010 CLIFTON STREET||CASPER WY 82609|USA|||  ||BRAD L. ORR|307-262-4450|Sole Proprietorship|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/29/2006|0|0|0|0|0|0
Denver Regional Office| 140169|801-66542|CORNERSTONE CAPITAL ADVISORS, INC.|CORNERSTONE CAPITAL ADVISORS, INC.|2405 WADSWORTH BLVD.||LAKEWOOD CO 80214|USA|||  ||PETER E. GAIDE|303-232-8550|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|05/03/2006|0|0|0|0|0|0
Denver Regional Office| 140195|801-66632|MARINER WEALTH ADVISORS, LLC|MARINER WEALTH ADVISORS, LLC|4200 WEST 115TH ST.|SUITE 100|LEAWOOD KS 66211|USA|||  ||STEPHANIE MANNING|913-647-9700|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|04/24/2006|0|0|0|0|0|0
Denver Regional Office| 140199|801-66648|JENNINGS INVESTMENT ADVISORS, LLC|JENNINGS INVESTMENT ADVISORS, LLC|3395 NORTH PINES WAY|SUITE 103|WILSON WY 83014|USA|||  ||RICHARD D. JENNINGS|307-734-1661|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|05/04/2006|0|0|0|0|0|0
Denver Regional Office| 140226|801-66579|AG FINANCIAL, LLC|AG FINANCIAL, LLC|2825 EAST COTTONWOOD PARKWAY|SUITE 500|SALT LAKE CITY UT 84121|USA|||  ||AARON B. GRAHAM|801-990-3470|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|04/19/2006|0|0|0|0|0|0
Denver Regional Office| 140276|801-66633|COTTONWOOD ADVISORS, LLC|COTTONWOOD ADVISORS, LLC|6900 COLLEGE BOULEVARD, SUITE 300||OVERLAND PARK KS 66211|USA|||  ||JOHN R. DYKES|913-345-0500|Limited Liability Company|Pension consulting services, Selection of other advisers, Other|APPROVED|07/17/2006|2|0|0|0|0|0
Denver Regional Office| 140378|801-66690|ACEX CAPITAL MANAGEMENT, LLC|ACEX CAPITAL MANAGEMENT, LLC|609 SOUTH 6TH STREET||WORLAND WY 82401|USA|||  ||TOM PEDERSON|307-347-8246|Limited Liability Company|Other|APPROVED|05/03/2006|0|0|0|0|0|0
Denver Regional Office| 140612|801-68025|WEALTH NAVIGATION, LLC|WEALTH NAVIGATION, LLC|500 N. MARKETPLACE DRIVE|SUITE 101|CENTERVILLE UT 84014|USA|||  ||OWEN J. FISHER|801-335-8200|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|06/20/2007|0|0|0|0|0|0
Denver Regional Office| 140725|801-67488|JOLLIFFE CAPITAL, INC.|JOLLIFFE CAPITAL, INC.|1802 FIRST AVENUE||SCOTTSBLUFF NE 69361|USA|||  ||PATRICK S. JOLLIFFE|308/632-3030|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/12/2007|0|0|0|0|0|0
Denver Regional Office| 140760|801-67181|THE MUTUAL FUND RESEARCH CENTER|THE MUTUAL FUND RESEARCH CENTER, LLC|7301 COLLEGE BOULEVARD|SUITE 220|OVERLAND PARK KS 66210|USA|||  ||CHERYL DONOVAN|913-319-8100|Limited Liability Company|Publication of periodicals or newsletters, Other|APPROVED|09/22/2006|0|0|0|0|0|0
Denver Regional Office| 140946|801-68552|TRINITY CAPITAL MANAGEMENT, LLC|TRINITY CAPITAL MANAGEMENT, LLC|7700 SHAWNEE MISSION PARKWAY|SUITE 315|OVERLAND PARK KS 66202|USA|||  ||ADRIANNE L. VALKAR|(913)944-4320|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/26/2007|0|0|0|0|0|0
Denver Regional Office| 141199|801-67021|JAYHAWK PRIVATE EQUITY GP, L.P.|JAYHAWK PRIVATE EQUITY GP, L.P.|5410 WEST 61ST PLACE|SUITE 100|MISSION KS 66205|USA|||  ||MICHAEL D. SCHMITZ|913-642-2611|Partnership|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|07/14/2006|0|0|0|0|0|0
Denver Regional Office| 141329|801-67177|LEGACY ADVISORY GROUP|LEGACY ADVISORY GROUP LLC|9401 INDIAN CREEK PARKWAY|SUITE 450|OVERLAND PARK KS 66210|USA|||  ||JACK KYNION|913-338-5000|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|09/22/2006|0|0|0|0|0|0
Denver Regional Office| 141364|801-67057|THE MUTUAL FUND STORE|THE MUTUAL FUND STORE-SYRACUSE, LLC|7301 COLLEGE BOULEVARD|SUITE 220|OVERLAND PARK KS 66210|USA|||  ||CHERYL DONOVAN|913-319-8100|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|08/03/2006|0|0|0|0|0|0
Denver Regional Office| 141382|801-67130|RIDGELINE WEALTH MANAGEMENT, LLC|RIDGELINE WEALTH MANAGEMENT, LLC|2366 VIA COLIBRIS||SANTA FE NM 87501-8790|USA|||  ||MELVIN SKOLNIK|505-984-3144|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/14/2006|0|0|0|0|0|0
Denver Regional Office| 141427|801-67083|FIRST WESTERN INVESTMENT ADVISORS, LLC|FIRST WESTERN INVESTMENT ADVISORS, LLC|1155 CANYON BLVD|SUITE 300|BOULDER CO 80302|USA|1155 CANYON BLVD|SUITE 300|BOULDER CO 80302|USA|KAREN L. GARCIA|303-531-8121|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/15/2006|0|0|0|0|0|0
Denver Regional Office| 141485|801-67136|FORTIUS WEALTH MANAGEMENT LLC|FORTIUS WEALTH MANAGEMENT LLC|14587 S 790 W|SUITE A102|BLUFFDALE UT 84065|USA|14587 S 790 W|SUITE A102|BLUFFDALE UT 84065|USA|R. DARREN SIMONS|801 495-0966|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|09/21/2006|0|0|0|0|0|0
Denver Regional Office| 141488|801-69009|PEAK CAPITAL MANAGEMENT, LLC|PEAK CAPITAL MANAGEMENT, LLC|1465 KELLY JOHNSON BLVD|SUITE 350|COLORADO SPRINGS CO 80920|USA|||  ||SCOTT ARRASMITH|719-528-8115|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/09/2008|0|0|0|0|0|0
Denver Regional Office| 141545|801-67979|FORTRESS CAPITAL MANAGEMENT, INC.|FORTRESS CAPITAL MANAGEMENT, INC.|2320 SKI TRAIL LANE|SUITE 106|STEAMBOAT SPRINGS CO 80477|USA|PO BOX 774741||STEAMBOAT SPRINGS CO 80477|USA|KEN WALSH|970-879-5423|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/19/2007|0|0|0|0|0|0
Denver Regional Office| 141605|801-67113|DEKONING AND COMPANY, LLC|DEKONING AND COMPANY, LLC|140 EAST 19TH AVENUE|SUITE 400|DENVER CO 80203|USA|||  ||KENDRIK DEKONING|303-573-1212|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/25/2006|0|0|0|0|0|0
Denver Regional Office| 141642|801-67164|RED CEDAR CAPITAL, LLC|RED CEDAR CAPITAL, LLC|ONE PACIFIC PLACE|1125 SOUTH 103RD STREET|OMAHA NE 68124|USA|||  ||ADAM YALE|402-991-1100|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/19/2006|0|0|0|0|0|0
Denver Regional Office| 141673|801-68714|HOLMAN INVESTMENTS AND PLANNING, LLC|HOLMAN INVESTMENTS AND PLANNING, LLC|2795 EAST COTTONWOOD PARKWAY|SUITE 600|SALT LAKE CITY UT 84121|USA|||  ||GERALD HOLMAN|801-365-0101|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|01/09/2008|0|0|0|0|0|0
Denver Regional Office| 141773|801-67176|HELM INVESTMENT MANAGEMENT, LLC|HELM INVESTMENT MANAGEMENT, LLC|1600 BROADWAY|SUITE 930|DENVER CO 80202-4911|USA|||  ||THOMAS JAY BARRETT, JR.|303-861-4835|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|10/06/2006|0|0|0|0|0|0
Denver Regional Office| 141810|801-67292|THE MUTUAL FUND STORE|THE MUTUAL FUND STORE-DETROIT, LLC|7301 COLLEGE BOULEVARD|SUITE 220|OVERLAND PARK KS 66210|USA|||  ||CHERYL DONOVAN|913-319-8100|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|12/15/2006|0|0|0|0|0|0
Denver Regional Office| 142128|801-67256|TURNER FINANCIAL SERVICES, INC.|TURNER FINANCIAL SERVICES, INC.|1222 DOWNEY STREET||LARAMIE WY 82072|USA|||  ||ALLEN CLIFFORD TURNER|307.742.9453|Corporation|Selection of other advisers, Other|APPROVED|11/02/2006|0|0|0|0|0|0
Denver Regional Office| 142205|801-68446|ASSOCIATION FINANCIAL SERVICES INC.|ASSOCIATION FINANCIAL SERVICES INC.|1935 VINE STREET, SUITE 120||SALT LAKE CITY UT 84121|USA|||  ||MICHAEL BABCOCK|801-274-1820|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|10/15/2007|0|0|0|0|0|0
Denver Regional Office| 142418|801-67316|METAMORPHOSIS MONEY MANAGEMENT LLC|METAMORPHOSIS MONEY MANAGEMENT LLC|1200 17TH STREET SUITE 880||DENVER CO 80202|USA|||  ||ALLEN DIONNE|303-567-6490|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/13/2006|0|0|0|0|0|0
Denver Regional Office| 142623|801-67378|STEELE FINANCIAL SERVICES, LLC|STEELE FINANCIAL SERVICES, LLC|1285 SHERIDAN AVE.|SUITE 250|CODY WY 82414|USA|||  ||ALTON ANDREW STEELE|850-439-9610|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/03/2007|0|0|0|0|0|0
Denver Regional Office| 142645|801-67402|CAPITAL WEALTHCARE ADVISORS, L.C.|CAPITAL WEALTHCARE ADVISORS, L.C.|10333 E.21ST STREET N.|SUITE 301|WICHITA KS 67206|USA|||  ||KEDRE D MELLOR|316-440-4772|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/03/2007|0|0|0|0|0|0
Denver Regional Office| 142736|801-67451|RKC CAPITAL LLC|RKC CAPITAL LLC|405 SOUTH MAIN STREET|SUITE 900|SALT LAKE CITY UT 84111|USA|||  ||RUSTY CANNON|801-708-6811|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/18/2007|0|0|0|0|0|0
Denver Regional Office| 142904|801-67454|EXCELLERE CAPITAL MANAGEMENT LLC|EXCELLERE CAPITAL MANAGEMENT LLC|100 FILLMORE PLACE|SUITE 300|DENVER CO 80206|USA|||  ||DAVID KESSENICH|(303) 765-2405|Limited Liability Company|Other|APPROVED|01/18/2007|0|0|0|0|0|0
Denver Regional Office| 143119|801-67847|THE MUTUAL FUND STORE|THE MUTUAL FUND STORE-DENVER, LLC|7301 COLLEGE BOULEVARD|SUITE 220|OVERLAND PARK KS 66210|USA|||  ||CHERYL DONOVAN|913-319-8100|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/03/2007|0|0|0|0|0|0
Denver Regional Office| 143132|801-67540|THE MUTUAL FUND STORE|THE MUTUAL FUND STORE-OMAHA, LLC|7301 COLLEGE BOULEVARD|SUITE 220|OVERLAND PARK KS 66210|USA|||  ||CHERYL DONOVAN|913-319-8100|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/02/2007|0|0|0|0|0|0
Denver Regional Office| 143152|801-67596|THE MUTUAL FUND STORE|THE MUTUAL FUND STORE- INDIANAPOLIS, LLC|7301 COLLEGE BOULEVARD|SUITE 220|OVERLAND PARK KS 66210|USA|||  ||CHERYL DONOVAN|913-319-8100|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|03/23/2007|0|0|0|0|0|0
Denver Regional Office| 143178|801-67831|LOVETT INVESTMENT CONSULTING LLC|LOVETT INVESTMENT CONSULTING LLC|1385 BLUE SPRUCE COURT||STEAMBOAT SPRINGS CO 80487|USA|||  ||DANIEL CLAY LOVETT|202-595-1232|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/27/2007|0|0|0|0|0|0
Denver Regional Office| 143282|801-67708|HARBOR CAPITAL PARTNERS, LLC|HARBOR CAPITAL PARTNERS, LLC|7659 SOUTH MAIN STREET|700 WEST|MIDVALE UT 84047|USA|||  ||J. MARTIN TATE|801-790-4234|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|04/19/2007|0|0|0|0|0|0
Denver Regional Office| 143525|801-67756|KAIZEN WEALTH ADVISORS, LLC|KAIZEN WEALTH ADVISORS, LLC|17117 OAK DRIVE, SUITE C||OMAHA NE 68130|USA|||  ||KEN KOUBSKY|402-330-3366|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED-120|05/02/2007|0|0|0|0|0|0
Denver Regional Office| 143587|801-67938|ZWMC IV, L.L.C.|ZWMC IV, L.L.C.|ONE SOUTH MAIN STREET|SUITE 800|SALT LAKE CITY UT 84133|USA|||  ||ROBERT WOOD|801-209-8769|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/29/2007|0|0|0|0|0|0
Denver Regional Office| 143667|801-67791|ENVISION INVESTMENT ADVISORS, LLC|ENVISION INVESTMENT ADVISORS, LLC|1065 NORTH 115TH STREET|SUITE 150|OMAHA NE 68154|USA|||  ||DEANNA ROSIERE|402-445-6100|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|04/18/2007|0|1|0|0|0|0
Denver Regional Office| 143677|801-67819|NEW LINE CAPITAL, LLC|NEW LINE CAPITAL, LLC|64 C.R. 67-F||SANTA FE NM 87505-8183|USA|POST OFFICE BOX 2778||SANTA FE NM 87504-2778|USA|DAVID NAGLER|505-989-7211|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/08/2007|0|1|0|0|0|0
Denver Regional Office| 143702|801-67889|CAMBRIDGE INVESTMENT PARTNERS LLC|CAMBRIDGE INVESTMENT PARTNERS LLC|802 WEST BROADWAY||JACKSON WY 83001|USA|PO BOX 4741||JACKSON WY 83001|USA|JOHN C TOZZI|307-733-8229|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|05/03/2007|0|0|0|0|0|0
Denver Regional Office| 143720|801-68152|WAKEFIELD ASSET MANAGEMENT, LLLP|WAKEFIELD ASSET MANAGEMENT, LLLP|6161 SOUTH SYRACUSE WAY, SUITE #340||GREENWOOD VILLAGE CO 80111|USA|||  ||GEOFFREY TODD GERVASINI|3037710630|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/23/2007|0|0|0|0|0|0
Denver Regional Office| 143730|801-67852|EQUINOX FUND MANAGEMENT, LLC|EQUINOX FUND MANAGEMENT, LLC|1660 LINCOLN STREET|SUITE 100|DENVER CO 80264|USA|||  ||KAREN STEIGHNER|202 795-0400|Limited Liability Company|Portfolio management for investment companies, Other|APPROVED-120|05/17/2007|0|0|0|0|0|0
Denver Regional Office| 143742|801-67927|FIRST SANTA FE WEALTH ADVISORS, LLC|FIRST SANTA FE WEALTH ADVISORS, LLC|62 LINCOLN AVENUE||SANTA FE NM 87501|USA|P.O. BOX 609||SANTA FE NM 87504-0609|USA|LESLIE C. QUICK III|973 525 1000|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|06/04/2007|0|1|0|0|0|0
Denver Regional Office| 143874|801-67884|THE MUTUAL FUND STORE|THE MUTUAL FUND STORE-MELBOURNE, LLC|7301 COLLEGE BOULEVARD|SUITE 220|OVERLAND PARK KS 66210|USA|||  ||CHERYL LYNNE DONOVAN|913-319-8100|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/25/2007|0|0|0|0|0|0
Denver Regional Office| 143886|801-67900|THE MUTUAL FUND STORE|THE MUTUAL FUND STORE - WEST PALM BEACH, LLC|7301 COLLEGE BOULEVARD|SUITE 220|OVERLAND PARK KS 66210|USA|||  ||CHERYL LYNNE DONOVAN|913-319-8100|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/29/2007|0|0|0|0|0|0
Denver Regional Office| 143962|801-68274|BOB BRAKEMAN ENTERPRISES LLC|BOB BRAKEMAN ENTERPRISES LLC|101 EAST MAIN STREET|#885|SARATOGA WY 82331|USA|1740H DELL RANGE BLVD||CHEYENNE WY 82009|UNITED STATES|PAM BARNES|419-636-4425|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|09/06/2007|0|0|0|0|0|0
Denver Regional Office| 143976|801-67888|OMNIWEALTH|OMNIWEALTH, LTD.|1404 LARIMER ST.|SUITE 300|DENVER CO 80202|USA|||  ||DON E. SCOTT|303-242-8713|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|06/13/2007|0|0|0|0|0|0
Denver Regional Office| 143980|801-68001|WOODBOURNE CAPITAL MANAGEMENT INTERNATIONAL LP|WOODBOURNE CAPITAL MANAGEMENT INTERNATIONAL LP|1919 14TH STREET|SUITE 300|BOULDER CO 80302|USA|||  ||MICHAEL STEINBERG|303-939-8273|Partnership|Other|APPROVED|06/25/2007|0|0|0|0|0|0
Denver Regional Office| 144073|801-68038|DW HEALTHCARE MANAGEMENT II, LLC.|DW HEALTHCARE MANAGEMENT II, LLC.|6440 SOUTH WASATCH BOULEVARD|SUITE 105|SALT LAKE CITY UT 84121-3559|USA|||  ||LANCE RUUD|801-365-4004|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/19/2007|0|0|0|0|0|0
Denver Regional Office| 144152|801-68180|WEALTH LEGACY INSTITUTE, INC.|WEALTH LEGACY INSTITUTE, INC.|950 SOUTH CHERRY STREET|SUITE 505|DENVER CO 80246|USA|||  ||KIMBERLY L. CURTIS|303-753-7578|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|08/02/2007|0|0|0|0|0|0
Denver Regional Office| 144168|801-68491|PWJ PARTNERS, LLC|PWJ PARTNERS, LLC|1331 17TH STREET|SUITE 400|DENVER CO 80202|USA|||  ||TIM JORDAN|303-893-8871|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/15/2007|0|0|0|0|0|0
Denver Regional Office| 144247|801-68674|CANNON CAPITAL MANAGEMENT, INC.|CANNON CAPITAL MANAGEMENT, INC.|6768 SOUTH 1300 EAST||SALT LAKE CITY UT 84121-2719|USA|||  ||CLINTON C CANNON|(801) 566-3190|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|12/19/2007|0|0|0|0|0|0
Denver Regional Office| 144367|801-68046|EQUUS PRIVATE WEALTH MANAGEMENT LLC|EQUUS PRIVATE WEALTH MANAGEMENT LLC|225 MAIN STREET|SUITE 306|CARBONDALE CO 81623|USA|||  ||RONALD V. SPEAKER|970 963 9254|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/06/2007|0|1|0|0|0|0
Denver Regional Office| 144413|801-68087|GREEN ALPHA ADVISORS, LLC|GREEN ALPHA ADVISORS, LLC|2155 KALMIA CIRCLE||BOULDER CO 80304|USA|2155 KALMIA CIRCLE||BOULDER CO 80304|USA|MARIA N. POTAPOV|(303) 998-7856|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/06/2007|0|0|0|0|0|0
Denver Regional Office| 144479|801-68110|THE MUTUAL FUND STORE|THE MUTUAL FUND STORE-PORTLAND, LLC|7301 COLLEGE BOULEVARD|SUITE 220|OVERLAND PARK KS 66210|USA|||  ||CHERYL DONOVAN|913-319-8100|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/23/2007|0|0|0|0|0|0
Denver Regional Office| 144493|801-68325|THE MUTUAL FUND STORE|THE MUTUAL FUND STORE-SEATTLE, LLC|7301 COLLEGE BOULEVARD|SUITE 220|OVERLAND PARK KS 66210|USA|||  ||CHERYL DONOVAN|913-319-8100|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|09/13/2007|0|0|0|0|0|0
Denver Regional Office| 144748|801-68214|BOYER & CORPORON WEALTH MANAGEMENT, LLC|BOYER & CORPORON WEALTH MANAGEMENT, LLC|14221 METCALF AVE|SUITE 201|OVERLAND PARK KS 66223|USA|||  ||MINDY CORPORON|913-685-2300|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/02/2007|0|0|0|0|0|0
Denver Regional Office| 144753|801-68360|THE MUTUAL FUND STORE|THE MUTUAL FUND STORE-LOS ANGELES, LLC|7301 COLLEGE BOULEVARD|SUITE 220|OVERLAND PARK KS 66210|USA|||  ||CHERYL DONOVAN|913-319-8100|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|11/20/2007|0|0|0|0|0|0
Denver Regional Office| 144791|801-68636|TOWER WEALTH MANAGERS, INC.|TOWER WEALTH MANAGERS, INC.|9400 MISSION ROAD||PRAIRIE VILLAGE KS 66206|USA|||  ||DWAYNE WHITE|816-751-4275|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/07/2008|0|0|0|0|0|0
Denver Regional Office| 144849|801-68297|FRONT RANGE CAPITAL MANAGEMENT, LLC|FRONT RANGE CAPITAL MANAGEMENT, LLC|10200B E. GIRARD AVENUE|SUITE 330|DENVER CO 80231-5509|USA|||  ||HOWARD KLEMMER|720 747 7100|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|09/11/2007|0|0|1|0|0|0
Denver Regional Office| 144972|801-68320|CHOICE FINANCIAL STRATEGIES, LLC|CHOICE FINANCIAL STRATEGIES, LLC|45 E. LOUCKS, SUITE 300F||SHERIDAN WY 82801|USA|||  ||JENNIFER FORSMAN|307-751-5481|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|09/14/2007|0|0|0|0|0|0
Denver Regional Office| 145011|801-68537|BLUE RIVER ADVISORS, LLC|BLUE RIVER ADVISORS, LLC|700 17TH STREET|SUITE 2400|DENVER CO 80202|USA|||  ||MARK ADAMS|3032261578|Limited Liability Company|Other|APPROVED|12/07/2007|0|0|0|0|0|0
Denver Regional Office| 145083|801-68452|WEST RIM CAPITAL ADVISORS, L.P.|WEST RIM CAPITAL ADVISORS, L.P.|3098 W. EXECUTIVE PARKWAY|SUITE 200|LEHI UT 84043|USA|||  ||DONNA TILLERY|801-407-8407|Partnership|Other|APPROVED|10/18/2007|0|0|0|0|0|0
Denver Regional Office| 145085|801-68453|WEST RIM CAPITAL ASSOCIATES II, L.P.|WEST RIM CAPITAL ASSOCIATES II, L.P.|3098 W. EXECUTIVE PARKWAY|SUITE 200|LEHI UT 84043|USA|||  ||DONNA TILLERY|801-407-8407|Partnership|Other|APPROVED|10/18/2007|0|0|0|0|0|0
Denver Regional Office| 145147|801-68429|LEGACY INVESTMENT MANAGEMENT, LLC|LEGACY INVESTMENT MANAGEMENT, LLC|11350 TOMAHAWK CREEK PARKWAY|SUITE 150|LEAWOOD KS 66211|USA|||  ||BRENDA E. BLACK|913-696-1550|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|10/22/2007|0|0|0|0|0|0
Denver Regional Office| 145190|801-68397|VIGILANT INVESTMENT ADVISORS, LLC|VIGILANT INVESTMENT ADVISORS, LLC|2150 S. 1300 E., SUITE 500||SALT LAKE CITY UT 84106|USA|||  ||MATTHEW TULLIS|801-550-0582|Limited Liability Company|Other|APPROVED-120|10/12/2007|0|1|1|0|0|0
Denver Regional Office| 145229|801-68495|SURGE CAPITAL|SURGE CAPITAL MANAGEMENT, LLC|999 18TH STREET, SUITE 1430||DENVER CO 80202-2442|USA|||  ||M. SEAN ROWLAND|303-539-7209|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/30/2007|0|0|0|0|0|0
Denver Regional Office| 145325|801-68582|BLACK CREEK FOF ADVISOR LLC|BLACK CREEK FOF ADVISOR LLC|518 17TH STREET, 17TH FLOOR||DENVER CO 80202|USA|||  ||RICK GROVE|303-869-4600|Limited Liability Company|Portfolio management for investment companies, Other|APPROVED|11/19/2007|0|0|0|0|0|0
Denver Regional Office| 145529|801-68505|CAMPBELL WEALTH MANAGEMENT, INC.|CAMPBELL WEALTH MANAGEMENT, INC.|14301 FNB PARKWAY|SUITE 305|OMAHA NE 68154|USA|||  ||BRITT CAMPBELL|402-934-3404|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|10/25/2007|0|0|0|0|0|0
Denver Regional Office| 145593|801-68547|LJCOOPER CAPITAL MANAGEMENT, LLC|LJCOOPER CAPITAL MANAGEMENT, LLC|499 SOUTH OREM BOULEVARD||OREM UT 84058|USA|||  ||KENNETH BOWN|801-221-2939|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/17/2007|0|0|0|0|0|0
Denver Regional Office| 145666|801-68942|DEAN CAPITAL MANAGEMENT|DEAN CAPITAL MANAGEMENT, LLC|7450 WEST 130TH STREET|SUITE 150|OVERLAND PARK KS 66213|USA|||  ||KEVIN ERIC LAUB|913-944-4444|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/11/2008|0|0|0|0|0|0
Denver Regional Office| 145683|801-68585|DIVIDEND CAPITAL GREFOF GP, LLC|DIVIDEND CAPITAL GREFOF GP, LLC|518 17TH STREET, 17TH FLOOR||DENVER CO 80202|USA|||  ||RICK GROVE|303-228-2200|Limited Liability Company|Selection of other advisers, Other|APPROVED|11/19/2007|0|0|0|0|0|0
Denver Regional Office| 145687|801-68615|PORTFOLIO, LLC|PORTFOLIO, LLC|2500 LOUISIANA BLVD. NE|SUITE 508|ALBUQUERQUE NM 87110|USA|||  ||LEE MUNSON|505-884-3445|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/02/2008|0|0|0|0|0|0
Denver Regional Office| 145799|801-68604|FORTUNE FINANCIAL ADVISORS, LLC|FORTUNE FINANCIAL ADVISORS, LLC|14435 METCALF AVE.|SUITE 201|OVERLAND PARK KS 66223|USA|||  ||ROXANNA NOLAND|913-393-0038|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|12/13/2007|0|0|0|0|0|0
Denver Regional Office| 145851|801-68693|DISCRETIONARY MANAGEMENT SERVICES, LLC|DISCRETIONARY MANAGEMENT SERVICES, LLC|6320 LAMAR AVE||OVERLAND PARK KS 66202-4247|USA|||  ||STEPHEN D. FARRELL|913-981-1363|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|01/29/2008|0|2|0|0|0|0
Denver Regional Office| 145865|801-68756|FREMONT FINANCIAL ADVISORS INC.|FREMONT FINANCIAL ADVISORS INC.|2220 RIVERVIEW ROAD||RIVERTON WY 82501|USA|||  ||KATHLEEN ANN PARKER|307-856-1234|Other (specify)|Selection of other advisers|APPROVED|01/25/2008|0|0|0|0|0|0
Denver Regional Office| 145940|801-69143|THE ENDOWMENT OFFICE, INC.|THE ENDOWMENT OFFICE, INC.|6551 S. REVERE PKWY.|SUITE 137|CENTENNIAL CO 80111|USA|||  ||ROBERT MICHAEL BUNN|303-250-3587|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters, Other|APPROVED-120|05/16/2008|0|0|0|0|0|0
Denver Regional Office| 145951|801-68670|CROSSROADS ASSET MANAGEMENT LLC|CROSSROADS ASSET MANAGEMENT LLC|9230 LEE BLVD||LEAWOOD KS 66206|USA|||  ||JANE L. STAFFORD|816-931-1800|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/20/2007|0|0|0|0|0|0
Denver Regional Office| 146021|801-69193|MCALVANY WEALTH MANAGEMENT, LLLP|MCALVANY WEALTH MANAGEMENT, LLLP|166 TURNER DRIVE||DURANGO CO 81303|USA|||  ||DAVID SCOTT MCALVANY|1-866-211-8970|Other (specify)|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED-120|05/22/2008|0|0|0|0|0|0
Denver Regional Office| 146126|801-68805|WOMACK WEALTH MANAGEMENT, INC.|WOMACK WEALTH MANAGEMENT, INC.|1654 RANCHO GUADALUPE TRAIL NW||ALBUQUERQUE NM 87107|USA|||  ||SCOTT HANSON WOMACK|505-328-4619|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED-120|02/08/2008|0|0|0|0|0|0
Denver Regional Office| 146129|801-68786|PALADINE CAPITAL, LLC|PALADINE CAPITAL, LLC|136 E. S. TEMPLE #2420||SALT LAKE CITY UT 84111|USA|||  ||DAVID PATTEN SOPER|8019611393|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED-120|02/29/2008|0|0|0|0|0|0
Denver Regional Office| 146147|801-68796|COBB WEALTH MANAGEMENT|JEFFREY JAMES COBB|8655 COLLEGE BLVD.|SUITE 135|OVERLAND PARK KS 66210|USA|||  ||JEFFREY JAMES COBB|913-906-7777|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/29/2008|0|0|0|0|0|0
Denver Regional Office| 146212|801-68806|QUISH & CO.|QUISH & CO. LLC|430 ALPINE AVE||BOULDER CO 80304|USA|||  ||MARIAH QUISH|303-589-8475|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/07/2008|0|0|0|0|0|0
Denver Regional Office| 146224|801-69258|ATHENAINVEST ADVISORS LLC|ATHENAINVEST ADVISORS LLC|5299 DTC BLVD., SUITE 1200||GREENWOOD VILLAGE CO 80111|USA|P.O. BOX 61229||DENVER CO 80206|USA|C. THOMAS HOWARD|(877) 430-5675 X100|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/16/2008|0|1|0|0|0|0
Denver Regional Office| 146238|801-68808|JAYHAWK PRIVATE EQUITY GP II, L.P.|JAYHAWK PRIVATE EQUITY GP II, L.P.|5410 WEST 61ST PLACE|SUITE 100|MISSION KS 66205|USA|||  ||MICHAEL D. SCHMITZ|913-642-2611|Partnership|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|03/21/2008|0|0|0|0|0|0
Denver Regional Office| 146349|801-68917|PETERSON WEALTH ADVISORS, LLC|PETERSON WEALTH ADVISORS, LLC|360 WEST 920 NORTH||OREM UT 84057|USA|||  ||SCOTT PETERSON|801-225-0000|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/13/2008|0|0|0|0|0|0
Denver Regional Office| 146586|801-69247|VALUED WEALTH ADVISORS, LLC|VALUED WEALTH ADVISORS, LLC|1245 E BRICKYARD RD.|STE. 160|SALT LAKE CITY UT 84106|USA|||  ||ROBERT LEO VONDERHAAR|801-484-6004|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|06/20/2008|0|0|0|0|0|0
Denver Regional Office| 146636|801-68974|FAIRWAY ASSET MANAGEMENT, LLC|FAIRWAY ASSET MANAGEMENT, LLC|1005 S. 107TH AVE., SUITE 101||OMAHA NE 68114|USA|||  ||BRUCE GULLIVER|(503) 228-8560|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|04/09/2008|0|0|0|0|0|0
Denver Regional Office| 146678|801-69046|HEGARTY MARKET LOGIC, LLC|HEGARTY MARKET LOGIC, LLC|200 NORTH CHURCH AVE|SUITE A|AZTEC NM 87410|USA|||  ||BRYAN V. HEGARTY|505/334-7173|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED-120|05/28/2008|0|0|0|0|0|0
Denver Regional Office| 146764|801-69152|VALPAR, INC.|VALPAR, INC.|1028 G ST.|#103|LINCOLN NE 68508|USA|||  ||DON BRUBAKER|402-440-3910|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED-120|05/12/2008|0|0|0|0|0|0
Denver Regional Office| 146796|801-69091|AGH WEALTH ADVISORS, LLC|AGH WEALTH ADVISORS, LLC|301 N. MAIN STREET|SUITE 1700|WICHITA KS 67202|USA|||  ||BRADLEY J. BECHTEL|316-267-3220|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Other|APPROVED-120|04/18/2008|0|0|0|0|0|0
Denver Regional Office| 146923|801-69107|GUARDIAN WEALTH MANAGEMENT, LLC|GUARDIAN WEALTH MANAGEMENT, LLC|2150 SOUTH 1300 EAST  STE. 500||SALT LAKE CITY UT 84106|USA|1439 FLINT COURT||KAYSVILLE UT 84037|USA|EARL TODD BERG|8016600828|Limited Liability Company|Portfolio management for individuals and/or small businesses, Selection of other advisers, Publication of periodicals or newsletters|APPROVED-120|04/25/2008|0|0|0|0|0|0
Denver Regional Office| 147047|801-69095|PEAKVIEW ASSET MANAGEMENT, LLC|PEAKVIEW ASSET MANAGEMENT, LLC|13950 E. MAPLEWOOD PLACE||CENTENNIAL CO 80111|USA|||  ||BRYAN F. BULLOCK|303-625-4051|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|04/30/2008|0|0|0|0|0|0
Denver Regional Office| 147277|801-69196|GLOBAL REAL ESTATE FUND MANAGEMENT, LLC|GLOBAL REAL ESTATE FUND MANAGEMENT, LLC|8400 EAST CRESCENT PARKWAY|SUITE 600|GREENWOOD VILLAGE CO 80111|USA|||  ||RANDY LEWIS|303 220-3866|Limited Liability Company|Portfolio management for investment companies|APPROVED|06/09/2008|0|0|0|0|0|0
Denver Regional Office| 147506|801-69339|JACKSON INVESTMENT MANAGEMENT, LLC|JACKSON INVESTMENT MANAGEMENT, LLC|7601 TECHNOLOGY WAY||DENVER CO 80237|USA|||  ||ROBERT DRIESSEN|720-489-6537|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/09/2008|0|0|0|0|0|0
Denver Regional Office| 147522|801-69380|EPIC CAPITAL LLC|EPIC CAPITAL LLC|1775 SHERMAN STREET|SUITE 1355|DENVER CO 80203|USA|||  ||TIMOTHY J. ULFIG|303-813-5689|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED-120|07/29/2008|0|0|0|0|0|0
Denver Regional Office| 147757|801-69466|ASPEN LEAF PARTNERS|ASPEN LEAF PARTNERS|155 EAST BOARDWALK DRIVE|SUITE 400|FORT COLLINS CO 80525-3040|USA|||  ||THEODORE V. NIEMANN|970-232-3326|Limited Liability Company|Pension consulting services|APPROVED-120|07/25/2008|0|0|0|0|0|0
Denver Regional Office| 147809|801-69422|BOULDER WEALTH MANAGEMENT, LLC|BOULDER WEALTH MANAGEMENT, LLC|7400 WEST 135TH STREET|SUITE 200|OVERLAND PARK KS 66223|USA|||  ||PAUL WIEDERHOLT|913-944-4600|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|07/21/2008|0|0|0|0|0|0
Fort Worth Regional Office|    759|801-8002|SECURITIES MANAGEMENT AND RESEARCH, INC. ("SM&R")|SECURITIES MANAGEMENT AND RESEARCH, INC.|2450 SOUTH SHORE BLVD|SUITE 400|LEAGUE CITY TX 77573|USA|P. O. BOX 58969||HOUSTON TX 77258-8969|USA|LORD, MICHELE SWIGGETT|281-334-2469, EXT. 229|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/26/1971|0|1|0|0|0|0
Fort Worth Regional Office|   3496|801-15510|STEPHENS INC.|STEPHENS INC.|111 CENTER ST||LITTLE ROCK AR 72201|USA|||  ||PATRICIA P. VANCE|501-377-2222|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|09/19/1980|0|16|2|0|0|0
Fort Worth Regional Office|   3641|801-56942|FIRST COMMAND FINANCIAL PLANNING, INC.|FIRST COMMAND FINANCIAL PLANNING, INC.|1 FIRSTCOMM PLAZA||FT WORTH TX 76109-4978|USA|PO BOX 2387||FORT WORTH TX 76113-2387|USA|ARAUJO, ADAN D.|817-569-2225|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/28/2005|0|2|0|0|0|0
Fort Worth Regional Office|   5475|801-34462|USAA INVESTMENT MANAGEMENT COMPANY|USAA INVESTMENT MANAGEMENT COMPANY|9800 FREDERICKSBURG ROAD||SAN ANTONIO TX 78288-0227|USA|||  ||DECECCO, FRANCES C.|210-498-1817|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/11/1989|0|2|1|0|0|0
Fort Worth Regional Office|   6220|801-55529|SOUTHWEST SECURITIES, INC.|SOUTHWEST SECURITIES, INC.|1201 ELM STREET, SUITE 3500||DALLAS TX 75270|USA|||  ||KRISTEN WOOTEN|214-859-1759|Corporation|Portfolio management for individuals and/or small businesses, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|06/10/1998|0|56|0|0|0|0
Fort Worth Regional Office|   6439|801-61424|FINANCIAL COUNSELING CORPORATION|FINANCIAL COUNSELING CORPORATION|14785 PRESTON ROAD, STE. 1000||DALLAS TX 75254|USA|||  ||STAN HALL|972-884-6123|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|08/28/2002|0|0|0|0|0|0
Fort Worth Regional Office|   7369|801-66108|INVESCO AIM DISTRIBUTORS, INC.|INVESCO AIM DISTRIBUTORS, INC.|11 GREENWAY PLAZA|SUITE 100|HOUSTON TX 77046-1173|USA|||  ||REBECCA STARLING-KLATT|713-214-4516|Corporation|Other|APPROVED|02/13/2006|6|10|3|0|0|0
Fort Worth Regional Office|  10740|801-65845|PROSPERA FINANCIAL SERVICES, INC.|PROSPERA FINANCIAL SERVICES, INC.|5429 LBJ FREEWAY|SUITE 400|DALLAS TX 75240|USA|||  ||ABEL GARCIA|972-581-3000|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/01/2006|0|12|1|0|0|1
Fort Worth Regional Office|  15916|801-63630|SIGNAL SECURITIES, INC.|SIGNAL SECURITIES, INC.|700 THROCKMORTON||FORT WORTH TX 76102|USA|||  ||IVAN JERRY SINGLETON|817-877-4256|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|11/04/2004|0|3|0|0|0|0
Fort Worth Regional Office|  17028|801-61133|FETTERMAN INVESTMENTS, INC|FETTERMAN INVESTMENTS, INC.|12720 HILLCREST RD|STE 900|DALLAS TX 75230|USA|||  ||TERRY L. HILL|(214) 520-1115|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/07/2002|0|0|0|0|0|0
Fort Worth Regional Office|  17530|801-53600|BOSC INC.|BOSC INC.|ONE WILLIAMS CENTER|PLAZA SOUTHEAST|TULSA OK 74197|USA|||  ||TOM C. VINCENT, II|918-588-6013|Corporation|Selection of other advisers, Other|APPROVED|01/28/1997|0|4|0|0|0|0
Fort Worth Regional Office|  17587|801-60812|SWS FINANCIAL SERVICES|SWS FINANCIAL SERVICES|1201 ELM STREET|SUITE 3500|DALLAS TX 75270|USA|||  ||KRISTEN WOOTEN|214-859-1759|Corporation|Portfolio management for individuals and/or small businesses, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|01/18/2002|0|51|0|0|0|0
Fort Worth Regional Office|  17962|801-35456|HOLBEIN ASSOCIATES, INC.|HOLBEIN ASSOCIATES, INC.|15770 DALLAS PARKWAY, STE 901||DALLAS TX 75248-6617|USA|||  ||HOLBEIN, RICHARD EDWARD|972-934-9333|Corporation|Pension consulting services, Selection of other advisers|APPROVED|12/07/1989|0|1|0|0|0|0
Fort Worth Regional Office|  18389|801-63277|MADDEN ASSET MANAGEMENT|MADDEN SECURITIES CORPORATION|1901 N. AKARD STREET||DALLAS TX 75201-2305|USA|||  ||WILLIAM B. MADDEN|214-855-5335|Corporation|Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|06/24/2004|0|0|0|0|0|0
Fort Worth Regional Office|  18484|801-34304|BELMONT ASSET MANAGEMENT|BELMONT ASSET MANAGEMENT, INC.|2911 TURTLE CREEK BLVD., STE 500||DALLAS TX 75219-6245|USA|||  ||J. RUSSELL MCWILLIAMS|214-559-9752|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/12/1989|0|0|0|0|0|0
Fort Worth Regional Office|  19299|801-61971|ESTRADA HINOJOSA & COMPANY, INC.|ESTRADA HINOJOSA & COMPANY, INC.|1717 MAIN ST.,|SUITE 4700|DALLAS TX 75201-7361|USA|||  ||ROBERT A. ESTRADA|214-658-1670|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|04/15/2003|0|0|0|0|0|0
Fort Worth Regional Office|  20291|801-36967|INSTITUTIONAL SECURITIES CORPORATION|INSTITUTIONAL SECURITIES CORPORATION|3100 MONTICELLO|SUITE 800|DALLAS TX 75205|USA|||  ||TERRY HILL|(214) 520-1115|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|08/23/1990|0|0|0|0|0|0
Fort Worth Regional Office|  20580|801-66300|SMH CAPITAL INC.|SMH CAPITAL INC.|600 TRAVIS|SUITE 5800|HOUSTON TX 77002-3003|USA|5800 J. P. MORGAN CHASE TOWER||HOUSTON TX 77002-3003|USA|JOHN UNGER|800-538-0020|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/30/2006|0|12|0|0|0|0
Fort Worth Regional Office|  23974|801-58019|SIMMONS & COMPANY INTERNATIONAL|SIMMONS & COMPANY INTERNATIONAL|700 LOUISIANA|SUITE 5000|HOUSTON TX 77002|USA|||  ||PATRICIA HARRISON|713-236-9999|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/10/2000|0|1|0|0|0|0
Fort Worth Regional Office|  24549|801-66208|FIRST DALLAS SECURITIES, INC.|FIRST DALLAS SECURITIES, INC.|2905 MAPLE AVE.||DALLAS TX 75201|USA|||  ||CAMILLE HODGES HAYS|214-954-1177|Corporation|Portfolio management for individuals and/or small businesses, Other|APPROVED|01/30/2006|0|0|0|0|0|0
Fort Worth Regional Office|  30184|801-67704|INVESTMENT PROFESSIONALS, INC.|INVESTMENT PROFESSIONALS, INC.|16414 SAN PEDRO AVENUE|SUITE 150|SAN ANTONIO TX 78232|USA|||  ||ALANA SANDERSON|210-308-8800|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/03/2007|0|1|0|0|0|0
Fort Worth Regional Office|  36956|801-50510|ST. BERNARD FINANCIAL SERVICES, INC.|ST. BERNARD FINANCIAL SERVICES, INC.|2621 W. MAIN STREET|SUITE 6|RUSSELLVILLE AR 72801|USA|||  ||ROBERT KEENAN|479-967-1200|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Market timing services|APPROVED|11/14/1995|0|1|0|0|0|0
Fort Worth Regional Office|  37503|801-60828|GURUN INVESTMENT ADVISORS, INC.|GURUN INVESTMENT ADVISORS, INC.|4925 GREENVILLE AVENUE|SUITE 1102|DALLAS TX 75206|USA|||  ||JOHN GURUN|214-691-4451|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|01/09/2002|0|0|0|0|0|0
Fort Worth Regional Office|  39285|801-50374|STANFORD GROUP COMPANY|STANFORD GROUP COMPANY|5051 WESTHEIMER||HOUSTON TX 77056|USA|5050 WESTHEIMER||HOUSTON TX 77056|USA|JANET KOZICH|713-964-8369|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|10/17/1995|0|3|0|0|0|0
Fort Worth Regional Office|  40418|801-63700|RIVERSTONE WEALTH MANAGEMENT|RIVERSTONE WEALTH MANAGEMENT|7801 CAPITAL OF TEXAS HWY|SUITE 310|AUSTIN TX 78731|USA|||  ||BRIAN SMITH|512/476-5554|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/14/2005|0|5|0|0|0|0
Fort Worth Regional Office|  42046|801-56126|NFP SECURITIES, INC.|NFP SECURITIES, INC.|1250 CAPITAL OF TEXAS HIGHWAY S.|2-125|AUSTIN TX 78746|USA|||  ||DAVID HORN|512-697-6000|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|12/31/1998|0|5|0|0|0|0
Fort Worth Regional Office|  42057|801-63738|ARVEST ASSET MANAGEMENT|ARVEST INVESTMENTS, INC.|921 WEST MONROE AVENUE|P. O. BOX 1515|LOWELL AR 72745|USA|921 WEST MONROE AVENUE|P. O. BOX 1515|LOWELL AR 72745-1515|USA|THOMAS B. HARPS|501 743 3743|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/03/2005|0|3|0|0|0|0
Fort Worth Regional Office|  42803|801-54952|AIG RETIREMENT ADVISORS, INC.|AIG RETIREMENT ADVISORS, INC.|2929 ALLEN PKWY; L4-01||HOUSTON TX 77019|USA|PO BOX 3206||HOUSTON TX 77253|USA|DAVID H. DENBOER|877-737-2650|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Other|APPROVED|10/10/1997|1|40|6|0|0|0
Fort Worth Regional Office|  44970|801-35725|SOUTHWEST CORPORATE INVESTMENT SERVICES|CUSOURCE, LLC|6801 PARKWOOD BOULEVARD||PLANO TX 75024-7198|USA|||  ||FOX, BRUCE MATTHEW|214-703-7850|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/22/1989|0|0|0|0|0|0
Fort Worth Regional Office|  44971|801-55675|HERNDON PLANT OAKLEY LTD|HERNDON PLANT OAKLEY LTD|800 N. SHORELINE BLVD|SUITE 2200 SOUTH|CORPUS CHRISTI TX 78401|USA|||  ||ELIZABETH A. DEUBEL-RAGAN|361-888-7611|Partnership|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/10/1998|0|1|0|0|0|0
Fort Worth Regional Office|  46214|801-56786|NEXT FINANCIAL GROUP, INC.|NEXT FINANCIAL GROUP, INC.|2500 WILCREST|SUITE 620|HOUSTON TX 77042|USA|||  ||ROBERT SCHLANGEN|7133752530|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters, Market timing services, Other|APPROVED|08/20/1999|1|1|0|0|0|0
Fort Worth Regional Office|  46600|801-64015|CULLUM & BURKS SECURITIES, INC.|CULLUM & BURKS SECURITIES, INC.|13355 NOEL ROAD, SUITE 1300|ONE GALLERIA TOWER|DALLAS TX 75240|USA|||  ||STEVE BURKS|972-755-0270|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|03/15/2005|0|2|0|0|0|0
Fort Worth Regional Office| 104511|801-42549|TOM JOHNSON INVESTMENT MANAGEMENT, INC.|TOM JOHNSON INVESTMENT MANAGEMENT, INC.|204 N. ROBINSON, SUITE 2900||OKLAHOMA CITY OK 73102-6805|USA|||  ||CALFY, LORI A.|405-236-2111|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Security ratings or pricing services|APPROVED|10/21/1992|0|0|0|0|0|0
Fort Worth Regional Office| 104529|801-25217|MONEY MANAGERS INC|MONEY MANAGERS INC|7800 IH #10 WEST- SUITE 636||SAN ANTONIO TX 78230-4734|USA|||  ||WHITE, TERESA J.|210-349-9494|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|09/05/1985|0|0|0|0|0|0
Fort Worth Regional Office| 104556|801-29892|H.D. VEST ADVISORY SERVICES, INC|H.D. VEST ADVISORY SERVICES, INC|6333 NORTH STATE HIGHWAY 161|4TH FLOOR|IRVING TX 75038|USA|||  ||JOHNSON, SCOTT|972-870-6684|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|09/20/1987|0|9|0|0|0|0
Fort Worth Regional Office| 104561|801-8138|THE VARIABLE ANNUITY LIFE INSURANCE CO|THE VARIABLE ANNUITY LIFE INSURANCE CO|2929 ALLEN PARKWAY|SUITE L4-01|HOUSTON TX 77019|USA|P. O. BOX 3206||HOUSTON TX 77253|USA|JOSEPH NEARY|201-324-6370|Corporation|Portfolio management for investment companies, Selection of other advisers|APPROVED|12/12/1971|1|6|2|0|0|0
Fort Worth Regional Office| 104563|801-45828|MARK I ASSET MANAGEMENT, LTD|MARK I ASSET MANAGEMENT, LTD|6301 NORTH WESTERN, SUITE 220||OKLAHOMA CITY OK 73118|USA|||  ||PLANT, JERRY WAYNE|405-525-6688|Corporation|Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|02/10/1994|0|0|0|0|0|0
Fort Worth Regional Office| 104584|801-56997|BISCAYNE ADVISORS, INC.|BISCAYNE ADVISORS, INC.|2911 TURTLE CREEK BLVD.|SUITE 800|DALLAS TX 75219|USA|||  ||ELONIA TAYLOR|214-219-1416|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/24/1999|0|0|0|0|0|0
Fort Worth Regional Office| 104592|801-51061|CHILTON CAPITAL MANAGEMENT LLC|CHILTON CAPITAL MANAGEMENT LLC|1177 WEST LOOP SOUTH|SUITE 1310|HOUSTON TX 77027|USA|||  ||FLORENCE CARLTON|713-650-1995|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/09/1996|0|0|0|0|0|0
Fort Worth Regional Office| 104643|801-14050|CAPITAL ADVISORS, INC.|CAPITAL ADVISORS, INC.|2200 SOUTH UTICA PLACE|SUITE 150|TULSA OK 74114|USA|||  ||RICHARD S. LOFGREN|918-599-0045|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|09/18/1978|0|1|0|0|0|0
Fort Worth Regional Office| 104682|801-56599|BRAZOS CAPITAL MANAGEMENT, L.P.|BRAZOS CAPITAL MANAGEMENT, L.P.|5949 SHERRY LANE STE 1600||DALLAS TX 75225|USA|||  ||MCCAIN, JAMES|214-365-5235|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/25/1999|1|6|3|0|0|0
Fort Worth Regional Office| 104721|801-34436|CATHOLIC FOUNDATION|THE CATHOLIC FOUNDATION|5310 HARVEST HILL RD., STE 248||DALLAS TX 75230|USA|||  ||MCDONALD, CAROL PARKS|972-661-9792|Corporation|Portfolio management for individuals and/or small businesses, Other|APPROVED|06/22/1989|0|0|0|0|0|0
Fort Worth Regional Office| 104730|801-21669|BARRY M. CORKERN & CO., INC.|CORKERN BARRY M ADVISORY SERVICES INC|2300 ANDOVER|SUITE 100|LITTLE ROCK AR 72227|USA|||  ||CORKERN BARRY M|501-664-7866|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/16/1984|0|0|1|0|0|0
Fort Worth Regional Office| 104732|801-24465|TERRY MCDANIEL & COMPANY|TERRY MCDANIEL & COMPANY|2630 EXPOSITION BLVD STE 300||AUSTIN TX 78703|USA|||  ||KAY L. BRYAN|(512) 495-9500|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|06/27/1985|0|0|0|0|0|0
Fort Worth Regional Office| 104750|801-23219|GUNN & CO ASSET MANAGEMENT INC|GUNN & CO ASSET MANAGEMENT INC|711 NAVARRO STE 406||SAN ANTONIO TX 78205|USA|||  ||GUNN III ROBERT GIBSON, III|210-222-2711|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|01/17/1985|0|1|0|0|0|0
Fort Worth Regional Office| 104784|801-17585|KEMPNER CAPITAL MANAGEMENT, INC.|KEMPNER CAPITAL MANAGEMENT, INC.|2201 MARKET ST|12TH FLOOR|GALVESTON TX 77550|USA|P. O. BOX 119||GALVESTON TX 77553|USA|DIANA BARTULA|409 765-6671|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/15/1982|0|0|0|0|0|0
Fort Worth Regional Office| 104788|801-36597|FIRST STATE INVESTMENT ADVISORS INC|FIRST STATE INVESTMENT ADVISORS INC|7136 SOUTH YALE|SUITE 102|TULSA OK 74136|USA|||  ||MITCHELL, PAUL DEE|(918)492-1466|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/18/1990|0|1|0|0|0|0
Fort Worth Regional Office| 104797|801-35900|LENIHAN GINGER VALLERY CFP|LENIHAN VIRGINIA VALLERY|405 CRESCENT DRIVE||BRYAN TX 77801-3712|USA|||  ||LENIHAN, VIRGINIA VALLERY|979-846-3065|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/25/1990|0|0|0|0|0|0
Fort Worth Regional Office| 104800|801-35879|CREEKSIDE INVESTMENT MANAGEMENT INC|CREEKSIDE INVESTMENT MANAGEMENT INC|1207 S AUSTIN ST||BRENHAM TX 77833|USA|P.O. BOX 877||BRENHAM TX 77834-0877|USA|S. JACQUELYN PADFIELD|979-830-7030|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/02/1990|0|0|0|0|0|0
Fort Worth Regional Office| 104808|801-23922|THE ARKANSAS FINANCIAL GROUP, INC.|THE ARKANSAS FINANCIAL GROUP, INC.|1001 N. UNIVERSITY AVE.|SUITE 200|LITTLE ROCK AR 72207-6366|USA|P.O. BOX 7757||LITTLE ROCK AR 72217-7757|USA|FREDRICK E. ADKINS|(501)376-9051|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/17/1985|0|0|0|0|0|0
Fort Worth Regional Office| 104849|801-15749|SLAYDEN DIEHL & COMPANY|SLAYDEN DIEHL & COMPANY|3625 N HALL ST., SUITE 605||DALLAS TX 75219|USA|||  ||DIEHL, SLAYDEN|214-219-9701|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/06/1981|0|0|0|0|0|0
Fort Worth Regional Office| 104916|801-5680|ROBERT D. BROWN INVESTMENT COUNSEL INC|ROBERT D. BROWN INVESTMENT COUNSEL INC|2777 ALLEN PKWY., STE 977||HOUSTON TX 77019|USA|||  ||POSEY, CAROL|713-524-3018|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/02/1969|0|0|0|0|0|0
Fort Worth Regional Office| 104924|801-21681|SMITH CAPITAL MANAGEMENT INC|SMITH CAPITAL MANAGEMENT INC|PAVILION CENTRE|8315 CANTRELL RD., SUITE 130|LITTLE ROCK AR 72227-2354|USA|||  ||BASS, LINDA C.|501-228-0040|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|06/26/1984|0|0|0|0|0|0
Fort Worth Regional Office| 104953|801-27090|ROBERTSON, GRIEGE & THOELE|RGT CAPITAL MANAGEMENT, LTD.|5950 SHERRY LANE, STE. 700||DALLAS TX 75225|USA|||  ||ROMPEL, JULIE|214-360-7000|Partnership|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|05/29/1986|0|0|0|0|0|0
Fort Worth Regional Office| 105002|801-36350|MENDEL CAPITAL MANAGEMENT, INC.|MENDEL CAPITAL MANAGEMENT, INC.|18 CORPORATE HILL DRIVE, SUITE 202||LITTLE ROCK AR 72205|USA|||  ||MENDEL, ALLAN|501-225-1405|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/09/1990|0|0|0|0|0|0
Fort Worth Regional Office| 105008|801-27836|ACADEMY CAPITAL MANAGEMENT|ACADEMY CAPITAL MANAGEMENT|500 N VALLEY MILLS DR STE #200||WACO TX 76710|USA|P.O. BOX 8175||WACO TX 76714-8175|USA|MCASHAN, HEATHER|254-751-0555|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/16/1987|0|0|1|0|0|0
Fort Worth Regional Office| 105096|801-14186|PROFESSIONAL INVESTMENT COUNSEL, INC|PROFESSIONAL INVESTMENT COUNSEL, INC|5845 CROMO DRIVE|SUITE 3|EL PASO TX 79912|USA|||  ||REYES, JOANN|(915)845-6700|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/01/1978|0|0|0|0|0|0
Fort Worth Regional Office| 105199|801-30371|WEISBERG & FIELDS INC|WEISBERG & FIELDS INC|8750 NORTH CENTRAL EXPWY|SUITE 1010|DALLAS TX 75231|USA|||  ||MICHAEL H. KANE|214 373-1668|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|09/04/1987|0|0|0|0|0|0
Fort Worth Regional Office| 105214|801-27938|RHOADS LUCCA CAPITAL MANAGEMENT, INC.|RHOADS LUCCA CAPITAL MANAGEMENT, INC.|14911 QUORUM DR.|SUITE 380|DALLAS TX 75254-7058|USA|||  ||PETER MAUTHE|214-373-9771|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|09/04/1986|0|0|0|0|0|0
Fort Worth Regional Office| 105237|801-16625|CONCORDE INVESTMENT MANAGEMENT|CONCORDE FINANCIAL CORPORATION|5430 LBJ FREEWAY   LB3|SUITE 1000|DALLAS TX 75240-2650|USA|||  ||GREEN, EVELYN R|972-701-5400|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/01/1981|0|0|0|0|0|0
Fort Worth Regional Office| 105294|801-8072|PORTFOLIOS INC|PORTFOLIOS INC|750 N ST PAUL|STE 1300|DALLAS TX 75201-3250|USA|||  ||BOSSAY, CANDACE L|214-720-9101|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/08/1971|0|1|0|0|0|0
Fort Worth Regional Office| 105335|801-22496|PAUL COMSTOCK PARTNERS|FIRST ENDOWMENT DEVELOPMENT CORP|TWO RIVERWAY|SUITE 1000|HOUSTON TX 77056|USA|||  ||MCNEIL, KAREN M|713-554-0173|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|11/05/1984|0|0|0|0|0|0
Fort Worth Regional Office| 105349|801-15211|INVESCO AIM CAPITAL MANAGEMENT, INC.|INVESCO AIM CAPITAL MANAGEMENT, INC.|11 GREENWAY PLAZA, STE 100||HOUSTON TX 77046-1173|USA|||  ||SPILLANE, TODD L.|713-214-1271|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|05/07/1980|2|12|5|0|0|0
Fort Worth Regional Office| 105352|801-12313|INVESCO AIM ADVISORS, INC.|INVESCO AIM ADVISORS, INC.|11 GREENWAY PLAZA, STE 100||HOUSTON TX 77046-1173|USA|||  ||SPILLANE, TODD L.|713-214-1271|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|11/22/1976|2|12|5|0|0|0
Fort Worth Regional Office| 105372|801-30967|INTERNATIONAL RESEARCH & ASSET MANAGEMENT INC|INTERNATIONAL RESEARCH & ASSET MANAGEMENT INC|2301 CEDAR SPRINGS STE 150||DALLAS TX 75201-7801|USA|||  ||KELLI SLACK|214-754-0770|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|11/30/1987|0|0|0|0|0|0
Fort Worth Regional Office| 105392|801-23005|BROWN & BROWN FINANCIAL SERVICES INC|BROWN & BROWN FINANCIAL SERVICES INC|4925 GREENVILLE AVENUE #990||DALLAS TX 75206|USA|||  ||JOHN COLON BROWN, JR|214-696-1768|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|02/22/1985|0|0|0|0|0|0
Fort Worth Regional Office| 105441|801-32217|AUSTIN ASSET MANAGEMENT CO|AUSTIN ASSET MANAGEMENT CO|7200 N. MOPAC, SUITE 315||AUSTIN TX 78731|USA|||  ||KOLAR, JAY B.|512-453-6622|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|06/09/1988|0|0|0|0|0|0
Fort Worth Regional Office| 105506|801-22557|FIG FINANCIAL ADVISORY SERVICES INC|FIG FINANCIAL ADVISORY SERVICES INC|3330 FRENCH PARK DRIVE||EDMOND OK 73034|USA|||  ||JURRENS, RICK T.|405-844-9826|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|11/09/1984|0|0|0|0|0|0
Fort Worth Regional Office| 105519|801-31237|BARROW HANLEY MEWHINNEY & STRAUSS INC|BARROW HANLEY MEWHINNEY & STRAUSS INC|2200 ROSS AVENUE, 31ST FLOOR||DALLAS TX 75201-2761|USA|||  ||ANDREWS, PATRICIA B|214-665-1900|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/31/1987|0|0|0|0|0|0
Fort Worth Regional Office| 105523|801-28446|SCOTT & SELBER, INC. CAPITAL MANAGEMENT|SCOTT & SELBER, INC. CAPITAL MANAGEMENT|5075 WESTHEIMER|SUITE 799|HOUSTON TX 77056|UNITED STATES|||  ||JACK SELBER|713-850-1717|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/04/1986|0|0|0|0|0|0
Fort Worth Regional Office| 105526|801-26644|LONGER INVESTMENTS INC|LONGER INVESTMENTS INC|9 N. WEST AVENUE||FAYETTEVILLE AR 72701|USA|P. O. BOX 1269||FAYETTEVILLE AR 72702|USA|COOPER, KIM M|479-443-5851|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/04/1986|0|0|0|0|0|0
Fort Worth Regional Office| 105550|801-35858|PIN OAK INVESTMENT ADVISORS INC|PIN OAK INVESTMENT ADVISORS INC|510 BERING DRIVE|STE 100|HOUSTON TX 77057|USA|||  ||ROUSE, BARRETT|713-871-8300|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|01/12/1990|0|0|0|0|0|0
Fort Worth Regional Office| 105552|801-29198|AMERICAN BEACON ADVISORS, INC.|AMERICAN BEACON ADVISORS, INC.|4151 AMON CARTER BLVD, MD 2450||FORT WORTH TX 76155-2601|USA|4151 AMON CARTER BLVD, MD 2450||FORT WORTH TX 76155-2601||ROSEMARY K. BEHAN|817-967-3514|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|03/10/1987|0|0|0|0|0|0
Fort Worth Regional Office| 105638|801-31379|BRIAUD FINANCIAL PLANNING INC|BRIAUD FINANCIAL PLANNING INC|4444 CARTER CREEK PKWY|SUITE 110|BRYAN TX 77802|USA|||  ||BILLINGS, CHRISTINA K|979-260-9771|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/28/1988|0|0|0|0|0|0
Fort Worth Regional Office| 105643|801-30106|FINANCIAL SYNERGIES ASSET MANAGEMENT INC|FINANCIAL SYNERGIES ASSET MANAGEMENT INC|4265 SAN FELIPE|SUITE 1450|HOUSTON TX 77027|USA|||  ||MICHAEL MINTER|713 623-6600|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/30/1987|0|0|0|0|0|0
Fort Worth Regional Office| 105782|801-29438|VAUGHAN NELSON TRUST COMPANY|VAUGHAN NELSON TRUST COMPANY|600 TRAVIS|STE 6300|HOUSTON TX 77002-3071|USA|||  ||LAHOURCADE, LEE ALAN|713-224-2545|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/24/1987|0|4|0|0|0|0
Fort Worth Regional Office| 105835|801-25934|LEHRER FINANCIAL & ECONOMIC ADVISORY SERVICES|LEHRER KENNETH EUGENE DR|5555 DEL MONTE DRIVE|SUITE 802|HOUSTON TX 77056-4117|USA|||  ||LEHRER, KENNETH EUGENE|713-626-8184|Sole Proprietorship|Pension consulting services, Other|APPROVED|12/12/1985|0|0|0|0|0|0
Fort Worth Regional Office| 105843|801-32168|LIGHTHOUSE CAPITAL MANAGEMENT|LIGHTHOUSE CAPITAL MANAGEMENT LP|10000 MEMORIAL DRIVE|SUITE 300|HOUSTON TX 77024|USA|||  ||COBB, CHRISTINE M|713-688-6881|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/05/1988|0|0|1|0|0|0
Fort Worth Regional Office| 105910|801-10722|LEE FINANCIAL CORP|LEE FINANCIAL CORP|12222 MERIT DRIVE|SUITE 1500|DALLAS TX 75251-2261|USA|||  ||JAN APTHORP|972-960-1001|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|04/26/1975|0|0|0|0|0|0
Fort Worth Regional Office| 105911|801-24986|PERSONAL FINANCIAL ADVISORS INC|PERSONAL FINANCIAL ADVISORS INC|1616 S. VOSS|STE 830|HOUSTON TX 77057|USA|||  ||O'SHEA, JAMES FRANCIS|713-529-0333|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|08/16/1985|0|1|0|0|0|0
Fort Worth Regional Office| 105921|801-28717|ASSET MANAGEMENT ADVISORS INC|ASSET MANAGEMENT ADVISORS INC|6363 WOODWAY|STE 900|HOUSTON TX 77057|USA|||  ||MATHRE, LYNN|713 977 9600|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|01/09/1987|0|0|0|0|0|0
Fort Worth Regional Office| 105951|801-14704|WARWICK PARTNERS|WARWICK INVESTMENT MANAGEMENT INC|4444 CARTER CREEK PARKWAY|SUITE 109|BRYAN TX 77802|USA|||  ||LEYVA, MARY JANE|979-260-9777|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/19/1979|0|0|0|0|0|0
Fort Worth Regional Office| 105967|801-16194|ASSET MANAGEMENT CORP|ASSET MANAGEMENT CORP|5000 LEGACY DRIVE|SUITE 140|PLANO TX 75024|USA|||  ||DARRELL NICHOLS|(972)608-8804|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/08/1981|0|1|0|0|0|0
Fort Worth Regional Office| 106045|801-37666|TROTTER CAPITAL MANAGEMENT, INC.|TROTTER CAPITAL MANAGEMENT, INC.|1215 ROCK SPRINGS ROAD|SUITE 100|DUNCANVILLE TX 75137-2839|USA|||  ||TROTTER, IDE P|(972) 296-7167|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|11/08/1990|0|0|0|0|0|0
Fort Worth Regional Office| 106080|801-8231|AMERICAN FIDELITY ASSURANCE CO|AMERICAN FIDELITY ASSURANCE CO|2000 CLASSEN BLVD||OKLAHOMA CITY OK 73106-6013|USA|||  ||RIGLER, PATRICIA|405/523-5483|Corporation|Portfolio management for investment companies|APPROVED|12/14/1971|0|0|0|0|0|0
Fort Worth Regional Office| 106095|801-52409|OPTIMA ASSET MANAGEMENT INC|OPTIMA ASSET MANAGEMENT INC|12221 MERIT DRIVE|SUITE 1600|DALLAS TX 75251-2251|USA|||  ||JONES, JR. NOLAN L.|972-726-0400|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|07/12/1996|0|0|0|0|0|0
Fort Worth Regional Office| 106112|801-46351|FORTUNE FINANCIAL SERVICES, LLC|FORTUNE FINANCIAL SERVICES, LLC|12222 MERIT DRIVE|SUITE 1200|DALLAS TX 75251|USA|||  ||ROTHE, ROBERT S.|972 716-8002|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|04/28/1994|0|0|0|0|0|0
Fort Worth Regional Office| 106116|801-42406|MONETA INVESTMENT CONSULTING INC|MONETA INVESTMENT CONSULTING INC|1705 OLD COURSE DR||PLANO TX 75093|USA|1700 PRESTON ROAD|SUITE 267-304|PLANO TX 75093||CAROLYN COSGRIFF|214-363-0025|Corporation|Pension consulting services|APPROVED|09/29/1992|0|0|0|0|0|0
Fort Worth Regional Office| 106164|801-43463|BEACON FINANCIAL ADVISORS LTD|BEACON FINANCIAL ADVISORS LTD|1800 ST. JAMES PLACE, SUITE 101||HOUSTON TX 77056|USA|||  ||HEBERT, MARCEL J|713-622-9981|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|03/12/1993|0|1|0|0|0|0
Fort Worth Regional Office| 106184|801-37873|BELMONT GLOBAL ADVISORS, INC.|BELMONT GLOBAL ADVISORS, INC.|2911 TURTLE CREEK BLVD STE 500||DALLAS TX 75219|USA|||  ||WHEELER, TIMOTHY C.|(214) 559-9790|Corporation|Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|12/07/1990|0|0|0|0|0|0
Fort Worth Regional Office| 106191|801-40048|ROBERT HARRELL, INCORPORATED|ROBERT HARRELL INCORPORATED|8310 CAPITAL OF TEXAS HIGHWAY, N. STE 320||AUSTIN TX 78731|USA|||  ||SANDRA KAYE LARSEN-HARRELL|512-795-9100|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|10/28/1991|0|0|0|0|0|0
Fort Worth Regional Office| 106236|801-52937|SAGE ADVISORY SERVICES LTD CO|SAGE ADVISORY SERVICES LTD CO|5900 SOUTHWEST PARKWAY|BUILDING 1, SUITE 100|AUSTIN TX 78735|USA|||  ||WILLIAMS, RICHARD B.|512-327-5530|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|09/24/1996|0|0|0|0|0|0
Fort Worth Regional Office| 106247|801-44471|DOLIVER CAPITAL ADVISORS, L.P.|DOLIVER CAPITAL ADVISORS, L.P.|6363 WOODWAY|SUITE 963|HOUSTON TX 77057|USA|||  ||SUSAN FONTENO|713-917-0022|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/11/1993|0|0|0|0|0|0
Fort Worth Regional Office| 106281|801-47940|NFJ INVESTMENT GROUP L.P.|NFJ INVESTMENT GROUP L.P.|2100 ROSS AVENUE|SUITE 700|DALLAS TX 75201|USA|680 NEWPORT CENTER DRIVE|SUITE 250|NEWPORT BEACH CA 92660|UNITED STATES|PATTI ALMANZA|(214) 754-1783|Partnership|Portfolio management for businesses or institutional clients (other than investment companies), Portfolio management for individuals and/or small businesses, Portfolio management for investment companies|APPROVED|11/14/1994|0|0|1|0|0|0
Fort Worth Regional Office| 106287|801-45494|CAPITAL CITIES ASSET MANAGEMENT INC|CAPITAL CITIES ASSET MANAGEMENT INC|11651 JOLLYVILLE ROAD|SUITE 200|AUSTIN TX 78759|USA|PO BOX 203427||AUSTIN TX 78720-3427|USA|CARD, TANYA MARY|512-219-7566|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|01/05/1994|0|1|0|0|0|0
Fort Worth Regional Office| 106301|801-50835|SMITH GROUP ASSET MANAGEMENT|SMITH ASSET MANAGEMENT GROUP LP|100 CRESCENT COURT, STE 1150||DALLAS TX 75201|USA|||  ||BRIM, JOHN D.|214-880-4600|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/14/1995|0|0|0|0|0|0
Fort Worth Regional Office| 106316|801-43702|RETIREMENT INVESTMENT ADVISORS INC|RETIREMENT INVESTMENT ADVISORS INC|3001 UNITED FOUNDERS BLVD|SUITE A|OKLAHOMA CITY OK 73112|USA|||  ||BASS, KELLI|405-842-3443|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/13/1993|0|0|0|0|0|0
Fort Worth Regional Office| 106349|801-52379|RUTLAND DICKSON ASSET MANAGEMENT INC|RUTLAND DICKSON ASSET MANAGEMENT, LLC|1901 NORTH AKARD STREET||DALLAS TX 75201-2305|USA|||  ||DICKSON, BARBARA GAIL|214-969-7088|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|07/12/1996|0|0|0|0|0|0
Fort Worth Regional Office| 106352|801-53347|USAA FINANCIAL PLANNING SERVICES|USAA FINANCIAL PLANNING SERVICES INSURANCE AGENCY, INC.|9800 FREDERICKSBURG ROAD||SAN ANTONIO TX 78288|USA|||  ||LAIA, CHRISTOPHER|210-498-0226|Corporation|Financial planning services|APPROVED|11/27/1996|0|2|0|0|0|0
Fort Worth Regional Office| 106507|801-51834|MBM ADVISORS INC|MBM ADVISORS INC|440 LOUISIANA STREET|SUITE 2600|HOUSTON TX 77002|USA|||  ||DONALD ROBERT BLACK|713-228-6444|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|05/07/1996|0|0|0|0|0|0
Fort Worth Regional Office| 106537|801-35651|HOURGLASS CAPITAL MANAGEMENT INC|HOURGLASS CAPITAL MANAGEMENT INC.|2305 CEDAR SPRINGS ROAD|SUITE 208|DALLAS TX 75201|USA|||  ||GARDNER, DEBRA L|214-754-8750|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/08/1990|0|0|0|0|0|0
Fort Worth Regional Office| 106581|801-7153|SPAR INVESTMENT COUNSEL INC|SPAR INVESTMENT COUNSEL INC|1201 ELM ST|STE 4480 LOCK BOX #52|DALLAS TX 75270-2035|USA|||  ||STAMPS, L. DALE|214-748-2111|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|12/31/1970|0|0|0|0|0|0
Fort Worth Regional Office| 106584|801-1725|SAROFIM FAYEZ & CO|SAROFIM FAYEZ & CO|TWO HOUSTON CENTER|SUITE 2907|HOUSTON TX 77010-1009|USA|||  ||RAYE G. WHITE|(713) 654-4484|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/16/1958|0|0|0|0|0|0
Fort Worth Regional Office| 106590|801-13773|SAROFIM TRUST CO|SAROFIM TRUST CO|TWO HOUSTON CENTER|SUITE 2907|HOUSTON TX 77010|USA|||  ||RAYE G. WHITE|(713) 654-4484|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/13/1978|0|0|0|0|0|0
Fort Worth Regional Office| 106593|801-51814|CYPRESS ASSET MANAGEMENT INC|CYPRESS ASSET MANAGEMENT INC|2929 ALLEN PKWY|SUITE 1550|HOUSTON TX 77019|USA|||  ||DANIEL R. JAPHET JR.|713-512-2100|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/10/1996|0|0|0|0|0|0
Fort Worth Regional Office| 106607|801-37185|FIDUCIARY FINANCIAL SERVICES OF THE SOUTHWEST INC|FIDUCIARY FINANCIAL SERVICES OF THE SOUTHWEST INC|12222 MERIT DRIVE STE 920||DALLAS TX 75251-2268|USA|||  ||PHI DUONG|972-934-9070|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|08/19/1990|0|1|0|0|0|0
Fort Worth Regional Office| 106729|801-40422|GARY A. MORRIS|MORRIS GARY ALAN|5310 HARVEST HILL ROAD|SUITE 192|DALLAS TX 75230|USA|||  ||MORRIS, GARY ALAN|214-363-4949|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|02/04/1992|0|0|0|0|0|0
Fort Worth Regional Office| 106731|801-69404|MCPHERSON PERSONAL ASSET MANAGEMENT|MCPHERSON DANNY LEE|12221 MERIT DRIVE|SUITE 350|DALLAS TX 75251|USA|||  ||MCPHERSON, DAN LEE|972-354-2000|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|07/29/2008|0|0|0|0|0|0
Fort Worth Regional Office| 106779|801-48855|LINSCOMB & WILLIAMS|LINSCOMB & WILLIAMS INC|1400 POST OAK BLVD|SUITE 1000|HOUSTON TX 77056|USA|||  ||WILLIAMS, JOSEPH HAROLD|713-840-1000|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/02/1995|0|2|0|0|0|0
Fort Worth Regional Office| 106917|801-34644|MITCHELL GROUP INC|THE MITCHELL GROUP, INC.|1100 LOUISIANA ST|SUITE 5000|HOUSTON TX 77002|USA|||  ||RODNEY MITCHELL|713-759-2070|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/16/1989|0|0|0|0|0|0
Fort Worth Regional Office| 106931|801-44655|SAROFIM REALTY ADVISORS CO|SAROFIM REALTY ADVISORS CO|8115 PRESTON ROAD, SUITE 400||DALLAS TX 75225|USA|||  ||RAYE G. WHITE|(713)654-4484|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/16/1993|0|0|0|0|0|0
Fort Worth Regional Office| 106932|801-45225|SAROFIM ADVISORS GROUP INC|SAROFIM ADVISORS GROUP INC|TWO HOUSTON CENTER, SUITE 2907||HOUSTON TX 77010|USA|||  ||RAYE G. WHITE|(713)654-4484|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/22/1993|0|0|0|0|0|0
Fort Worth Regional Office| 106933|801-45226|SAROFIM INTERNATIONAL MANAGEMENT CO|SAROFIM INTERNATIONAL MANAGEMENT CO|TWO HOUSTON CENTER, SUITE 2907|SUITE 2907|HOUSTON TX 77010|USA|||  ||RAYE G. WHITE|(713)654-4484|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/22/1993|0|0|0|0|0|0
Fort Worth Regional Office| 106954|801-50624|INVESTORS ADVANTAGE LLC|INVESTORS ADVANTAGE LLC|4131 SPICEWOOD SPRINGS ROAD|SUITE K7|AUSTIN TX 78759|USA|||  ||SAUNDERS, LARRY WAYNE|512-794-1188|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/28/1995|0|1|0|0|0|0
Fort Worth Regional Office| 106972|801-41371|CORBIN & COMPANY|CORBIN & COMPANY|3113 S. UNIVERSITY DRIVE|SUITE 500|FORT WORTH TX 76109|USA|||  ||CORBIN, DAVID A.|817-335-8282|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/15/1992|0|0|0|0|0|0
Fort Worth Regional Office| 106975|801-51795|VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P.|VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P.|600 TRAVIS, SUITE 6300||HOUSTON TX 77002-3071|USA|||  ||LAHOURCADE, LEE ALAN|713-224-2545|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/25/1996|0|12|1|0|0|0
Fort Worth Regional Office| 106978|801-33232|CASHEN INVESTMENT ADVISORS INC|CASHEN INVESTMENT ADVISORS INC|13760 NOEL ROAD|SUITE 110, BOX 40|DALLAS TX 75240|USA|||  ||CASHEN, SHACK BENNETT|972-715-1860|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|10/26/1988|0|0|0|0|0|0
Fort Worth Regional Office| 107025|801-29238|FCM INVESTMENTS|FCM INVESTMENTS, LP|2200 ROSS AVE., SUITE 4600 WEST||DALLAS TX 75201|USA|||  ||JONES, JR., T. MONTGOMERY|214-665-6900|Partnership|Portfolio management for individuals and/or small businesses|APPROVED|03/27/1987|0|0|0|0|0|0
Fort Worth Regional Office| 107061|801-36035|GOSTING CAPITAL MANAGEMENT|GOSTING DONALD LOUIS JR|9635 WHITEHURST DR||DALLAS TX 75243|USA|||  ||GOSTING, DONALD LOUIS|214-343-2040|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|02/16/1990|0|1|0|0|0|0
Fort Worth Regional Office| 107129|801-42052|PORTFOLIO MANAGEMENT|KRANZ RICHARD WINTHROP|1319 CREEKFORD CIRCLE||SUGAR LAND TX 77478|USA|||  ||KRANZ, RICHARD W.|281-494-1919|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|08/03/1992|0|0|0|0|0|0
Fort Worth Regional Office| 107238|801-51938|BHCO CAPITAL MANAGEMENT INC|BHCO CAPITAL MANAGEMENT INC|12221 MERIT DR|STE 750|DALLAS TX 75251|USA|||  ||BEAIRD, PAT C|972-503-1040|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|05/20/1996|0|0|0|0|0|0
Fort Worth Regional Office| 107273|801-40948|FRUTH INVESTMENT MANAGEMENT|FRUTH INVESTMENT MANAGEMENT|820 GESSNER, SUITE 1640||HOUSTON TX 77024|USA|||  ||RICHARD J. FRUTH|713-464-2283|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/10/1992|0|0|0|0|0|0
Fort Worth Regional Office| 107301|801-15835|AUSTIN CALVERT & FLAVIN INC|AUSTIN CALVERT & FLAVIN INC|755 E. MULBERRY|SUITE 400|SAN ANTONIO TX 78212|USA|||  ||JULIE J. LEWIS|210-353-0533|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/13/1981|0|10|2|0|0|0
Fort Worth Regional Office| 107306|801-53294|EAGLE GLOBAL ADVISORS LLC|EAGLE GLOBAL ADVISORS LLC|5847 SAN FELIPE|SUITE 930|HOUSTON TX 77057|USA|||  ||STEVEN RUSSO|713-952-3550|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/14/1996|0|0|0|0|0|0
Fort Worth Regional Office| 107315|801-48058|THE MONROE VOS CONSULTING GROUP INC.|THE MONROE VOS CONSULTING GROUP INC.|1001 MCKINNEY|SUITE 1200|HOUSTON TX 77002|USA|||  ||JULIE SWANSON|713-227-0100|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|12/16/1994|0|1|0|0|0|0
Fort Worth Regional Office| 107355|801-51988|ADAMS HALL ASSET MANAGEMENT L.L.C.|ADAMS HALL ASSET MANAGEMENT L.L.C.|4200 E. SKELLY DRIVE|SUITE 950|TULSA OK 74135|USA|||  ||SUZANNE C. WHEELER|918-665-2446|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/20/1996|0|0|0|0|0|0
Fort Worth Regional Office| 107365|801-44359|PIEDRA CAPITAL LTD|PIEDRA CAPITAL LTD|3700 BUFFALO SPEEDWAY, STE 520||HOUSTON TX 77098|USA|||  ||BEVERLY A. JONES|505-823-4800|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/22/1993|0|0|0|0|0|0
Fort Worth Regional Office| 107368|801-68031|COX GLOBAL ASSOCIATES INC|COX GLOBAL ASSOCIATES INC|1260 PIN OAK ROAD|SUITE 204|KATY TX 77494|USA|||  ||MARY GORDON|281-395-8300|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|06/28/2007|0|1|0|0|0|0
Fort Worth Regional Office| 107379|801-38034|SENTRY MANAGEMENT INC|SENTRY MANAGEMENT INC|5 EUREKA CIRCLE|SUITE E|WICHITA FALLS TX 76308-2900|USA|||  ||SHERREE'SCARLOTT|940-696-2100|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Security ratings or pricing services|APPROVED|12/03/1990|1|1|0|0|0|0
Fort Worth Regional Office| 107409|801-51602|ROGERS CAPITAL MANAGEMENT, INC.|ROGERS CAPITAL MANAGEMENT, INC.|1330 SUMMIT AVENUE||FORT WORTH TX 76102|USA|||  ||ALICE FRAZIER|817/334-0351|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/22/1996|0|0|0|0|0|0
Fort Worth Regional Office| 107441|801-50414|STOTTS GROUP, INC.|STOTTS GROUP, INC.|4117 WOODCREEK||DALLAS TX 75220|USA|||  ||PAUL A. STOTTS|214-366-0505|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|10/20/1995|0|1|0|0|0|0
Fort Worth Regional Office| 107461|801-53637|BELDING FINANCIAL RESOURCES, INC.|BELDING FINANCIAL RESOURCES INC|2121 SAGE RD., SUITE 270||HOUSTON TX 77056|USA|||  ||DAVID H. BELDING|713-622-1500|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|01/14/1997|0|0|0|0|0|0
Fort Worth Regional Office| 107465|801-27691|PORTFOLIO ADVISORY COUNCIL,L.L.C.|PORTFOLIO ADVISORY COUNCIL, L.L.C.|3 GREENWAY PLAZA|SUITE 1960|HOUSTON TX 77046|USA|||  ||W. THOMAS SUTTON|713.574.6020|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|09/15/1986|0|2|0|0|0|0
Fort Worth Regional Office| 107484|801-43638|ROGER H. JENSWOLD & CO., INC.|ROGER H. JENSWOLD & CO., INC.|5847 SAN FELIPE|SUITE 1212|HOUSTON TX 77057-3009|USA|||  ||CLAUDE C. CODY|713-789-9060|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|03/30/1993|0|0|1|0|0|0
Fort Worth Regional Office| 107488|801-50660|ADELL HARRIMAN & CARPENTER|ADELL HARRIMAN & CARPENTER INC|2700 POST OAK BLVD STE 1200||HOUSTON TX 77056|USA|||  ||LEIA POWELL CARPENTER|713-621-1155|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|11/29/1995|0|0|0|0|0|0
Fort Worth Regional Office| 107548|801-44699|STRATEGIC FINANCIAL MANAGEMENT GROUP|SFMG, LLC.|5310 HARVEST HILL|SUITE 226, LB 105|DALLAS TX 75230|USA|||  ||CRAIG GREENWAY|972-960-6460|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/11/1993|0|1|0|0|0|0
Fort Worth Regional Office| 107550|801-36999|RENN CAPITAL GROUP, INC.|RENN CAPITAL GROUP, INC.|8080 N. CENTRAL EXPRESSWAY|SUITE 210, LB 59|DALLAS TX 75206-1857|USA|||  ||KAYE MITCHELL|214/891-8294|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/29/1990|0|1|0|0|0|0
Fort Worth Regional Office| 107552|801-49462|OBJECTIVE ADVISORS, INC.|OBJECTIVE ADVISORS, INC.|12016 HWY 290 WEST|SUITE #6|AUSTIN TX 78737|USA|||  ||MICHELLE FLYNN|(512) 301-0001|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|06/23/1995|0|1|0|0|0|0
Fort Worth Regional Office| 107559|801-41058|YACKTMAN ASSET MANAGEMENT CO|YACKTMAN ASSET MANAGEMENT CO|6300 BRIDGEPOINT PARKWAY|BUILDING ONE, SUITE 320|AUSTIN TX 78730-5073|USA|||  ||KENT A. ARNETT|512-767-6707|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/08/1992|0|0|0|0|0|0
Fort Worth Regional Office| 107595|801-51736|CORNERSTONE FINANCIAL ADVISORS|LEDERGERBER MARICELA MARTINEZ|6363 WOODWAY DR. STE 820||HOUSTON TX 77057|USA|||  ||MARICELA LEDERGERBER|713-980-2989|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/03/1996|0|1|0|0|0|0
Fort Worth Regional Office| 107599|801-49261|SIMMONS L E & ASSOCIATES INC|SIMMONS L E & ASSOCIATES INC|600 TRAVIS, SUITE 6600||HOUSTON TX 77002-3007|USA|||  ||ANTHONY F. DELUCA|713-227-7888|Corporation|Other|APPROVED|05/25/1995|0|0|0|0|0|0
Fort Worth Regional Office| 107634|801-45621|SCM ADVISORS LP|SCM ADVISORS LP|5440 HARVEST HILL ROAD|SUITE 201|DALLAS TX 75230|USA|||  ||JOHN A. (PETE) BRICKER, JR.|972-763-1920|Other (specify)|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|12/14/1993|0|0|0|0|0|0
Fort Worth Regional Office| 107639|801-38245|TANGLEWOOD WEALTH MANAGMENT, INC.|TANGLEWOOD WEALTH MANAGMENT, INC.|1400 POST OAK BLVD|SUITE 550|HOUSTON TX 77056|USA|||  ||KEITH FENSTAD|713-840-8880|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/25/1991|0|0|0|0|0|0
Fort Worth Regional Office| 107653|801-48109|PERRYMAN FINANCIAL ADVISORY, INC.|PERRYMAN FINANCIAL ADVISORY, INC.|12221 MERIT DR STE 1725||DALLAS TX 75251|USA|||  ||JIMMY PERRYMAN|972-770-4800|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|12/23/1994|0|0|0|0|0|0
Fort Worth Regional Office| 107656|801-39088|BRANSON FOWLKES RUSSELL INC|BRANSON FOWLKES RUSSELL INC|2603 AUGUSTA STE 711||HOUSTON TX 77057-5638|USA|||  ||JAY W. BRANSON|713-780-0606|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/24/1991|0|0|0|0|0|0
Fort Worth Regional Office| 107657|801-44173|BRANSON FOWLKES & CO INC|BRANSON FOWLKES & CO INC|2603 AUGUSTA STE 711||HOUSTON TX 77057-5638|USA|||  ||JAY BRANSON|713-780-0606|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/22/1993|0|0|0|0|0|0
Fort Worth Regional Office| 107701|801-39205|FINANCIAL HOUSE CORP|FINANCIAL HOUSE CORP|7800 IH 10 WEST|STE 518|SAN ANTONIO TX 78230|USA|||  ||EUGEN SCHLUTER|(210)349-1251|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|06/26/1991|0|1|0|0|0|0
Fort Worth Regional Office| 107710|801-15602|HOISINGTON INVESTMENT MANAGEMENT CO|HOISINGTON INVESTMENT MANAGEMENT CO|1250 S CAPITAL OF TEXAS HWY|BLDG 3 SUITE 600|AUSTIN TX 78746|USA|||  ||JANICE TEAGUE BRIGHT|512 327-7200|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/30/1980|0|0|0|0|0|0
Fort Worth Regional Office| 107722|801-60001|DURBIN BENNETT PETERSON PRIVATE WEALTH MANAGEMENT, LLP|DURBIN BENNETT PETERSON PRIVATE WEALTH MANAGEMENT, LLP|100 CONGRESS AVENUE, SUITE 1600||AUSTIN TX 78701|USA|||  ||HAROLD EVERETT PETERSON|(512) 439-4800|Limited Liability Partnership|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|01/25/2001|0|0|0|0|0|0
Fort Worth Regional Office| 107827|801-36485|SMITH GRAHAM & CO INVESTMENT ADVISORS, L.P.**|SMITH GRAHAM & CO INVESTMENT ADVISORS, L.P.**|6900 JPMORGAN CHASE TOWER|600 TRAVIS STREET|HOUSTON TX 77002|USA|||  ||JAMIE G. HOUSE|713-227-1100|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/29/1990|0|0|0|0|0|0
Fort Worth Regional Office| 107894|801-51498|RMG CAPITAL ADVISORS LLC|RMG CAPITAL ADVISORS LLC|17111 PRESTON ROAD|SUITE 140|DALLAS TX 75248|USA|||  ||GARY J SHALHOOB|(972) 267-9939|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|03/11/1996|0|1|0|0|0|0
Fort Worth Regional Office| 107961|801-47662|KEENE & ASSOCIATES, INC.|KEENE & ASSOCIATES, INC.|306 WEST SEVENTH ST, SUITE 310||FORT WORTH TX 76102|USA|||  ||JOHN KEENE|817 336-4500|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|09/19/1994|0|1|0|0|0|0
Fort Worth Regional Office| 107978|801-46741|HOWARD FINANCIAL SERVICES, LTD.|HOWARD FINANCIAL SERVICES, LTD.|8350 MEADOW ROAD, SUITE 181||DALLAS TX 75231|USA|||  ||THERESA MARIE STUTEVILLE|(214)346-0760|Partnership|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|06/23/1994|0|0|0|0|0|0
Fort Worth Regional Office| 108017|801-56194|DAVIS HAMILTON JACKSON & ASSOCIATES LP|DAVIS HAMILTON JACKSON & ASSOCIATES LP|5 HOUSTON CENTER|1401 MCKINNEY ST., SUITE 1600|HOUSTON TX 77010|USA|||  ||BETH LEE MCWILLIAMS|713-853-2322|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/31/1998|0|0|0|0|0|0
Fort Worth Regional Office| 108032|801-57440|CLOUD, NEFF MANAGEMENT, LLC|CLOUD, NEFF MANAGEMENT, LLC|5314 SOUTH YALE, SUITE 606||TULSA OK 74135|US|||  ||RICHARD R. CLOUD|918-492-1080|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|04/10/2000|0|0|0|0|0|0
Fort Worth Regional Office| 108037|801-55942|ASSET SERVICES CO LLC|ASSET SERVICES CO LLC|5100 N CLASSEN BOULEVARD|SUITE 600|OKLAHOMA CITY OK 73118|USA|||  ||DANIEL JUNKIN|405-843-7046|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|10/15/1998|0|0|0|0|0|0
Fort Worth Regional Office| 108046|801-57097|CORDA INVESTMENT MANAGEMENT|BARNES, BONNER, CASTLES|8955 KATY FREEWAY, SUITE 206||HOUSTON TX 77024-1626|USA|||  ||BONNER C. BARNES|713-439-0665|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|12/20/1999|0|0|0|0|0|0
Fort Worth Regional Office| 108086|801-57298|PINNACLE INVESTMENT ADVISORS|PINNACLE HOLDINGS, LLC|15 WEST 6TH ST STE 2401||TULSA OK 74119|USA|||  ||DAVID M. POARCH|918-582-6864|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/29/2000|0|0|0|0|0|0
Fort Worth Regional Office| 108122|801-55551|WOODLANDS ASSET MANAGEMENT INC|WOODLANDS ASSET MANAGEMENT INC|10077 GROGANS MILL RD STE 130||THE WOODLANDS TX 77380|USA|||  ||LAURA HENDRICKS|(281) 367-2483|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/15/1998|0|2|0|0|0|0
Fort Worth Regional Office| 108125|801-54702|SHAMROCK ASSET MANAGEMENT LLC|SHAMROCK ASSET MANAGEMENT LLC|5956 SHERRY LANE|SUITE 902|DALLAS TX 75225|USA|||  ||MARY P. MIX|214-265-9400|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/09/1997|0|0|0|0|0|0
Fort Worth Regional Office| 108129|801-57623|ALLBRIGHT FINANCIAL ADVISORS INC|ALLBRIGHT FINANCIAL ADVISORS INC|4849 GREENVILLE AVE., SUITE 1520||DALLAS TX 75206-4130|USA|||  ||BILL ALLBRIGHT|214-691-5900|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|05/18/2000|0|1|0|0|0|0
Fort Worth Regional Office| 108144|801-56893|C. VICTOR COATES, C.P.A.|COATES CARL VICTOR|1223 E HIGHLAND|SUITE 314|PONCA CITY OK 74601|USA|||  ||GERALD D. CORBIN|580-762-7537|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|12/02/1999|0|0|0|0|0|0
Fort Worth Regional Office| 108149|801-57618|NATIVE AMERICAN FUND ADVISORS LLC|PINNACLE HOLDINGS|15 WEST 6TH STREET|SUITE 2401|TULSA OK 74119|USA|||  ||DAVID M. POARCH|918-582-9823|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/28/2000|0|0|0|0|0|0
Fort Worth Regional Office| 108150|801-56931|ASSET PRESERVATION GROUP INC|ASSET PRESERVATION GROUP INC|2750 WILLIAM D. TATE AVE.|SUITE 100|GRAPEVINE TX 76051|USA|||  ||MARK S. HENDERSON|817-354-6060|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|10/22/1999|0|0|0|0|0|0
Fort Worth Regional Office| 108198|801-27224|KING INVESTMENT ADVISORS, INC.|KING INVESTMENT ADVISORS, INC.|1980 POST OAK BLVD.|SUITE 2400|HOUSTON TX 77056-3898|USA|||  ||PAT H. SWANSON|713-961-0462|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|06/13/1986|0|0|0|0|0|0
Fort Worth Regional Office| 108203|801-60003|RETIREMENT ADVISORS OF AMERICA|PHH INVESTMENTS, LTD.|13155 NOEL ROAD|SUITE 1800|DALLAS TX 75240|USA|||  ||TEX B. GRUBBS|972-233-3367|Partnership|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|01/02/2001|0|0|0|0|0|0
Fort Worth Regional Office| 108256|801-30781|BUDGE FINANCIAL INC|BUDGE FINANCIAL INC|4925 GREENVILLE AVE|STE 1220|DALLAS TX 75206|USA|||  ||ARTHUR N. BUDGE, JR.|214-560-2569|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|01/07/1988|0|1|0|0|0|0
Fort Worth Regional Office| 108262|801-47310|MAVERICK CAPITAL LTD|MAVERICK CAPITAL LTD|300 CRESCENT CT|STE 1850|DALLAS TX 75201|USA|||  ||ANNE K. HILL|214-880-4059|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|09/30/1994|0|0|1|0|0|0
Fort Worth Regional Office| 108294|801-55411|HALBERT WEALTH MANAGEMENT, INC|HALBERT WEALTH MANAGEMENT, INC.|11719 BEE CAVE ROAD|SUITE 200|AUSTIN TX 78738|USA|||  ||JON MEYER|512-263-3800|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Publication of periodicals or newsletters, Other|APPROVED|04/14/1998|0|1|0|0|0|0
Fort Worth Regional Office| 108327|801-16128|LATHROP INVESTMENT MANAGEMENT CORP|LATHROP INVESTMENT MANAGEMENT CORP|10 CORPORATE HILL DRIVE|SUITE 225|LITTLE ROCK AR 72205|USA|||  ||GREGORY C. LATHROP|501-227-4930|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/01/1981|0|0|1|0|0|0
Fort Worth Regional Office| 108344|801-54089|SMH CAPITAL ADVISORS, INC.|SMH CAPITAL ADVISORS, INC.|600 TRAVIS|SUITE 5800|HOUSTON TX 77002|UNITED STATES|||  ||JOHN T UNGER|800-538-0020|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/06/1997|0|4|0|0|0|0
Fort Worth Regional Office| 108350|801-19322|FINANCIAL MANAGEMENT INC|FINANCIAL MANAGEMENT INC|3801 WOODLAND HEIGHTS RD|SUITE 125|LITTLE ROCK AR 72212-2480|USA|P. O. BOX 17590||LITTLE ROCK AR 72222-7590|US|SUSAN G. ROGERS|501-227-7400|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Other|APPROVED|07/28/1983|0|0|1|0|0|0
Fort Worth Regional Office| 108425|801-31075|EMPIRIC ADVISORS, INC.|EMPIRIC ADVISORS, INC.|6300 BRIDGEPOINT PARKWAY|BUILDING 2, SUITE 105|AUSTIN TX 78730|USA|||  ||HEATHER MCASHAN|512-328-9321 X1|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies|APPROVED|12/10/1987|0|0|0|0|0|0
Fort Worth Regional Office| 108466|801-56416|INTERNATIONAL CAPITAL MANAGEMENT CORP|INTERNATIONAL CAPITAL MANAGEMENT CORP|12001 N. CENTRAL EXPRESSWAY|SUITE 1000|DALLAS TX 75243|USA|||  ||MARYJANE ADAMS|972-387-0660|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/23/1999|0|2|0|0|0|0
Fort Worth Regional Office| 108529|801-55669|MARTIN CAPITAL ADVISORS, LLP|MARTIN CAPITAL ADVISORS, LLP|1600 VIRGINIA AVE SUITE A||AUSTIN TX 78704-1450|USA|||  ||JIM SHROPSHIRE|512 912 9978|Limited Liability Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|06/25/1998|0|0|0|0|0|0
Fort Worth Regional Office| 108541|801-57457|LEGACY CONSULTING GROUP|LEGACY CG LLC|5000 LEGACY DR., ST. #450||PLANO TX 75024|USA|||  ||STEVEN WACHS|972-599-4750|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/20/2000|0|0|0|0|0|0
Fort Worth Regional Office| 108561|801-57980|ALM FIRST FINANCIAL ADVISORS LLC|ALM FIRST FINANCIAL ADVISORS LLC|6688 N CENTRAL EXWY|SUITE 200|DALLAS TX 75206|USA|||  ||THOMAS W. MANLEY|214-987-0860|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/22/2000|0|0|0|0|0|0
Fort Worth Regional Office| 108575|801-57356|OAK RIVER FINANCIAL GROUP, INC.|OAK RIVER FINANCIAL GROUP, INC.|2911 TOCCOA||BEAUMONT TX 77703|USA|||  ||GARY FREEMAN|409-866-6529|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|03/09/2000|0|0|0|0|0|0
Fort Worth Regional Office| 108589|801-54219|AMERITRUST INVESTMENT ADVISORS INC|AMERITRUST INVESTMENT ADVISORS INC|4111 S DARLINGTON STE 450||TULSA OK 74135|USA|||  ||J. HARVIE ROE|918-610-8080|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|04/10/1997|0|0|0|0|0|0
Fort Worth Regional Office| 108610|801-56040|AEGIS ASSET MANAGEMENT INC|AEGIS ASSET MANAGEMENT INC|230 WESTCOTT, SUITE 200||HOUSTON TX 77007|USA|||  ||WILLIAM KILROY|713-863-7000|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters, Other|APPROVED|12/02/1998|0|1|0|0|0|0
Fort Worth Regional Office| 108624|801-54988|AUSTIN CAPITAL MANAGEMENT LTD|AUSTIN CAPITAL MANAGEMENT LTD|5000 PLAZA ON THE LAKE BOULEVARD SUITE 250||AUSTIN TX 78746|USA|||  ||DUANE MATTSON|512-623-3496|Partnership|Other|APPROVED|10/21/1997|0|0|0|0|0|0
Fort Worth Regional Office| 108641|801-56800|MILLENNIUM CAPITAL ADVISORS LLC|MILLENNIUM CAPITAL ADVISORS LLC|425 WEST CAPITOL|SUITE 3300|LITTLE ROCK AR 72201|USA|||  ||JAY STRICKLAND|501-374-2076|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Other|APPROVED|09/24/1999|0|2|0|0|0|0
Fort Worth Regional Office| 108704|801-56232|SEAY STEWARDSHIP & INVESTMENT CO.|SEAY STEWARDSHIP & INVESTMENT CO.|325 N. ST. PAUL STREET|SUITE 3500|DALLAS TX 75201|USA|||  ||JUDY O'POLKA|214-523-5001|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|03/09/1999|0|0|0|0|0|0
Fort Worth Regional Office| 108706|801-57693|STRATEGIC ADVISORY SERVICES, L.P.|STRATEGIC ADVISORY SERVICES, L.P.|5850 SAN FELIPE, SUITE 425||HOUSTON TX 77057|USA|||  ||SUE BERSUDER GRBAC|713-977-3800|Other (specify)|Financial planning services, Selection of other advisers|APPROVED|06/28/2000|0|0|0|0|0|0
Fort Worth Regional Office| 108789|801-54792|J.E. SIMMONS & CO., P.C.|J.E. SIMMONS & CO., P.C.|15770 N. DALLAS PARKWAY|SUITE 870|DALLAS TX 75248|USA|||  ||JANE L. STAFFORD|816-931-1800|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|08/08/1997|0|0|0|0|0|0
Fort Worth Regional Office| 108886|801-30601|FREDRIC E. RUSSELL INVESTMENT MANAGEMENT CO.|XXEC INC|1924 SOUTH UTICA AVENUE|SUITE 1202|TULSA OK 74104|USA|||  ||FREDRIC E. RUSSELL|918-743-5959|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|09/02/1987|0|0|0|0|0|0
Fort Worth Regional Office| 108916|801-54982|GOODPASTURE GRAY|GRAY, WILLIAM, LOYD, JR.|2001 KIRBY|SUITE 715|HOUSTON TX 77019|USA|||  ||WILLIAM L. GRAY, JR.|713-522-9554|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|11/07/1997|0|0|0|0|0|0
Fort Worth Regional Office| 108984|801-57474|RENCH & MUIR FINANCIAL ADVISORS INC|RENCH & MUIR FINANCIAL ADVISORS INC|2438 LILLIAN MILLER PKWY|SUITE 200|DENTON TX 76205|USA|||  ||THOMAS MUIR|940-387-7526|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/25/2000|0|0|0|0|0|0
Fort Worth Regional Office| 109080|801-55455|RICHARD P. SLAUGHTER ASSOCIATES, INC.|SLAUGHTER RICHARD P ASSOCIATES INC|9606 N. MO PAC EXPY.|SUITE 550|AUSTIN TX 78759-5964|USA|||  ||BROOKS C. SLAUGHTER|512-918-0000|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|04/20/1998|0|0|0|0|0|0
Fort Worth Regional Office| 109118|801-55519|A. MILLER INVESTMENT ADVISORS, L.P.|A. MILLER INVESTMENT ADVISORS, L.P.|310 SUL ROSS ST.||HOUSTON TX 77006|USA|||  ||ANN I. MILLER|713-238-6730|Limited Liability Partnership|Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers, Other|APPROVED|05/15/1998|0|0|0|0|0|0
Fort Worth Regional Office| 109119|801-56342|INVESTMENT & ASSET PLANNING, LLC|GARY, JORDAN CHICK|2110 KEMP BLVD||WICHITA FALLS TX 76309|USA|||  ||JORDAN GARY|940-761-2527|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|03/17/1999|0|1|0|0|0|0
Fort Worth Regional Office| 109121|801-57022|BUTLER FREEMAN TALLY FINANCIAL GROUP|BFT FINANCIAL GROUP, LLC|2312 SCHOOL LN||BEDFORD TX 76021|USA|||  ||WILDA BERRY|817 354 1090|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|11/24/1999|0|3|0|0|0|0
Fort Worth Regional Office| 109161|801-55311|RETIREMENT ASSET ADVISORY|RETIREMENT ASSET ADVISORY INC|5850 INTERSTATE 20 WEST|SUITE 200|ARLINGTON TX 76017-1071|USA|||  ||WILLIAM D. WORLEY, CPA|817 563-3400|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|03/04/1998|0|0|0|0|0|0
Fort Worth Regional Office| 109216|801-57675|GREENLEAF FINANCIAL, INC.|GREENLEAF FINANCIAL, INC.|REGIONS TOWER BLDG.|835 CENTRAL AVENUE, STE 428|HOT SPRINGS AR 71901|USA|||  ||JOE DIERKS|501-609-0172|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/22/2000|0|0|0|0|0|0
Fort Worth Regional Office| 109248|801-56278|FRISHBERG JORDAN & STEWART ADVISORS|FRISHBERG DANIEL FINANCIAL SERVICES INC|13750 SAN PEDRO AVENUE|SUITE 800|SAN ANTONIO TX 78232|USA|||  ||PAMELA CADDELL|(210) 342-6999|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|02/25/1999|0|2|2|0|0|0
Fort Worth Regional Office| 109264|801-57934|INVESCO AIM PRIVATE ASSET MANAGEMENT, INC.|INVESCO AIM PRIVATE ASSET MANAGEMENT, INC.|11 GREENWAY PLAZA|SUITE 100|HOUSTON TX 77046-1173|USA|||  ||SPILLANE, TODD L.|713-214-1271|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/08/2000|2|12|5|0|0|0
Fort Worth Regional Office| 109310|801-57598|MERIT ENERGY COMPANY|MERIT ENERGY CO|13727 NOEL ROAD|STE 500|DALLAS TX 75240|USA|||  ||TERRY D. GOTTBERG|972.628.1555|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/01/2000|0|0|0|0|0|0
Fort Worth Regional Office| 109344|801-57925|SATHER FINANCIAL GROUP, INC.|SATHER FINANCIAL GROUP, INC.|120 E. CONSTITUTION||VICTORIA TX 77901|USA|||  ||DAVID S. SATHER|361-570-1800|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|10/03/2000|0|0|0|0|0|0
Fort Worth Regional Office| 109359|801-57128|ML&R WEALTH MANAGEMENT LLC|ML & R WEALTH MANAGEMENT LLC|401 CONGRESS AVENUE|SUITE 1100|AUSTIN TX 78701|USA|||  ||ALFRED F. FREY III|512-370-3251|Limited Liability Company|Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|01/14/2000|0|0|0|0|0|0
Fort Worth Regional Office| 109386|801-56534|BARRINGTON FINANCIAL ADVISORS INC|BARRINGTON FINANCIAL ADVISORS INC|9800 RICHMOND AVE|STE 250|HOUSTON TX 77042|USA|||  ||WILLIAM C. HEATH|713-785-7100|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|05/26/1999|0|0|0|0|0|0
Fort Worth Regional Office| 109417|801-57761|INVESTEC ADVISORY GROUP, L.P.|INVESTEC ADVISORY GROUP, L.P.|1001 WEST LOOP SOUTH|SUITE 800|HOUSTON TX 77027|USA|||  ||JOHN GOOTT|713-622-9111|Partnership|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/19/2000|0|0|0|0|0|0
Fort Worth Regional Office| 109471|801-57228|CROSSVAULT CAPITAL MANAGEMENT LLC|CROSSVAULT CAPITAL MANAGEMENT LLC|7373 BROADWAY|SUITE 107|SAN ANTONIO TX 78209-3264|USA|||  ||MARILOU M. LONG|210-223-6929|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/17/2000|0|1|0|0|0|0
Fort Worth Regional Office| 109495|801-58103|ACCESS FINANCIAL RESOURCES INC.|ACCESS FINANCIAL RESOURCES INC.|3621 NW 63RD, SUITE A-1||OKLAHOMA CITY OK 73116|USA|||  ||TROY JONES|405-848-9826|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|11/07/2000|0|0|0|0|0|0
Fort Worth Regional Office| 109509|801-57797|WESTERN RESEARCH AND MANAGEMENT, L.L.C.|WESTERN RESEARCH AND MANAGEMENT, L.L.C.|1300 SOUTH UNIVERSITY DRIVE|SUITE 405|FORT WORTH TX 76107|USA|||  ||JEFF CRAWFORD|817-877-9980|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/28/2000|0|0|0|0|0|0
Fort Worth Regional Office| 109518|801-57951|ASCENSION CAPITAL ADVISORS, INC.|ASCENSION CAPITAL ADVISORS, INC.|1800 BERING|SUITE 850|HOUSTON TX 77057|USA|||  ||MILTON "CHIP" THIEL, JR.|713-952-6900|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|09/15/2000|0|0|1|0|0|0
Fort Worth Regional Office| 109558|801-54599|THE FINANCIAL ADVISORY GROUP, INC.|THE FINANCIAL ADVISORY GROUP, INC.|5599 SAN FELIPE|SUITE 900|HOUSTON TX 77056|USA|||  ||STEVEN A. ESTRIN|713-627-7660|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|06/05/1997|0|0|0|0|0|0
Fort Worth Regional Office| 109623|801-55267|HESTER CAPITAL MANAGEMENT LLC|HESTER CAPITAL MANAGEMENT LLC|1301 S. MOPAC EXPRESSWAY|SUITE 350|AUSTIN TX 78746|USA|||  ||JOY R. ROBERTS|512-474-6657|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/17/1998|0|2|0|0|0|0
Fort Worth Regional Office| 109695|801-21093|GREEN INVESTMENT MANAGEMENT INC|GREEN INVESTMENT MANAGEMENT INC|309 WEST 7TH STREET|SUITE 101|FORT WORTH TX 76102|USA|||  ||KRISTI J. HEFFRON|817-335-1178 EXT. 107|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|04/24/1984|0|1|0|0|0|0
Fort Worth Regional Office| 109706|801-32442|GARRISON ASSET MANAGEMENT, LLC|GARRISON ASSET MANAGEMENT, LLC|TWO NORTH COLLEGE||FAYETTEVILLE AR 72701|USA|||  ||GLENN E. ATKINS, CFA|479-587-1045|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/27/1988|0|0|0|0|0|0
Fort Worth Regional Office| 109806|801-56058|MANAGED FINANCIAL SERVICES CORP INC|MANAGED FINANCIAL SERVICES CORP INC|14505 TORREY CHASE BLVD|SUITE 110|HOUSTON TX 77014|USA|||  ||JOI MURPHY|281-880-7200|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|11/25/1998|1|0|0|0|0|0
Fort Worth Regional Office| 109822|801-31935|COMPREHENSIVE FINANCIAL PLANNING INC|COMPREHENSIVE FINANCIAL PLANNING INC|2919 UNITED FOUNDERS BLVD.||OKLAHOMA CITY OK 73112|USA|||  ||DAVID K. EVANS|405-879-1117|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/19/1988|0|0|0|0|0|0
Fort Worth Regional Office| 109831|801-42843|GREYLIN INVESTMENT MANAGEMENT|GREYLIN INVESTMENT MANAGEMENT INC|5068 W. PLANO PARKWAY|SUITE 277|PLANO TX 75093|USA|||  ||D. GREGORY PARKINSON|972.931.4808|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|12/09/1992|0|0|0|0|0|0
Fort Worth Regional Office| 109833|801-47327|DABNEY INVESTMENT CONSULTING ASSOCIATES INC|DABNEY INVESTMENT CONSULTING ASSOCIATES INC|1914 PORT ROYAL DRIVE||NASSAU BAY TX 77058-4220|U.S.A.|P.O. BOX 580467||HOUSTON TX 77258-0467|U.S.A.|JOSEPH T. DABNEY III|281-335-3859|Corporation|Pension consulting services, Selection of other advisers, Other|APPROVED|08/24/1994|0|0|0|0|0|0
Fort Worth Regional Office| 109854|801-55760|APS ASSET MANAGEMENT INC|APS ASSET MANAGEMENT INC|1301 CAPITAL OF TEXAS HWY|STE B-221|AUSTIN TX 78746|USA|||  ||JOHN LINDQUIST|512-314-4448|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/11/1998|0|2|0|0|0|0
Fort Worth Regional Office| 109870|801-60091|PALM BEACH CAPITAL CORPORATION|PALM BEACH CAPITAL CORPORATION|4120 ROGERS AVENUE|SUITE M-5|FORT SMITH AR 72903|USA|P. O. BOX 11851||FORT SMITH AR 72917|USA|JOHN W. TOWNSHEND|479-785-4630|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters, Other|APPROVED|06/01/2001|3|3|1|0|0|0
Fort Worth Regional Office| 109917|801-48506|BYRD CAPITAL MARKET ADVISERS INC|BYRD CAPITAL MARKET ADVISERS INC|2301 E. LAMAR BLVD.|SUITE 220|ARLINGTON TX 76006|USA|||  ||JOHN W. BYRD|817-649-0197|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/17/1995|0|1|0|0|0|0
Fort Worth Regional Office| 109934|801-38676|RTW FINANCIAL ADVISORS INC|RTW FINANCIAL ADVISORS INC|14114 DALLAS PARKWAY|SUITE 530|DALLAS TX 75254|USA|||  ||KIMBERLY O'DELL|(972) 960-1212|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/12/1991|0|1|0|0|0|0
Fort Worth Regional Office| 109995|801-56546|CARL STUART INVESTMENT ADVISOR, INC.|CARL STUART INVESTMENT ADVISOR, INC.|1301 SOUTH MOPAC EXPRESSWAY|SUITE 300|AUSTIN TX 78746|USA|||  ||LINDA HEARD|512-478-2275|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|05/24/1999|0|1|0|0|0|0
Fort Worth Regional Office| 110038|801-57962|BEACON FINANCIAL GROUP|BEACON RETIREMENT PLANNING SERVICES INC.|17300 PRESTON RD, SUITE 120E|ATTN;C/O MINDY LEA KIRBY|DALLAS TX 75252-5654|USA|||  ||MINDY LEA KIRBY|972-726-9888|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|09/15/2000|0|2|0|0|0|0
Fort Worth Regional Office| 110055|801-36895|TAYLOR STEPHENS, INC.|TAYLOR STEPHENS INC|12720 HILLCREST RD|SUITE 810|DALLAS TX 75230|USA|||  ||WILLIAM K. BRINSON|972-991-1181|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/15/1990|0|0|1|0|0|0
Fort Worth Regional Office| 110059|801-21569|L. COOPER INVESTMENTS|COOPER LARRY CLARK|126 EL RANCHO WAY||SAN ANTONIO TX 78209|USA|||  ||LARRY C. COOPER|210-828-9479|Sole Proprietorship|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/29/1984|0|0|0|0|0|0
Fort Worth Regional Office| 110080|801-35811|HODGES CAPITAL MANAGEMENT INC|HODGES CAPITAL MANAGEMENT INC|2905 MAPLE AVE||DALLAS TX 75201|USA|||  ||CAMILLE HODGES HAYS|888-878-4426|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/05/1990|0|0|0|0|0|0
Fort Worth Regional Office| 110093|801-14458|LUTHER KING CAPITAL MANAGEMENT CORPORATION|LUTHER KING CAPITAL MANAGEMENT CORPORATION|301 COMMERCE ST|SUITE 1600|FORT WORTH TX 76102|USA|||  ||JACOB DANIEL SMITH|817-332-3235|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|03/15/1979|0|0|0|0|0|0
Fort Worth Regional Office| 110107|801-57482|KERNS CAPITAL MANAGEMENT, INC.|KERNS CAPITAL MANAGEMENT, INC.|GALLERIA FINANCIAL CENTER|5075 WESTHEIMER, SUITE 1177|HOUSTON TX 77056|USA|||  ||MARTIN LANE KERNS, SR.|(713) 993-0949|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Publication of periodicals or newsletters|APPROVED|08/07/2000|0|1|0|0|0|0
Fort Worth Regional Office| 110126|801-54874|HIGHLAND CAPITAL MANAGEMENT, L.P.|HIGHLAND CAPITAL MANAGEMENT, L.P.|13455 NOEL RD|SUITE 800|DALLAS TX 75240|USA|||  ||MICHAEL COLVIN|972-628-4100|Other (specify)|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|09/12/1997|0|0|1|0|0|0
Fort Worth Regional Office| 110156|801-58278|ROBINSON & WILKES, LTD.|ROBINSON & WILKES, LTD.|14800 SAN PEDRO AVE., SUITE 114||SAN ANTONIO TX 78232-3733|USA|||  ||J. MICHAEL WILKES|210-490-2545|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|01/08/2001|0|0|0|0|0|0
Fort Worth Regional Office| 110216|801-13452|MERIDIAN INVESTMENT ADVISORS|MERIDIAN MANAGEMENT CO|11300 CANTRELL ROAD|SUITE 200|LITTLE ROCK AR 72212|USA|||  ||DIANA HINOJOSA|501-663-7055|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/14/1977|0|0|0|0|0|0
Fort Worth Regional Office| 110269|801-18727|WESTWOOD MANAGEMENT CORP|WESTWOOD MANAGEMENT CORP|200 CRESCENT COURT|SUITE 1200|DALLAS TX 75201|USA|||  ||SYLVIA FRY|214-756-6981|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/11/1983|0|1|0|0|0|0
Fort Worth Regional Office| 110270|801-30367|FINANCIAL MANAGEMENT PROFESSIONALS INC|FINANCIAL MANAGEMENT PROFESSIONALS INC|6034 WEST COURTYARD DRIVE|SUITE 380|AUSTIN TX 78730|USA|||  ||H. MILTON HIXSON|512-329-5174|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Market timing services|APPROVED|08/17/1987|0|0|0|0|0|0
Fort Worth Regional Office| 110274|801-13458|GERALD L. RAY & ASSOCIATES, LTD.|GERALD L. RAY & ASSOCIATES, LTD.|1445 ROSS AVENUE, SUITE 5600||DALLAS TX 75202|USA|||  ||ROSE M. PASILLAS|214-954-1900|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/09/1977|0|0|0|0|0|0
Fort Worth Regional Office| 110287|801-49627|GARVER CAPITAL GROUP INC|GARVER CAPITAL GROUP INC|1540 WATERSIDE COURT||DALLAS TX 75218|USA|||  ||RICHARD L. GARVER|214 320 8880|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/13/1995|0|1|0|0|0|0
Fort Worth Regional Office| 110292|801-52530|RUSHMORE INVESTMENT ADVISORS INC|RUSHMORE INVESTMENT ADVISORS INC|4965 PRESTON PARK BLVD.|SUITE 350 E|PLANO TX 75093|USA|||  ||BRITON C. CHAMBERLAIN|972-599-9550|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|07/29/1996|0|0|0|0|0|0
Fort Worth Regional Office| 110379|801-17703|GREENWOOD & ASSOCIATES INC|M.A. GREENWOOD & ASSOCIATES INC|26 E CENTER ST||FAYETTEVILLE AR 72701|USA|POST OFFICE BOX 4278||FAYETTEVILLE AR 72702|USA|CHRIS D. MITCHELL|479-521-5353|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|09/30/1982|0|0|0|0|0|0
Fort Worth Regional Office| 110392|801-10203|COLUMBIA FINANCIAL ADVISORS INC|COLUMBIA FINANCIAL ADVISORS INC|12 E. GREENWAY PLAZA STE 700||HOUSTON TX 77046-1292|USA|||  ||HAROLD S. GOLDSTEIN|713-629-7007|Corporation|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|09/08/1974|0|0|0|0|0|0
Fort Worth Regional Office| 110395|801-51102|STRATEGIC INVESTMENT COUNSEL CORP|STRATEGIC INVESTMENT COUNSEL CORP|9405 MERCER DR||DALLAS TX 75228|USA|P. O. BOX 180241||DALLAS TX 75218-0241|USA|LINDA J. HENDERSON|(214) 328-2400|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|01/25/1996|0|0|0|0|0|0
Fort Worth Regional Office| 110417|801-13038|PENN DAVIS MCFARLAND INC|PENN DAVIS MCFARLAND INC|2626 COLE AVE STE 504||DALLAS TX 75204|USA|||  ||JOHN S. MCFARLAND|(214) 871-2772|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|05/12/1977|0|0|0|0|0|0
Fort Worth Regional Office| 110430|801-36925|FRONTIER INVESTMENT MANAGEMENT CO|FRONTIER INVESTMENT MANAGEMENT CO.|8401 N. CENTRAL EXPWY|STE 645, LB 31|DALLAS TX 75225|USA|||  ||RICHARD G. SOWDEN|972.934.2590|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/06/1990|0|0|0|0|0|0
Fort Worth Regional Office| 110476|801-56131|STAVIS MARGOLIS ADVISORY SERVICES INC|STAVIS MARGOLIS ADVISORY SERVICES INC|1300 POST OAK BLVD STE 1500||HOUSTON TX 77056-3093|USA|||  ||PLESHETTA LOFTIN|832-204-1676|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/07/1999|0|9|1|0|0|0
Fort Worth Regional Office| 110494|801-52693|MONUMENT INVESTMENTS INC.|MONUMENT INVESTMENTS INC.|3198 ROYAL LANE, SUITE 211||DALLAS TX 75229|USA|||  ||JAY PAUL HAMILTON|214-360-9360|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|08/20/1996|0|0|0|0|0|0
Fort Worth Regional Office| 110557|801-31827|DIESSLIN & ASSOCIATES INC|DIESSLIN & ASSOCIATES INC|303 MAIN STREET|SECOND FLOOR|FORT WORTH TX 76102|USA|||  ||BARBARA E. SHIELDS|817-332-6122|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|04/28/1988|0|0|0|0|0|0
Fort Worth Regional Office| 110564|801-50336|THE RUBEN E. GUERRA COMPANY, LLC|THE RUBEN E. GUERRA COMPANY, LLC|5845 CROMO|SUITE 1|EL PASO TX 79912|USA|||  ||RUBEN E. GUERRA|915-760-5551|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|10/10/1995|0|0|0|0|0|0
Fort Worth Regional Office| 110658|801-20514|FCA CORP|FCA CORP|5847 SAN FELIPE|SUITE 850|HOUSTON TX 77057-3008|USA|||  ||RUTH WILLARS|713-260-1431|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/13/1984|0|1|0|0|0|0
Fort Worth Regional Office| 110705|801-53391|HUBER, CARDONO, MORING & RICHTER, L.P.|HUBER, CARDONO, MORING & RICHTER, L.P.|3700 BUFFALO SPEEDWAY|SUITE 420|HOUSTON TX 77098|USA|||  ||WILLIAM A. RICHTER|713-626-5800|Other (specify)|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|12/12/1996|0|1|0|0|0|0
Fort Worth Regional Office| 110732|801-32548|NETTING & PACE, INCORPORATED|NETTING & PACE, INCORPORATED|7373 BROADWAY, SUITE 400||SAN ANTONIO TX 78209-3219|USA|||  ||MICHELLE R. SCARVER|210-738-3888|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|09/01/1988|0|0|0|0|0|0
Fort Worth Regional Office| 110735|801-46437|PATTERSON & ASSOCIATES|PATTERSON CAPITAL MANAGEMENT LP|301 CONGRESS AVENUE SUITE 570||AUSTIN TX 78701|USA|||  ||LINDA THOMSON PATTERSON|512-320-5042|Partnership|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|05/06/1994|0|0|0|0|0|0
Fort Worth Regional Office| 110760|801-40189|FIRST SOUTHWEST ASSET MANAGEMENT INC|FIRST SOUTHWEST ASSET MANAGEMENT INC|325 N. ST. PAUL STREET|SUITE 800|DALLAS TX 75201|USA|||  ||DONALD F. FOLEY, JR.|214-953-4053|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|12/17/1991|0|2|0|0|0|0
Fort Worth Regional Office| 110774|801-60138|CAVANAL HILL INVESTMENT MANAGEMENT, INC.|CAVANAL HILL INVESTMENT MANAGEMENT, INC.|ONE WILLIAMS CENTER|15TH FLOOR|TULSA OK 74172-0172|USA|||  ||KRISTIN L. WALTERS|918-588-6871|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/19/2001|1|3|0|0|0|0
Fort Worth Regional Office| 110884|801-63552|ARGENTA WEALTH MANAGEMENT|GAUDIN AND ASSOCIATES, INC.|401 MAIN STREET|SUITE 202|NORTH LITTLE ROCK AR 72114|USA|||  ||MATTHEW HARRIS|(501)225-5600|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|09/15/2004|0|0|0|0|0|0
Fort Worth Regional Office| 110889|801-58008|MONTAUK ADVISORS, LLC|MONTAUK ADVISORS, LLC|4514 COLE AVE., SUITE 600||DALLAS TX 75205|USA|||  ||BRIAN M. SMITH|214-559-7129|Limited Liability Company|Other|APPROVED|10/13/2000|0|0|0|0|0|0
Fort Worth Regional Office| 110949|801-60054|MILLER-GREEN FINANCIAL SERVICES, INC|MILLER-GREEN FINANCIAL SERVICES, INC|12941 NORTH FREEWAY, SUITE 633||HOUSTON TX 77060|USA|||  ||DON GILBERT|281-872-5300|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Publication of periodicals or newsletters, Other|APPROVED|03/13/2001|0|1|0|0|0|0
Fort Worth Regional Office| 110972|801-24481|FIRST INVESTMENT CORPORATION|FIRST INVESTMENT CORPORATION|309 SE FRANK PHILLIPS BLVD.||BARTLESVILLE OK 74003|USA|P.O. BOX 2246||BARTLESVILLE OK 74005-2246|USA|CHERYL GREEN|918-337-2045|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|06/28/1985|0|0|0|0|0|0
Fort Worth Regional Office| 111043|801-45068|KNIGHTSBRIDGE ADVISERS LLC|KNIGHTSBRIDGE ADVISERS LLC|122 SW FRANK PHILLIPS BOULEVARD||BARTLESVILLE OK 74003|USA|||  ||ELLEN HEALD|918 336-0978|Limited Liability Company|Other|APPROVED|11/02/1993|0|0|0|0|0|0
Fort Worth Regional Office| 111097|801-4868|U.S. GLOBAL INVESTORS, INC.|U.S. GLOBAL INVESTORS, INC.|7900 CALLAGHAN ROAD||SAN ANTONIO TX 78229|USA|||  ||SUSAN B. MCGEE|210-308-1234|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/16/1968|0|0|0|0|0|0
Fort Worth Regional Office| 111102|801-31952|BARNETT INVESTMENTS INC|BARNETT INVESTMENTS INC|401 S DEWEY STE 204||BARTLESVILLE OK 74003|USA|||  ||GERALD R BARNETT|918-337-0299|Corporation|Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|05/27/1988|0|0|0|0|0|0
Fort Worth Regional Office| 111133|801-41517|1ST GLOBAL ADVISORS INC|1ST GLOBAL ADVISORS INC|8150 N. CENTRAL EXPRESSWAY|STE 500|DALLAS TX 75206|USA|||  ||MICHAEL PAGANO|214-265-1201|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/19/1992|0|6|1|0|0|0
Fort Worth Regional Office| 111164|801-48364|FOUNDERS CAPITAL MANAGEMENT INC|FOUNDERS CAPITAL MANAGEMENT INC|4400 POST OAK PARKWAY|SUITE 2150|HOUSTON TX 77027-3416|USA|||  ||GRANT E. BUCE|(713) 877-1188|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|01/31/1995|0|0|0|0|0|0
Fort Worth Regional Office| 111228|801-60177|THE LIFE MANAGEMENT GROUP|WEALTH PLANNING & MANAGEMENT, INC.|3050 POST OAK BLVD.|SUITE 110|HOUSTON TX 77056|UNITED STATES|||  ||G. MICHAEL BEDUZE|713-961-1999|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Market timing services, Other|APPROVED|04/06/2001|0|0|0|0|0|0
Fort Worth Regional Office| 111309|801-56554|ASSET MANAGEMENT ADVISORS, LLC|ASSET MANAGEMENT ADVISORS, LLC|6307 WATERFORD BLVD.|SUITE 200|OKLAHOMA CITY OK 73118|USA|||  ||SCOTT G. DAVIS|405-842-1881|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/26/1999|0|0|0|0|0|0
Fort Worth Regional Office| 111409|801-57706|OPTIMA CAPITAL MANAGEMENT, INC.|OPTIMA CAPITAL MANAGEMENT INC|19134 STONE OAK PARKWAY|SUITE 200|SAN ANTONIO TX 78258|USA|||  ||LUIS MONTES DE OCA|210-497-4488|Corporation|Portfolio management for individuals and/or small businesses, Other|APPROVED|07/05/2000|0|0|0|0|0|0
Fort Worth Regional Office| 111423|801-57208|LEGACY ASSET MANAGEMENT, INC.|LEGACY ASSET MANAGEMENT, INC.|1800 WEST LOOP SOUTH|SUITE 1790|HOUSTON TX 77027|USA|||  ||RICHARD E. KAPLAN|713-355-7171|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|02/25/2000|0|0|0|0|0|0
Fort Worth Regional Office| 111441|801-44394|BRIDGEWAY CAPITAL MANAGEMENT INC|BRIDGEWAY CAPITAL MANAGEMENT INC|5615 KIRBY DRIVE|STE 518|HOUSTON TX 77005-2448|USA|||  ||LETTY WANZONG|832-204-8131|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/02/1993|0|1|0|0|0|0
Fort Worth Regional Office| 111462|801-18198|INVESTORS ASSET MANAGEMENT, INC.|INVESTORS ASSET MANAGEMENT, INC.|5045 LORIMAR DRIVE|SUITE 200|PLANO TX 75093|USA|||  ||RICHARD C. ERWIN|972.985.7162|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/11/1983|0|0|0|0|0|0
Fort Worth Regional Office| 111507|801-45317|GANUCHEAU CAPITAL MANAGEMENT, INC.|GANUCHEAU CAPITAL MANAGEMENT, INC.|301 COMMERCE STREET, SUITE 1470||FORT WORTH TX 76102|USA|||  ||JENNA L. MCGILL|817 332-9915|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/08/1993|0|0|0|0|0|0
Fort Worth Regional Office| 111521|801-39899|CAIN, WATTERS & ASSOCIATES, P.L.L.C.|CAIN, WATTERS & ASSOCIATES, P.L.L.C.|5580 PETERSON LANE|SUITE 250|DALLAS TX 75240|USA|||  ||GARY MOORE|972-233-3323|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|09/30/1991|0|0|0|0|0|0
Fort Worth Regional Office| 111576|801-60539|FLOYD CAPITAL MANAGEMENT|FLOYD, BENJAMIN JOSEPH|4612 SUMMERHILL ROAD||TEXARKANA TX 75503|USA|||  ||BEN FLOYD|903-794-2704|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|08/31/2001|0|0|0|0|0|0
Fort Worth Regional Office| 111595|801-58252|GRUNDEN FINANCIAL ADVISORY, INC.|GRUNDEN FINANCIAL ADVISORY, INC.|2516 LILLIAN MILLER PARKWAY|SUITE 110|DENTON TX 76210|U.S.A.|2516 LILLIAN MILLER PKWY.|SUITE 110|DENTON TX 76210|U.S.A.|CHRISTEN GRUNDEN|940-591-9007|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|12/29/2000|0|0|0|0|0|0
Fort Worth Regional Office| 111610|801-55234|KELLER & ASSOCIATES CPAS|KELLER THOMAS LANE|101 SOUTH MAIN ST. SUITE 300||VICTORIA TX 77901-8142|USA|P.O. BOX 2549||VICTORIA TX 77902-2549||PHYLLIS P. KELLER|361 573-4383|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/06/1998|0|0|0|0|0|0
Fort Worth Regional Office| 111660|801-56324|PARAGON FINANCIAL GROUP|PARAGON FINANCIAL GROUP, LLC|9309 S. TOLEDO|SUITE B|TULSA OK 74137|USA|||  ||VALERIE LYNCH|918-481-5797|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|03/04/1999|0|0|0|0|0|0
Fort Worth Regional Office| 111688|801-58260|BIVIN & ASSOCIATES, INC.|BIVIN & ASSOCIATES, INC.|412 S. 14TH||PONCA CITY OK 74601|USA|P.O. BOX 510||PONCA CITY OK 74602-0510|USA|JULIE D. BROWN|580-762-1121|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/08/2001|0|0|0|0|0|0
Fort Worth Regional Office| 111695|801-61363|MIAI, INC.|MIAI, INC.|8750 N. CENTRAL EXPRESSWAY|SUITE 715|DALLAS TX 75231|USA|||  ||DANIEL C. DOOLEY|214-739-5677|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/02/2002|0|0|0|0|0|0
Fort Worth Regional Office| 111779|801-62962|CRIMSON MANAGEMENT|PUTTERMAN, DEAN ELIOT|99 DETERING, SUITE 140||HOUSTON TX 77007|USA|P.O. BOX 272964||HOUSTON TX 77277-2964|UNITED STATES|DEAN PUTTERMAN|713-525-1520|Sole Proprietorship|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|04/08/2004|0|0|0|0|0|0
Fort Worth Regional Office| 111838|801-57641|TOLLESON PRIVATE WEALTH MANAGEMENT|TOLLESON PRIVATE WEALTH MANAGEMENT, LP|5500 PRESTON ROAD STE 250||DALLAS TX 75205|USA|||  ||ERIC WAYNE BENNETT|214-252-3263|Partnership|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|05/26/2000|0|0|0|0|0|0
Fort Worth Regional Office| 111911|801-14063|FRIEDBERG INVESTMENT MANAGEMENT, INC.|FRIEDBERG INVESTMENT MANAGEMENT, INC.|1717 ST. JAMES PLACE|SUITE 675|HOUSTON TX 77056-3474|USA|||  ||JEFFREY FRIEDBERG|713-622-2332|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|09/29/1978|0|0|0|0|0|0
Fort Worth Regional Office| 111913|801-33181|HUTCHINSON FINANCIAL, INC.|HUTCHINSON FINANCIAL, INC.|12511 CANTRELL ROAD||LITTLE ROCK AR 72223|USA|||  ||ROSE STONE|501-223-9190|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|10/28/1988|0|0|0|0|0|0
Fort Worth Regional Office| 111949|801-64251|ADVANCED FINANCIAL PLANNING, L.P.|ADVANCED FINANCIAL PLANNING, L.P.|1720 OAK VILLAGE BLVD. SUITE 100||ARLINGTON TX 76017|USA|||  ||VANCE D. LOWE|817-468-3388|Other (specify)|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Publication of periodicals or newsletters, Market timing services|APPROVED|05/19/2005|0|0|0|0|0|0
Fort Worth Regional Office| 112149|801-60302|QUANTLAB CAPITAL MANAGEMENT, LTD.|QUANTLAB CAPITAL MANAGEMENT, LTD.|4200 MONTROSE BOULEVARD|SUITE 200|HOUSTON TX 77006|USA|||  ||MARK F. HANSEN|(713) 333-5445|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|05/24/2001|0|0|0|0|0|0
Fort Worth Regional Office| 112178|801-68514|PERSONAL MONEY PLANNING|GARY WILLIAM SILVERMAN|4245 KEMP BLVD SUITE 806||WICHITA FALLS TX 76308|USA|||  ||GARY SILVERMAN|940-692-6885|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|11/21/2007|0|0|0|0|0|0
Fort Worth Regional Office| 112188|801-58167|SOUTH TEXAS MONEY MANAGEMENT, LTD.|SOUTH TEXAS MONEY MANAGEMENT, LTD.|100 W. OLMOS DR. STE 101||SAN ANTONIO TX 78212|USA|||  ||JEANIE WYATT|210-824-8916|Partnership|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/22/2000|0|0|0|0|0|0
Fort Worth Regional Office| 112232|801-60519|DAVIDSON CAPITAL MANAGEMENT, INC|DAVIDSON CAPITAL MANAGEMENT, INC.|5656 SOUTH STAPLES, SUITE 222||CORPUS CHRISTI TX 78411|USA|P.O. BOX 270306||CORPUS CHRISTI TX 78427|USA|W. JEFFREY DAVIDSON|(361)906-0070|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/29/2001|0|0|0|0|0|0
Fort Worth Regional Office| 112248|801-56508|GERALD BAKER FINANCIAL GROUP, L.L.C.DBA BAKER FINANCIAL SERVICES|GERALD BAKER FINANCIAL GROUP, L.L.C.DBA BAKER FINANCIAL SERVICES|1415 WEST RANDOL MILL RD.||ARLINGTON TX 76012|USA|P.O. BOX 120427||ARLINGTON TX 76012|USA|GERALD BAKER|817-861-7099|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/20/1999|0|0|0|0|0|0
Fort Worth Regional Office| 112251|801-57931|TRAVIS STREET ADVISORS|TRAVIS STREET ADVISORS, L.L.C.|3500 OAK LAWN AVENUE|SUITE 240|DALLAS TX 75219|USA|||  ||RAYNELLE HAND THOMPSON|214-303-1828|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Publication of periodicals or newsletters|APPROVED|09/05/2000|0|0|0|0|0|0
Fort Worth Regional Office| 112258|801-43016|LARRY THOMPSON & ASSOCIATES, INC.|LARRY THOMPSON & ASSOCIATES, INC.|3500 OAK LAWN AVENUE|SUITE 240|DALLAS TX 75219|USA|||  ||RAYNELLE HAND THOMPSON|214-752-5430|Corporation|Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters, Other|APPROVED|01/21/1993|0|0|0|0|0|0
Fort Worth Regional Office| 112278|801-55771|CORNERSTONE FINANCIAL SERVICES INC|CORNERSTONE FINANCIAL SERVICES INC|14901 QUORUM DRIVE|SUITE 785|DALLAS TX 75254|USA|||  ||DAVID MCCORD|972-241-7107|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters, Market timing services|APPROVED|08/16/1998|0|1|0|0|0|0
Fort Worth Regional Office| 112308|801-14809|CENTURY MANAGEMENT|VAN DEN BERG MANAGEMENT, INC. I|805 LAS CIMAS PARKWAY|SUITE 430|AUSTIN TX 78746|USA|||  ||DAVID VANCE SWANN|(800) 664-4888|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|09/13/1979|0|0|0|0|0|0
Fort Worth Regional Office| 112319|801-60303|GUIDESTONE CAPITAL MANAGEMENT|GUIDESTONE CAPITAL MANAGEMENT|2401 CEDAR SPRINGS RD.||DALLAS TX 75201-1498|USA|||  ||PATTY WEILAND|214-720-1171|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/29/2001|0|0|0|0|0|0
Fort Worth Regional Office| 112390|801-36148|INVESTORS TRUST INC|INVESTORS TRUST INC|9220 RESTLAND RD||DALLAS TX 75243|USA|P.O. BOX 829000||DALLAS TX 75382-9000|USA|BARBARA E. BELLAH|(972) 470-5775|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/13/1990|0|0|4|0|0|0
Fort Worth Regional Office| 112486|801-60648|INVESTMENT ADVISORY SERVICES, INC|INVESTMENT ADVISORY SERVICES, INC|1610 WOODSTEAD COURT, SUITE 175||THE WOODLANDS TX 77380|USA|||  ||KENT SAMUEL|(281) 364-0606|Corporation|Portfolio management for individuals and/or small businesses, Other|APPROVED|10/19/2001|0|0|0|0|0|0
Fort Worth Regional Office| 112497|801-24795|CHILTON CAPITAL MANAGEMENT ADVISORS INC.|CHILTON CAPITAL MANAGEMENT ADVISORS INC.|1177 WEST LOOP SOUTH|SUITE 1310|HOUSTON TX 77027|USA|||  ||FLORENCE CARLTON|(713) 650-1995|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/29/1985|0|0|0|0|0|0
Fort Worth Regional Office| 112556|801-60244|AVALON ADVISORS LLC|AVALON ADVISORS LLC|717 TEXAS AVE., SUITE 3000||HOUSTON TX 77002|U.S.A.|||  ||GARY T. BONNER|713-238-2050|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/04/2001|0|0|0|0|0|0
Fort Worth Regional Office| 112629|801-60265|PARKWAY ADVISORS, L.P.|PARKWAY ADVISORS, L.P.|6550 DIRECTORS PARKWAY||ABILENE TX 79606-5854|USA|P. O. BOX 5225||ABILENE TX 79608|USA|CARL C. PETERSON|325-795-2111|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|05/16/2001|0|0|0|0|0|0
Fort Worth Regional Office| 112641|801-57471|LUCIEN STIRLING & GRAY ADVISORY GROUP INC|LUCIEN STIRLING & GRAY ADVISORY GROUP INC|4005 GUADALUPE ST.||AUSTIN TX 78751|USA|||  ||WALTER L. WILSON, III|512-458-2517|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|04/20/2000|0|0|0|0|0|0
Fort Worth Regional Office| 112685|801-60365|TCG ADVISORS, LP|TOTAL COMPENSATION GROUP INVESTMENT ADVISORY SERVICES, LP|4201 BEE CAVES RD. #C-101||AUSTIN TX 78746|USA|||  ||DAVID ALLEN|512-306-9939|Partnership|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|06/29/2001|0|0|0|0|0|0
Fort Worth Regional Office| 112786|801-57566|PARTNERSINWEALTH, INC|PARTNERSINWEALTH, INC|3400 BISSONNET STE 145||HOUSTON TX 77005-2153|USA|||  ||SABINA K. GARTLER|713-964-4028|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Publication of periodicals or newsletters|APPROVED|05/05/2000|0|0|0|0|0|0
Fort Worth Regional Office| 113091|801-60325|SUMMA CORP.|SUMMA CORP.|10003 WOODLOCH FOREST DRIVE|SUITE 220|THE WOODLANDS TX 77380|U.S.A.|||  ||MARIA L. BERNALDO DE QUIROS|281-362-9977|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|06/01/2001|0|0|0|0|0|0
Fort Worth Regional Office| 113109|801-61532|SUNPORT CAPITAL, LLC|SUNPORT CAPITAL, LLC|70 NE LOOP 410|SUITE 520|SAN ANTONIO TX 78216|USA|||  ||IGNACIO J. SUNDERLAND|210-524-4550|Limited Liability Company|Portfolio management for individuals and/or small businesses, Other|APPROVED|10/15/2002|0|0|0|0|0|0
Fort Worth Regional Office| 113360|801-17695|CAPSTONE ASSET MANAGEMENT COMPANY|CAPSTONE ASSET MANAGEMENT COMPANY|5847 SAN FELIPE|STE 4100|HOUSTON TX 77057-3266|USA|||  ||RICHARD A. NUNN|713-260-9000 X6730|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/26/1982|0|1|0|0|0|0
Fort Worth Regional Office| 113492|801-58254|PLAN AHEAD, INC.|PLAN AHEAD, INC.|400 PINE STREET, SUITE 1050||ABILENE TX 79601|USA|||  ||PAUL SCHNITMAN|325-672-7212|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/09/2001|0|0|0|0|0|0
Fort Worth Regional Office| 113510|801-67669|PAULEY FINANCIAL SERVICES, INC.|PAULEY FINANCIAL SERVICES, INC.|4001 SABLE OAKS DR.||ROUND ROCK TX 78664|USA|||  ||DOUG PAULEY|512-773-6844|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|03/23/2007|0|0|0|0|0|0
Fort Worth Regional Office| 113592|801-60959|CAIN CAPITAL L.L.C.|CAIN CAPITAL L.L.C.|100 CRESCENT COURT|SUITE 200|DALLAS TX 75201|USA|||  ||ANGIE CARLSON|214-720-9561|Limited Liability Company|Portfolio management for individuals and/or small businesses, Other|APPROVED|02/25/2002|0|0|0|0|0|0
Fort Worth Regional Office| 113665|801-64163|WRWCO, LLC|WRWCO, LLC|5013 HAPPY HOLLOW ST.||HOUSTON TX 77018-1230|USA|P O BOX 925798||HOUSTON TX 77292-5798|USA|WILLIAM R. WILLIAMS|713-681-9305|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/22/2005|0|0|0|0|0|0
Fort Worth Regional Office| 113798|801-68401|ACCESS FINANCIAL GROUP, INC.|ACCESS FINANCIAL GROUP, INC.|6632 NW 39TH EXPRESSWAY||BETHANY OK 73008|USA|||  ||JOHN G. GILLESPIE|405-491-0235|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|09/28/2007|0|0|0|0|0|0
Fort Worth Regional Office| 113854|801-6082|BRIGGS MANAGEMENT & RESEARCH CO.|BRIGGS MANAGEMENT & RESEARCH CO.|1000 MAIN STREET|SUITE 2560|HOUSTON TX 77002|USA|||  ||GEORGE C BRIGGS|713-651-1589|Corporation|Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters, Other|APPROVED|10/24/1969|0|0|0|0|0|0
Fort Worth Regional Office| 113931|801-60606|CAZ INVESTMENTS L.P.|CAZ INVESTMENTS L.P.|ONE RIVERWAY|SUITE 2000|HOUSTON TX 77056|U.S.A.|||  ||CHRISTOPHER A. ZOOK|713-403-8250|Partnership|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|09/27/2001|0|1|0|0|0|0
Fort Worth Regional Office| 114058|801-61981|CALLAHAN, LEIGHTON & CO., LLC|CALLAHAN, LEIGHTON & CO., LLC|3555 TIMMONS LANE|SUITE 600|HOUSTON TX 77027|USA|||  ||WILLIAM R. LEIGHTON|713-572-3366|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|04/25/2003|0|0|0|0|0|0
Fort Worth Regional Office| 114097|801-60421|GLASS MANAGEMENT COMPANY|GLASS MANAGEMENT COMPANY|1250 NE LOOP 410|SUITE 333|SAN ANTONIO TX 78209-1544|USA|||  ||STEPHEN B WILDE|210-930-5141|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/19/2001|0|0|0|0|0|0
Fort Worth Regional Office| 114102|801-61731|HORIZON ADVISORS, LLC|HORIZON ADVISORS, LLC|5851 SAN FELIPE, SUITE 700||HOUSTON TX 77057|USA|||  ||LARRY MADDOX|713.748.7000|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|01/15/2003|0|0|0|0|0|0
Fort Worth Regional Office| 114152|801-67917|CROSS FINANCIAL SERVICES CORPORATION|CROSS FINANCIAL SERVICES CORPORATION|200 CONCORD PLAZA|SUITE 720|SAN ANTONIO TX 78216|USA|||  ||LISA ZUNIGA MARTINEZ|(210) 821-6499|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|05/11/2007|0|0|0|0|0|0
Fort Worth Regional Office| 114193|801-66485|JONES VILLALTA ASSET MANAGEMENT, LLC|JONES VILLALTA ASSET MANAGEMENT, LLC|805 LAS CIMAS PARKWAY|SUITE 125|AUSTIN TX 78746|USA|||  ||THOMAS VILLALTA|512-494-1174|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|03/28/2006|0|0|0|0|0|0
Fort Worth Regional Office| 114196|801-64477|DREHER COMPANY|DREHER COMPANY INC.|517 W. TWOHIG AVENUE||SAN ANGELO TX 76903|USA|||  ||SCOTT MARLAR|(325)486-8600|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|07/15/2005|0|0|0|0|0|0
Fort Worth Regional Office| 114213|801-64136|PARKER FINANCIAL ADVISORS|C.L. PARKER, INC.|14825 SAINT MARY'S LANE|SUITE 250|HOUSTON TX 77079-2991|USA|||  ||CHARLES L. PARKER, JR.|832-476-3495|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/14/2005|0|0|0|0|0|0
Fort Worth Regional Office| 114219|801-63219|VOGEL FINANCIAL ADVISORS, LLC|VOGEL FINANCIAL ADVISORS, LLC|12400 COIT ROAD|SUITE 1000|DALLAS TX 75251|USA|||  ||MIKE BUSCH|214-346-5880|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|06/04/2004|0|0|0|0|0|0
Fort Worth Regional Office| 114222|801-62572|DISCOVERY MANAGEMENT, LTD.|DISCOVERY MANAGEMENT, LTD.|100 CRESCENT COURT|SUITE 1150|DALLAS TX 75201|USA|||  ||STEPHEN J. SUMMERS|(214) 880-4602|Partnership|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/09/2004|0|0|0|0|0|0
Fort Worth Regional Office| 114236|801-67128|VALUED RETIREMENTS|VALUED RETIREMENTS, INC.|710 NORTH POST OAK ROAD|SUITE 420|HOUSTON TX 77024-3894|USA|||  ||ALFRED MARSH SANDERS, JR.|713-821-3242|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|09/08/2006|0|0|0|0|0|0
Fort Worth Regional Office| 114247|801-63372|TEXAN CAPITAL|TEXAN CAPITAL MANAGEMENT, INC.|520 POST OAK BLVD|SUITE 777|HOUSTON TX 77027-9479|USA|||  ||JULIA J. CAUTHORN|(713) 965-0300|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/30/2004|0|1|0|0|0|0
Fort Worth Regional Office| 114258|801-67670|FINANCIAL GROUP INVESTMENT ADVISORS|PHIL DWAYNE WHEAT|6401 SOUTH CUSTER ROAD SUITE 2000||MCKINNEY TX 75070|USA|||  ||PHIL WHEAT|972 569-8585|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|03/23/2007|0|0|0|0|0|0
Fort Worth Regional Office| 114259|801-66079|BELL FINANCIAL PLANNING|BELL FINANCIAL PLANNING CO.|2901 BEE CAVE ROAD BOX F||AUSTIN TX 78746|USA|||  ||COLIN A. BELL|(512)347-9500|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/26/2006|0|0|0|0|0|0
Fort Worth Regional Office| 114263|801-63337|THE GARDNER GROUP|GREGORY D. GARDNER, CFP|5910 NORTH CENTRAL EXPWY|SUITE 1090|DALLAS TX 75206|USA|||  ||GREGORY D. GARDNER|214-706-4369|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/29/2004|0|0|0|0|0|0
Fort Worth Regional Office| 114269|801-62800|EMBER L. FLACK, JD, CFP, CLU, CHFC|FLACK, EMBER LOUISE|10831 STONE CANYON ROAD||DALLAS TX 75230|USA|||  ||EMBER L. FLACK|214-373-4781|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/13/2004|0|0|0|0|0|0
Fort Worth Regional Office| 114276|801-61800|LIFEWAY FINANCIAL CORPORATION|LIFEWAY FINANCIAL CORPORATION|ONE LEGACY TOWN CENTER|7160 DALLAS PARKWAY, SUITE 520|PLANO TX 75024|USA|||  ||DAVID T. BRUNSON|(972)378-3744|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/20/2003|0|1|0|0|0|0
Fort Worth Regional Office| 114287|801-69007|BONNER & SMITH, LLC|BONNER & SMITH, LLC|5807 63RD STREET, SUITE 300||LUBBOCK TX 79424|USA|||  ||RAYMOND KEITH BONNER|806-798-1880|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/02/2008|0|0|0|0|0|0
Fort Worth Regional Office| 114305|801-61611|KENJOL CAPITAL MANAGEMENT|KENJOL CAPITAL MANAGEMENT, LLC|4201 W. PARMER LANE|SUITE A250|AUSTIN TX 78727|USA|P.O. BOX 203873||AUSTIN TX 78720|US|KENNETH JOSEPH LANDGRAF|512-506-9395|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|11/29/2002|0|0|0|0|0|0
Fort Worth Regional Office| 114332|801-65859|CROSSCAP MANAGEMENT, INC.|CROSSCAP MANAGEMENT, INC.|5851 SAN FELIPE|SUITE 230|HOUSTON TX 77057|USA|||  ||DOUG J. JEGI|713-781-1000|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/30/2006|0|0|0|0|0|0
Fort Worth Regional Office| 114347|801-68682|FORRESTER FINANCIAL ADVISORS|JAMES FRANKLIN FORRESTER, JR.|1111 MAIN STREET, SUITE 101||GRAPEVINE TX 76051|USA|||  ||JAMES F. FORRESTER, JR.|817-865-5001|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/24/2008|0|1|1|0|0|0
Fort Worth Regional Office| 114351|801-65442|ATLAS CAPITAL MANAGEMENT, L.P.|ATLAS CAPITAL MANAGEMENT, L.P.|100 CRESCENT COURT, SUITE 880||DALLAS TX 75201|USA|||  ||CARYN PEEPLES|214-999-6082|Partnership|Other|APPROVED|01/24/2006|0|0|0|0|0|0
Fort Worth Regional Office| 114352|801-66816|CAPITAL IDEAS|CAPITAL IDEAS, INC.|5950 BERKSHIRE LANE #1060||DALLAS TX 75225|USA|8409 PICKWICK #242||DALLAS TX 75225|USA|KAREN BURNS|214-750-4400|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/25/2006|0|0|0|0|0|0
Fort Worth Regional Office| 114357|801-63795|LUMMIS ASSET MANAGEMENT, L.P.|LUMMIS ASSET MANAGEMENT, L.P.|301 COMMERCE STREET|SUITE 1790|FORT WORTH TX 76102|USA|P.O. BOX 9253||FORT WORTH TX 76147|USA|P. BRADLEY LUMMIS|817-348-0577|Partnership|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|01/06/2005|0|0|0|0|0|0
Fort Worth Regional Office| 114361|801-65818|CERTIFIED FINANCIAL STRATEGIES CORPORATION|CERTIFIED FINANCIAL STRATEGIES CORPORATION|5485 BELTLINE ROAD|SUITE 100|DALLAS TX 75254|USA|||  ||ROGER ASEL|972-702-8121|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|02/01/2006|0|0|0|0|0|0
Fort Worth Regional Office| 114381|801-61853|WJ INTERESTS, LLC|WJ INTERESTS, LLC|2333 TOWN CENTER DRIVE|SUITE 100|SUGAR LAND TX 77478|USA|||  ||JARED JAMESON|281-634-9400|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/28/2003|0|0|0|0|0|0
Fort Worth Regional Office| 114408|801-66903|PHILLIPS RAY CAPITAL MANAGEMENT, INC.|PHILLIPS RAY CAPITAL MANAGEMENT, INC.|3108 WEST 6TH STREET|SUITE 250|FORT WORTH TX 76107|USA|||  ||BRIAN PHILLIPS|817-338-4223|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|06/29/2006|0|0|0|0|0|0
Fort Worth Regional Office| 114414|801-66555|BARNETT FINANCIAL, INC.|BARNETT FINANCIAL, INC.|3500 JEFFERSON STREET|SUITE 208|AUSTIN TX 78731-6200|USA|CLIENT SERVICES|RR 2 BOX 192|JACKSONVILLE TX 75766|USA|LAURA BARNETT LION|512-454-5459|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/01/2006|0|0|0|0|0|0
Fort Worth Regional Office| 114428|801-63780|BARES CAPITAL MANAGEMENT, INC.|BARES CAPITAL MANAGEMENT, INC.|221 W 6TH STREET|SUITE 1225|AUSTIN TX 78701|USA|||  ||JAMES S. BRADSHAW|512-542-1083|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/03/2005|0|0|0|0|0|0
Fort Worth Regional Office| 114431|801-64326|LAUTERBACH FINANCIAL ADVISORS, LLC|LAUTERBACH FINANCIAL ADVISORS, LLC|4130 RIO BRAVO DRIVE, STE. B-100||EL PASO TX 79902|USA|||  ||BILLY DEFRANCE|915-544-6950|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|06/06/2005|0|0|0|0|0|0
Fort Worth Regional Office| 114446|801-67573|D.R. SAUR FINANCIAL, INC.|D.R. SAUR FINANCIAL, INC.|12900 PRESTON ROAD, SUITE 400||DALLAS TX 75230|USA|||  ||DAN SAUR|214 559-3944|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/15/2007|0|0|0|0|0|0
Fort Worth Regional Office| 114455|801-67611|INCOMAR INVESTMENTS, L.P.|INCOMAR INVESTMENTS, L.P.|10101 SOUTHWEST FREEWAY|SUITE 615|HOUSTON TX 77074|USA|||  ||MICHAEL S. SCHIFF|713-776-1860|Limited Liability Partnership|Portfolio management for individuals and/or small businesses|APPROVED|03/02/2007|0|0|0|0|0|0
Fort Worth Regional Office| 114465|801-67608|FRANKLIN, TURNER & WELCH LLC|FRANKLIN, TURNER & WELCH LLC|15115 PARK ROW|SUITE 140|HOUSTON TX 77084|USA|||  ||JERL FRANKLIN|479-789-5898|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|03/29/2007|0|0|0|0|0|0
Fort Worth Regional Office| 114475|801-68995|DAVID M. LEE, P.C.|DAVID M. LEE, P.C.|952 ECHO LANE|SUITE 320|HOUSTON TX 77024|USA|||  ||DAVID M. LEE|713-773-1100|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|03/20/2008|0|0|0|0|0|0
Fort Worth Regional Office| 114499|801-68859|DAVID P. HENNEKE, INVESTMENT ADVISOR|DAVID PORTER HENNEKE|1807 EAST MAIN STREET||ALICE TX 78332|USA|||  ||DAVID P. HENNEKE|(361) 664-1800|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|02/12/2008|0|0|0|0|0|0
Fort Worth Regional Office| 114518|801-63736|STEGENT EQUITY ADVISORS INC.|STEGENT EQUITY ADVISORS INC.|24 GREENWAY PLAZA|SUITE 515|HOUSTON TX 77046|USA|||  ||LOYD J. STEGENT|(713) 840-9300X104|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|02/17/2005|0|0|0|0|0|0
Fort Worth Regional Office| 114525|801-65401|WS VENTURES MANAGEMENT, L.P.|WS VENTURES MANAGEMENT, L.P.|300 CRESCENT COURT|SUITE 1111|DALLAS TX 75201|USA|||  ||JOSEPH WORSHAM|214-756-6056|Partnership|Other|APPROVED|01/25/2006|0|0|0|0|0|0
Fort Worth Regional Office| 114531|801-61327|MCDONALD CAPITAL MANAGEMENT|ISLAY CAPITAL MANAGEMENT, LLC|1655 MAIN STREET|SUITE 203|LUBBOCK TX 79401|USA|||  ||ERIC C. MCDONALD|806-744-8617|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/05/2002|0|0|0|0|0|0
Fort Worth Regional Office| 114539|801-64114|CAPITAL ADVISORY GROUP, INC.|CAPITAL ADVISORY GROUP, INC.|5151 BELT LINE ROAD|SUITE 1250|DALLAS TX 75254|USA|||  ||JAMES S. HOPSON, JR.|972-770-4840|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/14/2005|0|0|0|0|0|0
Fort Worth Regional Office| 114549|801-64491|RETIREMENT CONSULTING SERVICES, INC.|RETIREMENT CONSULTING SERVICES, INC.|16475 DALLAS PARKWAY|SUITE 150|ADDISON TX 75001-6220|USA|||  ||MARTIN KATREIN JR.|972-248-1500|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|07/11/2005|0|0|0|0|0|0
Fort Worth Regional Office| 114560|801-62727|TRENT CAPITAL MANAGEMENT, INC.|TRENT CAPITAL MANAGEMENT, INC.|15800 CANTRELL ROAD||LITTLE ROCK AR 72223|USA|||  ||DAVID A. TRENT|501-868-7772|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/16/2004|0|0|0|0|0|0
Fort Worth Regional Office| 114571|801-69005|OXFORD ASSET MANAGEMENT, LLC|OXFORD ASSET MANAGEMENT, LLC|5800 PADRE BLVD|SUITE 210|SOUTH PADRE ISLAND TX 78597-4181|USA|PO BOX 40181||SOUTH PADRE ISLAND TX 78597-4181|USA|JG PALUMBO|956-772-9530|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|04/28/2008|0|0|0|0|0|0
Fort Worth Regional Office| 114584|801-60775|ADDINGTON FINANCIAL GROUP|LAURA LEE ADDINGTON|510 BOILER POINT ROAD||CYPRESS SPRINGS VILLAGE TX 75480|USA|P.O. BOX 143||WINNSBORO TX 75494|USA|LAURA LEE ADDINGTON|866-220-7788|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|12/13/2001|0|0|0|0|0|0
Fort Worth Regional Office| 114612|801-60546|TEXAS CAPITAL MANAGEMENT|GARY WAYNE CLEMMONS|407-C WEST BAKER||BAYTOWN TX 77521|USA|||  ||ARLENE CLEMMONS|281-427-8000|Sole Proprietorship|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/10/2001|0|0|0|0|0|0
Fort Worth Regional Office| 114614|801-67768|DISCIPLINED INVESTORS, L.L.C.|DISCIPLINED INVESTORS, L.L.C.|100 NORTH 6TH STREET, SUITE 500||WACO TX 76701|USA|||  ||TODD STONER|254-754-7973|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/17/2007|0|0|0|0|0|0
Fort Worth Regional Office| 114637|801-61260|GOODMAN FINANCIAL CORPORATION|GOODMAN FINANCIAL CORPORATION|5177 RICHMOND AVENUE|SUITE 700|HOUSTON TX 77056|USA|||  ||STEVEN R. GOODMAN|713-599-1777|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|06/21/2002|0|0|0|0|0|0
Fort Worth Regional Office| 114646|801-61361|JWA FINANCIAL GROUP, INC.|JWA FINANCIAL GROUP, INC.|6200 LBJ FREEWAY|SUITE 180|DALLAS TX 75240|USA|||  ||RICHARD LANCE ALSTON|972-661-3355|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|08/01/2002|0|0|0|0|0|0
Fort Worth Regional Office| 114653|801-68230|HG CAPITAL ADVISORS, LLC|HG CAPITAL ADVISORS, LLC|11767 KATY FREEWAY, SUITE 170|SUITE 170|HOUSTON TX 77079|UNITED STATES|11767 KATY FREEWAY, SUITE 170||HOUSTON TX 77079|UNITED STATES|BYRON HAVEN|(281) 589-2623|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters, Market timing services|APPROVED|08/21/2007|0|0|0|0|0|0
Fort Worth Regional Office| 114671|801-66256|PRECEPT MANAGEMENT, LLC|PRECEPT MANAGEMENT, LLC|200 CRESCENT COURT|SUITE 1450|DALLAS TX 75201|USA|||  ||NICK ROOSSIEN|214-880-7444|Limited Liability Company|Other|APPROVED|02/23/2006|0|0|0|0|0|0
Fort Worth Regional Office| 114680|801-60471|PLACEMARK INVESTMENTS, INC.|PLACEMARK INVESTMENTS, INC.|16633 DALLAS PARKWAY|SUITE 700|ADDISON TX 75001|USA|||  ||JOHN EHINGER JR.|972-404-8100 EXT. 2042|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/10/2001|0|0|0|0|0|0
Fort Worth Regional Office| 114686|801-60739|PRESIDIO ADVISORS, INC.|PRESIDIO ADVISORS, INC.|711 NAVARRO STREET|SUITE 750|SAN ANTONIO TX 78205|USA|||  ||SAMUEL NEILL BOLDRICK III|(210)352-2414|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|11/28/2001|0|0|0|0|0|0
Fort Worth Regional Office| 114690|801-60734|QUEST CAPITAL MANAGEMENT, INC.|QUEST CAPITAL MANAGEMENT, INC.|8235 DOUGLAS AVENUE, SUITE 500||DALLAS TX 75225|USA|||  ||TERRY PENDER|214-691-6090|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|11/26/2001|0|1|0|0|0|0
Fort Worth Regional Office| 114724|801-65399|WS CAPITAL MANAGEMENT, L.P.|WS CAPITAL MANAGEMENT, L.P.|300 CRESCENT COURT|SUITE 1111|DALLAS TX 75201|USA|||  ||JOSEPH WORSHAM|214-756-6056|Partnership|Other|APPROVED|01/26/2006|0|0|0|0|0|0
Fort Worth Regional Office| 114752|801-64138|OLIMPIO NEU & ASSOCIATES, INC.|OLIMPIO NEU & ASSOCIATES, INC.|15660 N. DALLAS PARKWAY|SUITE 950|DALLAS TX 75248|USA|||  ||BRIAN C. NEU|972-392-1344|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|04/14/2005|0|0|0|0|0|0
Fort Worth Regional Office| 114787|801-66430|INTERCONTINENTAL CONSULTANTS, L.L.C.|INTERCONTINENTAL CONSULTANTS, L.L.C.|300 CONVENT STREET, SUITE 1350||SAN ANTONIO TX 78205-3729|USA|||  ||JOHN L. KAUTH, III|210-271-7947|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Other|APPROVED|03/21/2006|0|0|0|0|0|0
Fort Worth Regional Office| 114796|801-62129|MATTHEW GOFF INVESTMENT ADVISOR, LLC|MATTHEW B. GOFF, REGISTERED INVESTMENT ADVISOR|4400 POST OAK PARKWAY, SUITE 2150||HOUSTON TX 77027-3416|USA|PO BOX 22128||HOUSTON TX 77227-2128|USA|MATTHEW GOFF|713-850-8900|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/19/2003|0|0|0|0|0|0
Fort Worth Regional Office| 114822|801-66675|FINANCIAL PLANNING SERVICES|STEPHEN LEWIS GRAY|2203 TIMBERLOCH PL., STE. 100X||THE WOODLANDS TX 77380|USA|||  ||STEPHEN GRAY|281-363-1680|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/19/2006|0|0|0|0|0|0
Fort Worth Regional Office| 114832|801-66500|PPG INVESTMENTS, LLC|PPG INVESTMENTS, LLC|2700 POLO LANE||PLANO TX 75093|USA|||  ||DAVID GAMBLE|972-781-1993|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/01/2006|0|0|0|0|0|0
Fort Worth Regional Office| 114841|801-63041|UTICA CAPITAL ADVISERS, INC.|UTICA CAPITAL ADVISERS, INC.|2100 SOUTH UTICA|SUITE 300|TULSA OK 74114|USA|||  ||CHRISTI T. ROWLAND|(918) 744-9215|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/15/2004|0|0|0|0|0|0
Fort Worth Regional Office| 114867|801-68028|EXECUTIVE ADVISORS, INC.|EXECUTIVE ADVISORS, INC|677 SCENIC RANCH CIRCLE||FAIRVIEW TX 75069|USA|PO BOX 600104||DALLAS TX 75360-0104|USA|FRANK C. DEALY|972-886-0067|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|07/05/2007|0|0|0|0|0|0
Fort Worth Regional Office| 114870|801-64145|POSEIDON CAPITAL MANAGEMENT, INC.|POSEIDON CAPITAL MANAGEMENT, INC.|520 POST OAK BLVD., SUITE 750||HOUSTON TX 77027|USA|||  ||JONATHAN S. FINGER|713-621-7536|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|04/20/2005|0|0|0|0|0|0
Fort Worth Regional Office| 114894|801-64165|USF SERVICES, LLC|USF SERVICES, LLC|11 GREENWAY PLAZA|SUITE 2900|HOUSTON TX 77046|USA|||  ||STEVEN J. GRAUBART|713-341-4700|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|04/08/2005|0|0|0|0|0|0
Fort Worth Regional Office| 114901|801-67632|GREEN/WHITE ADVISORS|WHITE, SANDRA LEE|1225 N. LOOP W., SUITE 1030||HOUSTON TX 77008|USA|||  ||SANDRA WHITE|281 491-5566 X12|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|03/29/2007|0|1|1|0|0|0
Fort Worth Regional Office| 114917|801-56574|INVESTA|INVESTA, INC|7414 NAPIER TRL||AUSTIN TX 78729|USA|||  ||DEREK HOGGETT|512-0767-8607|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies|APPROVED|06/08/1999|0|0|0|0|0|0
Fort Worth Regional Office| 114927|801-60499|CAMILLA ASSET MANAGEMENT, LP|CAMILLA ASSET MANAGEMENT, LP|C/O BEAR, STEARNS & CO. INC.|100 CRESCENT COURT, SUITE 1300|DALLAS TX 75201|USA|115 SOUTH JEFFERSON ROAD|TIMOTHY J. MURPHY|WHIPPANY NJ 07981|U.S.A.|TIMOTHY J. MURPHY|973-793-2213|Partnership|Portfolio management for individuals and/or small businesses|APPROVED|08/21/2001|0|37|2|0|0|0
Fort Worth Regional Office| 114928|801-62979|SAWTELLE FINANCIAL MANAGEMENT|ROGER SCOTT SAWTELLE|1250 NE LOOP 410|SUITE 350|SAN ANTONIO TX 78209|USA|||  ||SCOTT SAWTELLE|210.822.5252|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|04/08/2004|0|0|0|0|0|0
Fort Worth Regional Office| 114929|801-66312|J.K. FINANCIAL, INC.|J.K. FINANCIAL, INC.|8222 DOUGLAS AVE|SUITE 590|DALLAS TX 75225|USA|||  ||DONALD W. CAPONE|214-706-4300|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/24/2006|0|0|0|0|0|0
Fort Worth Regional Office| 114937|801-60609|FINANCIAL MANAGEMENT SERVICES|BROWN, BENJAMIN, A.|3116 LIVE OAK||DALLAS TX 75204|USA|P.O. BOX 1443||ADDISON TX 75001|USA|BENJAMIN A. BROWN|214-826-6660 EXT 217|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|10/19/2001|0|0|0|0|0|0
Fort Worth Regional Office| 114939|801-62745|EUBANK, HUTSON & ASSOCIATES|BOBBY LEON EUBANK|5928 WEST PARKER ROAD|SUITE 1100|PLANO TX 75093|USA|||  ||BOBBY EUBANK|972-473-2244|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|01/30/2004|0|0|0|0|0|0
Fort Worth Regional Office| 114980|801-65378|EWING & PARTNERS|EWING & PARTNERS|4514 COLE AVENUE|SUITE 808|DALLAS TX 75205|USA|||  ||BRENT DAU|214-522-2100|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/23/2006|0|0|0|0|0|0
Fort Worth Regional Office| 115009|801-62355|LEE JOHNSON CAPITAL MANAGEMENT|LESTER LEE JOHNSON, JR|6300 RIDGLEA PLACE|SUITE 1020|FORT WORTH TX 76116|USA|||  ||CYNTHIA COSKREY|817-738-1451|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|09/16/2003|0|0|0|0|0|0
Fort Worth Regional Office| 115043|801-67604|JMA FINANCIAL ADVISORS, INC.|JMA FINANCIAL ADVISORS, INC.|580 DECKER DRIVE|SUITE 100|IRVING TX 75062|USA|||  ||JOHN W. MCCUISTION|972-541-1121|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|03/02/2007|0|0|0|0|0|0
Fort Worth Regional Office| 115089|801-67757|BARTLETT INVESTMENT ADVISORS, INC.|BARTLETT INVESTMENT ADVISORS, INC.|122 E.HOLLYWOOD||SAN ANTONIO TX 78212|USA|P.O. BOX 12616||SAN ANTONIO TX 78212|USA|BETTY A. BARTLETT|210-733-7638|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|04/24/2007|0|0|0|0|0|0
Fort Worth Regional Office| 115101|801-64784|ROGGE CAPITAL LLC|ROGGE CAPITAL LLC|401 CONGRESS AVENUE|SUITE 2750|AUSTIN TX 78701|USA|||  ||TIMOTHY M. CONNOR|512.322.0909|Limited Liability Company|Other|APPROVED|10/24/2005|0|0|0|0|0|0
Fort Worth Regional Office| 115150|801-61306|WEAVER AND TIDWELL FINANCIAL ADVISORS, LTD|WEAVER AND TIDWELL FINANCIAL ADVISORS, LTD|12221 MERIT DRIVE|SUITE 1300|DALLAS TX 75251|USA|||  ||REGINALDO SANDOVAL|972-960-1100|Partnership|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|07/05/2002|0|1|0|0|0|0
Fort Worth Regional Office| 115220|801-60650|PRESCOTT GROUP CAPITAL MANAGEMENT L.L.C.|PRESCOTT GROUP CAPITAL MANAGEMENT L.L.C.|1924 S. UTICA|SUITE 1120|TULSA OK 74104|USA|||  ||JEFFREY WATKINS|918-747-3412|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|10/22/2001|0|0|0|0|0|0
Fort Worth Regional Office| 115350|801-63944|GARNER ASSET MANAGEMENT CORPORATION|GARNER ASSET MANAGEMENT CORPORATION|5700 GRANITE PARKWAY|SUITE 200|PLANO TX 75024|USA|||  ||ROBERT GARNER|214-387-6095|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|02/14/2005|0|0|0|0|0|0
Fort Worth Regional Office| 115356|801-69297|NETRIN INVESTMENTS, LP|NETRIN INVESTMENTS, LP|1231 MOUNTAIN LAKE DRIVE||MISSOURI CITY TX 77459-1509|USA|P.O. BOX 2175||STAFFORD TX 77497-2175|USA|VISHNU S GUPTA|281-499-9624|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/23/2008|0|0|0|0|0|0
Fort Worth Regional Office| 115418|801-69365|KURTIN FINANCIAL ADVISERS, LLC|KURTIN FINANCIAL ADVISERS, LLC|4233 COLGATE AVENUE||DALLAS TX 75225|USA|||  ||KATHY KURTIN STEWART|214-891-0399|Limited Liability Company|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|07/14/2008|0|0|0|0|0|0
Fort Worth Regional Office| 115505|801-63218|TBP INVESTMENTS MANAGEMENT LLC|TBP INVESTMENTS MANAGEMENT, LLC|8117 PRESTON ROAD|SUITE 260|DALLAS TX 75225|USA|||  ||DICK GRANT|214-265-4173|Limited Liability Company|Other|APPROVED|06/17/2004|0|0|4|0|0|0
Fort Worth Regional Office| 115652|801-63652|SUTTERFIELD FINANCIAL GROUP, INC.|SUTTERFIELD FINANCIAL GROUP, INC.|501 SE FOURTH STREET||BARTLESVILLE OK 74003|USA|||  ||TREVOR SUTTERFIELD|918-338-2255|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|01/03/2005|0|1|0|0|0|0
Fort Worth Regional Office| 115696|801-68027|GLOBESCAN CAPITAL, INC.|GLOBESCAN CAPITAL, INC.|2650 FOUNTAINVIEW DR.|SUITE 322|HOUSTON TX 77057|USA|||  ||PASUPATI SADHUKHAN|713 789 2100|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|07/06/2007|0|0|0|0|0|0
Fort Worth Regional Office| 115711|801-67063|HORRELL CAPITAL MANAGEMENT, INC.|HORRELL CAPITAL MANAGEMENT, INC.|100 MORGAN KEEGAN DRIVE|SUITE 305|LITTLE ROCK AR 72202|USA|||  ||KIM HORRELL|501-975-4653|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/03/2006|0|0|0|0|0|0
Fort Worth Regional Office| 115758|801-66961|PHILLIPS CAPITAL ADVISORS, INC.|PHILLIPS CAPITAL ADVISORS, INC.|3555 NW 58TH|SUITE 600|OKLAHOMA CITY OK 73112|USA|||  ||THOMPSON S. PHILLIPS|405-943-9433|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|07/25/2006|0|1|0|0|0|0
Fort Worth Regional Office| 115798|801-69039|INDEPENDENT FINANCIAL ADVISORS, INC.|INDEPENDENT FINANCIAL ADVISORS, INC.|102 COUNTRY CLUB PARKWAY STE A||MAUMELLE AR 72113|USA|P.O. BOX 13986||MAUMELLE AR 72113|USA|CLIFFORD RAY VEACH JR.|501-851-1435|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/21/2008|0|0|0|0|0|0
Fort Worth Regional Office| 115806|801-60614|GLOBAL WEALTH MANAGEMENT INC.|GLOBAL WEALTH MANAGEMENT INC.|12511 CANTRELL ROAD|SUITE 102|LITTLE ROCK AR 72223-1639|USA|||  ||CHARLES H BOLING JR|501-219-9080|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|10/09/2001|0|0|0|0|0|0
Fort Worth Regional Office| 115887|801-69142|FSI ADVISORY GROUP, INC.|FSI ADVISORY GROUP, INC.|1770 ST. JAMES PLACE|SUITE 365|HOUSTON TX 77056|USA|||  ||ARV VILUTIS|713-758-0523|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|05/21/2008|0|0|0|0|0|0
Fort Worth Regional Office| 115959|801-60804|SPUR CAPITAL PARTNERS|SPUR CAPITAL PARTNERS, LLC|2370 NOWATA PLACE||BARTLESVILLE OK 74006|USA|||  ||TERESA HIGHTOWER|918 331-3800|Limited Liability Company|Other|APPROVED|12/28/2001|0|0|0|0|0|0
Fort Worth Regional Office| 116048|801-66250|TRUE NORTH ADVISORS, LLC|TRUE NORTH ADVISORS, LLC|8350 NORTH CENTRAL EXPRESSWAY|SUITE 725|DALLAS TX 75206|USA|||  ||SCOTT A. WOOD|(214) 360-7300|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|02/21/2006|0|0|0|0|0|0
Fort Worth Regional Office| 116083|801-60827|SUMMITALLIANCE ADVISORS, L.L.C.|SUMMITALLIANCE ADVISORS, L.L.C.|14785 PRESTON ROAD|STE. 1000|DALLAS TX 75254|USA|||  ||STAN HALL|972-663-4300|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/04/2002|0|0|0|0|0|0
Fort Worth Regional Office| 116183|801-69330|HULSEY CAPITAL MANAGEMENT, INC.|HULSEY CAPITAL MANAGEMENT, INC.|203 C TULAKA BLVD||HEBER SPRINGS AR 72543|USA|||  ||KENT C. HULSEY|501-362-1681|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/09/2008|0|0|0|0|0|0
Fort Worth Regional Office| 116334|801-67127|MDK FINANCIAL GROUP, INC.|MDK FINANCIAL GROUP, INC.|6802 MAPLERIDGE|SUITE 203|BELLAIRE TX 77401|USA|||  ||MICHAEL D. KROST|713-665-3880|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|10/11/2006|0|1|0|0|0|0
Fort Worth Regional Office| 116359|801-60714|FOUNDATION RESOURCE MANAGEMENT, INC.|FOUNDATION RESOURCE MANAGEMENT, INC.|401 W. CAPITOL, SUITE 503||LITTLE ROCK AR 72201|USA|||  ||JUDY MCNEESE|501-604-3190|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/21/2001|0|0|0|0|0|0
Fort Worth Regional Office| 116480|801-60724|CARTER ASSET MANAGEMENT, INC.|CARTER ASSET MANAGEMENT, INC.|242 BEECH STREET||ABILENE TX 79601|USA|||  ||DAVID L. CARTER|325-673-6171|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/23/2001|0|0|0|0|0|0
Fort Worth Regional Office| 116592|801-62424|UHY CAPITAL ADVISORS, LLC|UHY CAPITAL ADVISORS, LLC|12 GREENWAY PLAZA|SUITE 200|HOUSTON TX 77046-1291|USA|||  ||BRENT HIPPERT|443-541-8400|Limited Liability Company|Financial planning services, Pension consulting services, Selection of other advisers|APPROVED|10/16/2003|0|0|0|0|0|0
Fort Worth Regional Office| 116597|801-61767|THE ROBARE GROUP, LTD.|THE ROBARE GROUP, LTD.|20405 STATE HWY 249|SUITE 580|HOUSTON TX 77070|USA|||  ||KATHY WHITE|(281) 374-0756|Other (specify)|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/02/2003|0|0|0|0|0|0
Fort Worth Regional Office| 116606|801-67452|401(K) INVESTMENT ADVISORS|401(K) INVESTMENT ADVISORS, INC.|98 SAN JACINTO BLVD.|SUITE 1100|AUSTIN TX 78701|USA|||  ||KENNETH ROBERTSON|(512) 344-3003|Corporation|Pension consulting services, Other|APPROVED|01/11/2007|0|7|0|0|0|0
Fort Worth Regional Office| 116638|801-67766|TALBOT CAPITAL MANAGEMENT INC.|TALBOT CAPITAL MANAGEMENT INC.|200 E. 11TH ST SUITE C||PINE BLUFF AR 71601|USA|P. O. BOX 9259||PINE BLUFF AR 71611|USA|GEORGE B. TALBOT, JR.|870-535-6801|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/17/2007|0|0|0|0|0|0
Fort Worth Regional Office| 116866|801-65268|GRYPHON MANAGEMENT PARTNERS, L.P.|GRYPHON MANAGEMENT PARTNERS, L.P.|100 CRESCENT COURT|SUITE 490|DALLAS TX 75201|USA|||  ||E.B. LYON IV|214-871-6798|Partnership|Other|APPROVED|01/30/2006|0|1|1|0|0|0
Fort Worth Regional Office| 116869|801-64340|FINANCIAL PROFESSIONALS INCORPORATED|FINANCIAL PROFESSIONALS INCORPORATED|ONE HERITAGE PARK CIRCLE||NORTH LITTLE ROCK AR 72116|USA|||  ||E.A.OSTEDGAARD|501-753-2349|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/22/2005|0|0|0|0|0|0
Fort Worth Regional Office| 116982|801-64513|CARGILE INVESTMENTS|WNB PRIVATE CLIENT SERVICES LIMITED PARTNERSHIP, L.L.P.|508 WEST WALL  SUITE 1100||MIDLAND TX 79701|USA|||  ||MICKEY CARGILE|432-617-1394|Limited Liability Partnership|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/15/2005|0|0|0|0|0|0
Fort Worth Regional Office| 117737|801-66155|MUSTARD SEED FINANCIAL, LLC|MUSTARD SEED FINANCIAL, LLC|202 S. PINE||MAGNOLIA AR 71753|USA|P.O. BOX 9304||MAGNOLIA AR 71754|USA|J. DAVID ASHBY|(870)234-1618|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|05/02/2006|0|0|0|0|0|0
Fort Worth Regional Office| 117769|801-69294|TDC CAPITAL ADVISORS, INC.|TDC CAPITAL ADVISORS, INC.|4500 CARTER CREEK PARKWAY|SUITE 201|BRYAN TX 77802|USA|||  ||RONNIE CRAIG|979-260-9696|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|07/02/2008|0|0|0|0|0|0
Fort Worth Regional Office| 117810|801-68992|WARD WEALTH MANAGEMENT SERVICES, INC.|WARD WEALTH MANAGEMENT SERVICES, INC.|110 WEST HALL OF FAME AVENUE||STILLWATER OK 74074|USA|PO BOX 1178||STILLWATER OK 74076-1178|USA|JAMES WARD|405-372-8440|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|04/08/2008|0|0|0|0|0|0
Fort Worth Regional Office| 117845|801-67382|THE FOCUS GROUP ADVISORS|WORD, VISE, NETTLES & DEARMAN, LLC|117 WEST FIFTH STREET|SUITE 300|BARTLESVILLE OK 74003|USA|||  ||DANIEL A. VISE|918-336-7877|Limited Liability Company|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|01/09/2007|0|0|0|0|0|0
Fort Worth Regional Office| 117980|801-60779|THE CAPITAL CHART ROOM, LTD|THE CAPITAL CHART ROOM, LTD|2015 EAST LAMAR BOULEVARD|SUITE 100|ARLINGTON TX 76006-7350|USA|||  ||EDGAR WYNGAARDE|817-801-6455|Partnership|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|12/14/2001|0|0|0|0|0|0
Fort Worth Regional Office| 117983|801-67507|SJP ADVISORS,LLC|SJP ADVISORS,LLC|300 CRESCENT COURT|SUITE 270|DALLAS TX 75201|USA|||  ||DAVID PARK|214-624=1016|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|02/16/2007|0|0|0|0|0|0
Fort Worth Regional Office| 118081|801-68170|WOMACK INVESTMENT ADVISERS, INC|WOMACK INVESTMENT ADVISERS, INC|1366 E. 15TH STREET||EDMOND OK 73013|USA|||  ||GREG WOMACK|405-340-1717|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|07/27/2007|0|0|0|0|0|0
Fort Worth Regional Office| 118156|801-60758|CARLSON CAPITAL, L.P.|CARLSON CAPITAL, L.P.|2100 MCKINNEY AVE|SUITE 1600|DALLAS TX 75201|USA|||  ||TROY D. WUERTZ|214-932-9638|Partnership|Other|APPROVED|12/11/2001|0|1|0|0|0|0
Fort Worth Regional Office| 118218|801-62130|CHARLES D. JONES CAPITAL MANAGEMENT, INC.|CHARLES D. JONES CAPITAL MANAGEMENT, INC.|5015 FORT AVENUE||WACO TX 76710|USA|||  ||CHARLES D. JONES|254 751-0064|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|06/26/2003|0|0|0|0|0|0
Fort Worth Regional Office| 118304|801-63318|WILBANKS SECURITIES ADVISORY|AARON WILBANKS & ASSOCIATES, INC.|4334 NW EXPRESSWAY|SUITE 222|OKLAHOMA CITY OK 73116|USA|||  ||AARON WILBANKS|405-842-0202|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Market timing services|APPROVED|07/02/2004|0|1|0|0|0|0
Fort Worth Regional Office| 118321|801-67969|COVENANT FINANCIAL SERVICES, LLC|COVENANT FINANCIAL SERVICES, LLC|10914 HEFNER POINTE DR.|STE. 304|OKLAHOMA CITY OK 73120|USA|||  ||STEVE HARTMAN|405-848-6999|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/07/2007|0|0|0|0|0|0
Fort Worth Regional Office| 118372|801-62459|SWEETWATER FINANCIAL ADVISORS, LLC|SWEETWATER FINANCIAL ADVISORS, LLC|4665 SWEETWATER BLVD.|SUITE 105|SUGAR LAND TX 77479|USA|||  ||DAVID BRYAN TEEL|281.491.3333|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|10/30/2003|0|0|0|0|0|0
Fort Worth Regional Office| 118385|801-65599|LIBERTY FUNDS GROUP|LIBERTY FUNDS GROUP, INC.|2716 FAIRMOUNT ST.||DALLAS TX 75201|USA|||  ||CHRISTOPHER L. MCKINZIE|214-369-0500|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|01/23/2006|0|0|0|0|0|0
Fort Worth Regional Office| 118427|801-60831|J M BROWN & ASSOCIATES, INC.|J M BROWN & ASSOCIATES, INC.|7060 S. YALE|SUITE 701|TULSA OK 74136-5740|USA|||  ||LUDO BROWN|918-496-5460|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|01/22/2002|0|0|0|0|0|0
Fort Worth Regional Office| 118450|801-68564|STRATEGIC FINANCIAL PLANNING, INC.|STRATEGIC FINANCIAL PLANNING, INC.|6513 PRESTON RD., SUITE 100||PLANO TX 75024|USA|||  ||BRYAN LEE|972-403-1234|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|11/26/2007|0|0|0|0|0|0
Fort Worth Regional Office| 118473|801-68095|RMDR ADVISORS, INC.|RMDR ADVISORS, INC.|4224 JUDSON STREET||HOUSTON TX 77005-1927|USA|||  ||ROBERT J. GEARY|713-661-3183|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|07/16/2007|0|1|0|0|0|0
Fort Worth Regional Office| 118484|801-65108|ROBERTSON OPPORTUNITY CAPITAL, LLC|ROBERTSON OPPORTUNITY CAPITAL, LLC|8117 PRESTON ROAD|SUITE 675|DALLAS TX 75225|USA|||  ||LOREN SAUER|972-713-5001|Limited Liability Company|Other|APPROVED|01/13/2006|0|0|0|0|0|0
Fort Worth Regional Office| 118581|801-60900|SUMMITALLIANCE CAPITAL MANAGEMENT, L.L.C.|SUMMITALLIANCE CAPITAL MANAGEMENT, L.L.C.|14785 PRESTON ROAD|STE. 1000|DALLAS TX 75254|USA|||  ||STAN HALL|972-663-4300|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/01/2002|0|0|0|0|0|0
Fort Worth Regional Office| 118588|801-68644|SMS FINANCIAL & INVESTMENT MANAGEMENT|STREETER MOORE & STIPE LLC|4111 S. DARLINGTON|SUITE 120|TULSA OK 74135|USA|||  ||STEPHEN STREETER|918-481-6262|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/07/2008|0|0|0|0|0|0
Fort Worth Regional Office| 118877|801-66066|RANGER ADVISORS, L.P.|RANGER ADVISORS, L.P.|300 CRESCENT COURT|SUITE 1100|DALLAS TX 75201|USA|||  ||THOMAS EADS BURSON|214.871.5207|Partnership|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|01/20/2006|0|1|0|0|0|0
Fort Worth Regional Office| 118931|801-67119|RJ CAPITAL|GREGORY JOSEPH LITTS|3401 ALLEN PARKWAY, SUITE 101||HOUSTON TX 77019|USA|2525 BAY AREA BLVD., SUITE 460||HOUSTON TX 77058|U.S.A.|GREG LITTS|713-523-1884|Sole Proprietorship|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/23/2006|0|0|0|0|0|0
Fort Worth Regional Office| 119235|801-65123|KLEINHEINZ CAPITAL PARTNERS, INC.|KLEINHEINZ CAPITAL PARTNERS, INC.|301 COMMERCE STREET|SUITE 1900|FORT WORTH TX 76102|USA|||  ||ANDREW J. ROSELL|817-348-8100|Corporation|Other|APPROVED|01/10/2006|0|1|0|0|0|0
Fort Worth Regional Office| 119462|801-63315|EDEN CAPITAL MANAGEMENT PARTNERS, L.P.|EDEN CAPITAL MANAGEMENT PARTNERS, L.P.|2727 ALLEN PARKWAY|SUITE 1880|HOUSTON TX 77019|USA|||  ||ADAM J. NEWAR|713-807-1760|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Other|APPROVED|07/12/2004|0|0|0|0|0|0
Fort Worth Regional Office| 119558|801-64117|CAMBRIDGE LEGACY ADVISORS, INC.|CAMBRIDGE LEGACY ADVISORS, INC.|4100 SPRING VALLEY ROAD|SUITE 500|DALLAS TX 75244|USA|||  ||BRIAN KOEPP|972-267-8181|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Market timing services|APPROVED|04/21/2005|0|0|0|0|0|0
Fort Worth Regional Office| 119687|801-67599|DANIELS & ERICKSON FINANCIAL ADVISORS, LLC|DANIELS & ERICKSON FINANCIAL ADVISORS, LLC|12221 MERIT DRIVE|SUITE 760|DALLAS TX 75251|USA|||  ||DAVID L. NELSON|214-750-8985 EXT.106|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|03/12/2007|0|0|0|0|0|0
Fort Worth Regional Office| 119755|801-63101|TFR ADVISORS LLP|TFR ADVISORS LLP|5040 TENNYSON PARKWAY||PLANO TX 75024|USA|||  ||BOBBY JAMES|972-599-3388|Limited Liability Partnership|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/07/2004|0|1|0|0|0|0
Fort Worth Regional Office| 119759|801-66191|JOHNSON, BENDER & COMPANY|JOHNSON, BENDER & COMPANY|5555 SAN FELIPE|SUITE 1100|HOUSTON TX 77056|USA|||  ||KEVIN MCNULTY|713-439-1200|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/09/2006|0|0|0|0|0|0
Fort Worth Regional Office| 119760|801-63908|AVONDALE|AVONDALE INVESTMENTS, LLC|13905 QUAIL POINTE DRIVE, SUITE A||OKLAHOMA CITY OK 73134|USA|||  ||DONALD L. DILLINGHAM|405-286-9759|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/11/2005|0|0|0|0|0|0
Fort Worth Regional Office| 120057|801-61075|TAYLOR INVESTMENT ADVISORS LP|TAYLOR INVESTMENT ADVISORS LP|100 CRESCENT COURT, SUITE 525||DALLAS TX 75201|USA|||  ||CHRISTINE WOODHOUSE|(203) 409-3300|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/12/2002|0|0|0|0|0|0
Fort Worth Regional Office| 120145|801-61121|AMEGY INVESTMENTS, INC.|AMEGY INVESTMENTS, INC.|4400 POST OAK PARKWAY||HOUSTON TX 77027-3421|USA|||  ||SUZETTE W. JONES|713-232-1217|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/03/2002|0|1|0|0|0|0
Fort Worth Regional Office| 120214|801-63501|JOHN SHAO PORTFOLIO MANAGEMENT, INC.|JOHN SHAO PORTFOLIO MANAGEMENT, INC.|5521 ROLAND DR.||PLANO TX 75093|USA|||  ||JOHN SHAO|972-608-5374|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/10/2004|0|0|0|0|0|0
Fort Worth Regional Office| 120286|801-67589|CLIENTFIRST WEALTH MANAGEMENT|CLIENTFIRST WEALTH MANAGEMENT|1501 NORTH UNIVERSITY|SUITE 210|LITTLE ROCK AR 72207|USA|||  ||EDWARD P. MAHAFFY|501 603 0406|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|03/26/2007|0|0|0|0|0|0
Fort Worth Regional Office| 120509|801-61189|GAV, LTD.|GAV, LIMITED|5731 CROMO DRIVE||EL PASO TX 79912|USA|||  ||JOSE GASPAR DE ALBA|(915) 833-2971|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|05/30/2002|0|0|0|0|0|0
Fort Worth Regional Office| 120516|801-64107|TREATY OAK CAPITAL MANAGEMENT, L.P.|TREATY OAK CAPITAL MANAGEMENT, L.P.|300 WEST 6TH STREET|SUITE 1910|AUSTIN TX 78701|USA|||  ||JOHN J. MYERS, JR.|512-481-1956|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|04/28/2005|0|0|1|0|0|0
Fort Worth Regional Office| 120573|801-61797|ADAMS ASSET ADVISORS LLC|ADAMS ASSET ADVISORS LLC|8150 N. CENTRAL EXPWY.|SUITE 101|DALLAS TX 75225|USA|||  ||STEVEN ADAMS|214-360-7410|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/07/2003|0|0|0|0|0|0
Fort Worth Regional Office| 120943|801-64167|SNIDER ADVISORS|CHRONIM INVESTMENTS INC.|222 W. LAS COLINAS BLVD.|SUITE 1050E|IRVING TX 75039|USA|||  ||CLAYCE C. RODAMER|214-220-0055|Corporation|Portfolio management for individuals and/or small businesses, Other|APPROVED|04/21/2005|0|0|0|0|0|0
Fort Worth Regional Office| 121350|801-62997|GARRISON CAPITAL MANAGEMENT, LLC|GARRISON CAPITAL MANAGEMENT, LLC|5847 SAN FELIPE|SUITE 2125|HOUSTON TX 77057-3009|USA|||  ||MONROE GARRISON|713-789-2600|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|04/14/2004|0|0|0|0|0|0
Fort Worth Regional Office| 121703|801-61613|ALPHA CAPITAL MANAGEMENT|B&T CAPITAL MANAGEMENT, INCORPORATED|1501 SOUTH MOPAC EXPRESSWAY, SUIT 160||AUSTIN TX 78746|USA|||  ||MICHAEL T. TURNER, CFA|512-322-9318|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|11/21/2002|0|0|0|0|0|0
Fort Worth Regional Office| 121849|801-61430|PROBITY ADVISORS, INC.|PROBITY ADVISORS, INC.|10000 N. CENTRAL EXPRESSWAY|SUITE 1326|DALLAS TX 75231|USA|||  ||CHRISTOPHER T. SORROW|214-891-8131|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|10/03/2002|0|0|0|0|0|0
Fort Worth Regional Office| 122328|801-66289|GIBRALTAR CAPITAL MANAGEMENT, INC.|GIBRALTAR CAPITAL MANAGEMENT, INC.|11114 SOUTH YALE AVE.,|STE. B|TULSA OK 74137|USA|||  ||MCCRARY O. LOWE|918-492-4209|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/28/2006|0|0|0|0|0|0
Fort Worth Regional Office| 122394|801-63463|HERITAGE WEALTH MANAGEMENT|HERITAGE WEALTH MANAGEMENT, INC.|4400 POST OAK PARKWAY|SUITE 1950|HOUSTON TX 77027|USA|||  ||BRETT CARLETON|713-871-9800|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/31/2004|0|0|0|0|0|0
Fort Worth Regional Office| 122563|801-61422|SYMMETRY CAPITAL ADVISORS LLC|SYMMETRY CAPITAL ADVISORS LLC|8333 DOUGLAS AVENUE|SUITE 1220|DALLAS TX 75225-5819|USA|||  ||DAVID STALNAKER|214-696-2929|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/23/2002|0|0|0|0|0|0
Fort Worth Regional Office| 122711|801-61607|CRESTLINE MANAGEMENT, L.P.|CRESTLINE MANAGEMENT, L.P.|201 MAIN STREET|SUITE 1900|FORT WORTH TX 76102-3135|USA|||  ||JESUS H. PAYAN|817-339-7483|Partnership|Other|APPROVED|12/02/2002|0|0|0|0|0|0
Fort Worth Regional Office| 122833|801-61449|SALIENT ADVISORS, L.P.|SALIENT ADVISORS, L.P.|4265 SAN FELIPE|8TH FLOOR|HOUSTON TX 77027-2920|USA|||  ||ROY V. WASHINGTON|713-993-4686|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|09/13/2002|0|0|0|0|0|0
Fort Worth Regional Office| 123716|801-61598|CLOVER PARTNERS, L.P.|CLOVER PARTNERS, L.P.|2100 MCKINNEY AVE SUITE 1500||DALLAS TX 75201|USA|||  ||SAMUEL S. MOORE|214-273-5200|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/02/2002|0|0|0|0|0|0
Fort Worth Regional Office| 123760|801-62917|FINANCIAL SOLUTIONS, INC.|FINANCIAL SOLUTIONS, INC.|320 SOUTH BOSTON|SUITE 1130|TULSA OK 74103|USA|||  ||GARY GOULD|918-585-5858|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/06/2004|0|0|0|0|0|0
Fort Worth Regional Office| 123761|801-63159|CORPORATE CONSULTING GROUP, INC.|CORPORATE CONSULTING GROUP, INC.|320 SOUTH BOSTON|SUITE 1130|TULSA OK 74103|USA|||  ||GARY W. GOULD|918-585-5858|Corporation|Pension consulting services, Selection of other advisers|APPROVED|05/20/2004|0|0|0|0|0|0
Fort Worth Regional Office| 123824|801-61595|ACKERMAN CAPITAL MANAGEMENT|ACKERMAN CAPITAL ADVISORS, LLC|5956 SHERRY LANE|SUITE 1600|DALLAS TX 75225|USA|||  ||DAVID B. ACKERMAN|214-361-5383|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|11/13/2002|0|0|0|0|0|0
Fort Worth Regional Office| 123939|801-61917|CDK REALTY ADVISORS, LP|CDK REALTY ADVISORS, LP|2301 N. AKARD ST. SUITE 100||DALLAS TX 75201|USA|||  ||KENNETH W. COOLEY|214-253-2140|Other (specify)|Pension consulting services, Other|APPROVED|04/03/2003|0|0|0|0|0|0
Fort Worth Regional Office| 124235|801-61702|SALI FUND SERVICES|SALI FUND MANAGEMENT, LLC|6850 AUSTIN CENTER BLVD.|SUITE 350|AUSTIN TX 78731|USA|||  ||THOMAS A. NIEMAN|512-682-1883|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/09/2003|0|0|0|0|0|0
Fort Worth Regional Office| 124414|801-62397|RANGER INVESTMENT MANAGEMENT,L.P.|RANGER INVESTMENT MANAGEMENT,L.P.|300 CRESCENT COURT,|SUITE 1100|DALLAS TX 75201|USA|||  ||TOM BURSON|214-871-5207|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|10/23/2003|0|0|0|0|0|0
Fort Worth Regional Office| 124421|801-62713|MUSTANG CAPITAL MANAGEMENT, LLC|MUSTANG CAPITAL MANAGEMENT, LLC.|1506 MCDUFFIE STREET||HOUSTON TX 77019|USA|||  ||JOHN LINNARTZ|713-520-0911|Limited Liability Company|Portfolio management for individuals and/or small businesses, Other|APPROVED|04/05/2004|0|0|0|0|0|0
Fort Worth Regional Office| 124626|801-61748|MERCANTILE INVESTMENT ADVISORS|MERCANTILE ADVISORS, L.L.P.|2650 MEACHAM BOULEVARD||FORT WORTH TX 76137|USA|||  ||JOHN J. FORD|817-831-6133|Limited Liability Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|05/16/2003|0|0|0|0|0|0
Fort Worth Regional Office| 124699|801-65147|KAIZEN MANAGEMENT, LP|KAIZEN MANAGEMENT, LP|4200 MONTROSE BLVD.|SUITE 400|HOUSTON TX 77006|USA|||  ||APRIL ARA|713.529.3660|Partnership|Other|APPROVED|01/13/2006|0|1|0|0|0|0
Fort Worth Regional Office| 124822|801-62442|BREEN INVESTORS LP|BREEN INVESTORS LP|4400 POST OAK PARKWAY|SUITE 2200|HOUSTON TX 77027|USA|||  ||O. DONALDSON CHAPOTON|713-223-9300|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|10/23/2003|0|0|0|0|0|0
Fort Worth Regional Office| 124945|801-61769|FOWLER FINANCIAL MANAGEMENT|BILLY J. FOWLER|2113 AUGUSTA||MCKINNEY TX 75070|USA|||  ||BILLY J. FOWLER|972-542-0800|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/06/2003|0|0|0|0|0|0
Fort Worth Regional Office| 124969|801-61812|LEHMAN BROTHERS PRIVATE FUND MANAGEMENT, LP|LEHMAN BROTHERS PRIVATE FUND MANAGEMENT, LP|325 NORTH ST. PAUL STREET|SUITE 4900|DALLAS TX 75201|USA|||  ||GARRETT S. HO|212 526-3582|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/25/2003|0|0|0|0|0|0
Fort Worth Regional Office| 124970|801-61813|LEHMAN BROTHERS PRIVATE FUND ADVISERS, LP|LEHMAN BROTHERS PRIVATE FUND ADVISERS, LP|325 NORTH ST. PAUL STREET|SUITE 4900|DALLAS TX 75201|USA|||  ||GARRETT S. HO|212 526-3582|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/25/2003|0|0|0|0|0|0
Fort Worth Regional Office| 125009|801-61802|RL BROWN FINANCIAL|BROWN, RICHARD LAMAR|2505 NORTH PLANO ROAD, SUITE 3600||RICHARDSON TX 75082|USA|||  ||RICHARD L. BROWN|972-783-7523|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/27/2003|0|0|0|0|0|0
Fort Worth Regional Office| 125011|801-61908|PEMBROKE ADVISORS|PEMBROKE ADVISORS, INC.|14655 CHAMPION FOREST DRIVE|#1405|HOUSTON TX 77069|USA|20333 STATE HIGHWAY 249|SUITE 200|HOUSTON TX 77070|USA|ROSS|832-717-4455|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/24/2003|0|0|0|0|0|0
Fort Worth Regional Office| 125073|801-61945|WFG ADVISORS, LP|WFG ADVISORS, LP|12221 MERIT DRIVE|SUITE 300|DALLAS TX 75251|USA|||  ||DAGNY YOUNG|972.661.8700|Other (specify)|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|04/11/2003|0|1|0|0|0|0
Fort Worth Regional Office| 126193|801-68722|LONGBOW ASSET MANAGEMENT COMPANY|LONGBOW ASSET MANAGEMENT COMPANY|415 SOUTH BOSTON AVENUE|SUITE 800|TULSA OK 74103|UNITED STATES|||  ||MICHAEL J. DOLLARHIDE|918-295-9929|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|01/14/2008|0|0|0|0|0|0
Fort Worth Regional Office| 126315|801-68458|CBC CAPITAL PARTNERS, LTD.|CBC CAPITAL PARTNERS, LTD.|5956 SHERRY LANE SUITE 1204||DALLAS TX 75225|USA|||  ||CHRISTOPHER BENIGNO|214-369-6974|Partnership|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|10/18/2007|0|0|0|0|0|0
Fort Worth Regional Office| 126338|801-62223|GREGORY.W.GROUP, INC.|GREGORY.W.GROUP, INC.|15 WEST SIXTH STREET|SUITE 2901|TULSA OK 74119|USA|||  ||GREGORY TICE WEAVER|918-583-1005|Corporation|Pension consulting services|APPROVED|07/14/2003|0|0|0|0|0|0
Fort Worth Regional Office| 126528|801-67111|WHITEHORSE CAPITAL PARTNERS, L.P.|WHITEHORSE CAPITAL PARTNERS, L.P.|200 CRESCENT COURT|SUITE 1414|DALLAS TX 75201|USA|||  ||JARRED|214-855-2999|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/28/2006|0|0|0|0|0|0
Fort Worth Regional Office| 127010|801-62640|POOL CAPITAL PARTNERS|POOL CAPITAL PARTNERS LLC|600 TRAVIS STREET|SUITE 5800|HOUSTON TX 77002|USA|||  ||STEPHEN POUNS|713-250-4226|Limited Liability Company|Other|APPROVED|01/28/2004|0|0|0|0|0|0
Fort Worth Regional Office| 127140|801-62081|ROCKY MOUNTAIN PRIVATE WEALTH MANAGEMENT, L.L.C.|ROCKY MOUNTAIN PRIVATE WEALTH MANAGEMENT, L.L.C.|6335 GULFTON|SUITE 104|HOUSTON TX 77081|USA|||  ||GABRIEL S. GALLEGOS|713-995-9690|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/21/2003|0|0|0|0|0|0
Fort Worth Regional Office| 127145|801-63991|SOWELL MANAGEMENT SERVICES|SOWELL FINANCIAL SERVICES, LLC|5509 SPRINGVALE ROAD|SUITE A|NORTH LITTLE ROCK AR 72116|USA|||  ||WILLIAM SOWELL|501-219-2434|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/27/2005|0|0|0|0|0|0
Fort Worth Regional Office| 127186|801-64386|STREETTALK ADVISORS, L.L.C.|STREETTALK ADVISORS, L.L.C.|2500 CITY WEST BLVD #300||HOUSTON TX 77042|USA|||  ||LANCE ROBERTS|713-914-8695|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|05/19/2005|0|1|0|0|0|0
Fort Worth Regional Office| 127325|801-62566|FORESIGHT ASSET MANAGEMENT|FORESIGHT ASSET MANAGEMENT|1634 PEBBLE CHASE DR.||KATY TX 77450|USA|||  ||MICHAEL BISSELL|281-398-0922|Limited Liability Company|Portfolio management for investment companies|APPROVED|01/02/2004|0|0|0|0|0|0
Fort Worth Regional Office| 127425|801-62163|RAHLFS CAPITAL, LLC|RAHLFS CAPITAL, LLC|2106 MENTON DRIVE||CARROLLTON TX 75006|USA|||  ||BRIAN W. RAHLFS|972-416-0553|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|07/03/2003|0|0|0|0|0|0
Fort Worth Regional Office| 127465|801-67795|WILSHIRE-PENNINGTON GROUP, INC.|WILSHIRE-PENNINGTON GROUP, INC.|3129 NW 63RD ST||OKLAHOMA CITY OK 73116|USA|||  ||DAYNA TONSETH|405 751-8600|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|04/24/2007|0|0|0|0|0|0
Fort Worth Regional Office| 127474|801-64737|EVOLVE SECURITIES, INC.|EVOLVE SECURITIES, INC.|5300 BEE CAVES ROAD|BUILDING 3, SUITE 200|AUSTIN TX 78746|USA|||  ||CARLA J. REYNOLDS|901-624-5500|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|10/12/2005|0|0|0|0|0|0
Fort Worth Regional Office| 127639|801-65527|CORRIENTE ADVISORS, LLC|CORRIENTE ADVISORS, LLC|201 MAIN STREET|SUITE 1800|FORT WORTH TX 76102|USA|||  ||CHAD FAHLBERG|817.870.0400|Limited Liability Company|Other|APPROVED|01/24/2006|0|0|0|0|0|0
Fort Worth Regional Office| 127990|801-62342|PACIFIC STRATEGIC MANAGEMENT, LP|PACIFIC STRATEGIC MANAGEMENT, LP|700 LOUSIANA STREET|SUITE 1100|HOUSTON TX 77002|USA|||  ||MONICA K. BENTON|713-495-5220|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|09/26/2003|0|0|0|0|0|0
Fort Worth Regional Office| 128051|801-65429|SSR CAPITAL PARTNERS, LP|SSR CAPITAL PARTNERS, LP|4514 COLE AVENUE|SUITE 1000|DALLAS TX 75205|USA|||  ||RINDY LAQUEY|972-776-8000|Other (specify)|Other|APPROVED|02/14/2006|0|0|0|0|0|0
Fort Worth Regional Office| 128227|801-67511|REXFORD CAPITAL INC.|REXFORD CAPITAL INC.|5420 BRAEBURN DRIVE||BELLAIRE TX 77401|USA|||  ||ROBERT REXFORD|713.838.8383|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/31/2007|0|0|0|0|0|0
Fort Worth Regional Office| 128338|801-65053|HIGHSIDE CAPITAL MANAGEMENT, L.P.|HIGHSIDE CAPITAL MANAGEMENT, L.P.|100 CRESCENT COURT, SUITE 860||DALLAS TX 75201|USA|||  ||H. MICHAEL REESE|(214) 855-2303|Other (specify)|Other|APPROVED|01/06/2006|0|0|0|0|0|0
Fort Worth Regional Office| 128421|801-62385|COLEMAN RIVER CAPITAL, LLC|COLEMAN RIVER CAPITAL, LLC|4435 SOUTHERN AVENUE||DALLAS TX 75205-2622|USA|||  ||J. WADE BROWNE|214-522-7843|Limited Liability Company|Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|10/02/2003|0|1|0|0|0|0
Fort Worth Regional Office| 128472|801-62481|PRUDENT MONEY FINANCIAL SERVICES|RPBROOKS FINANCIAL, INC.|909 LAKE CAROLYN PARKWAY|SUITE 230|IRVING TX 75039|USA|||  ||AMY M. EUBANKS|972-386-0384|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters, Other|APPROVED|12/03/2003|0|0|0|0|0|0
Fort Worth Regional Office| 128561|801-62750|MBG RETIREMENT|MBG RETIREMENT, INC.|5151 SAN FELIPE|17TH FLOOR|HOUSTON TX 77056|USA|||  ||PATRICIA KELLY FAWCETT SOMOZA|713-693-6107|Corporation|Pension consulting services, Selection of other advisers|APPROVED|02/06/2004|0|0|0|0|0|0
Fort Worth Regional Office| 128935|801-62476|IRONMAN CAPITAL MANAGEMENT, LLC|IRONMAN CAPITAL MANAGEMENT, LLC|2211 NORFOLK|SUITE 611|HOUSTON TX 77098|USA|||  ||G. BRYAN DUTT|713/218-6945|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|10/31/2003|0|0|0|0|0|0
Fort Worth Regional Office| 128979|801-62458|MONCRIEF WILLINGHAM ENERGY ADVISERS, L.P.|MONCRIEF WILLINGHAM ENERGY ADVISERS, L.P.|909 FANNIN STREET|SUITE 2650|HOUSTON TX 77010|USA|||  ||BURTON J. WILLINGHAM|713/658-9900|Partnership|Other|APPROVED|11/07/2003|0|1|0|0|0|0
Fort Worth Regional Office| 129257|801-65011|MERITAGE CAPITAL, L.P.|MERITAGE CAPITAL, L.P.|114 WEST SEVENTH STREET|SUITE 1300|AUSTIN TX 78701-3017|USA|||  ||LORI SHAVER|512.637.9763|Partnership|Other|APPROVED|12/12/2005|0|0|0|0|0|0
Fort Worth Regional Office| 129346|801-62618|ENDOWMENT ADVISERS, L.P.|ENDOWMENT ADVISERS, L.P.|4265 SAN FELIPE|8TH FLOOR|HOUSTON TX 77027-2920|USA|||  ||ROY V. WASHINGTON|713-993-4686|Other (specify)|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/02/2004|0|0|0|0|0|0
Fort Worth Regional Office| 129610|801-62656|PREMIERSOURCE LLC|PREMIERSOURCE LLC|211 N. ROBINSON AVE., STE. 1900||OKLAHOMA CITY OK 73102|USA|||  ||TEAH CORLEY|405-228-7699|Limited Liability Company|Pension consulting services|APPROVED|01/23/2004|0|0|0|0|0|0
Fort Worth Regional Office| 129667|801-62567|FOREST HILL CAPITAL, LLC|FOREST HILL CAPITAL, LLC|100 MORGAN KEEGAN DRIVE|SUITE 430|LITTLE ROCK AR 72202|USA|||  ||J.P. BRIZZOLARA|501-666-3031|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/09/2004|0|0|0|0|0|0
Fort Worth Regional Office| 129669|801-62554|LEXINGTON ASSET MANAGEMENT, INC.|LEXINGTON ASSET MANAGEMENT, INC.|5847 SAN FELIPE|STE 200|HOUSTON TX 77057|USA|||  ||TODD HANSLIK|(713) 344-9303|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/02/2004|0|0|0|0|0|0
Fort Worth Regional Office| 129675|801-62641|BROWNLIE & BRADEN, LLC|BROWNLIE & BRADEN, LLC|1909 WOODALL RODGERS FREEWAY|SUITE 500|DALLAS TX 75201|USA|||  ||JAMES BRADEN|214-219-4651|Limited Liability Company|Financial planning services, Selection of other advisers, Other|APPROVED|01/02/2004|0|0|0|0|0|0
Fort Worth Regional Office| 129701|801-64374|LBJ ASSET MANAGEMENT PARTNERS, LTD.|LBJ ASSET MANAGEMENT PARTNERS, LTD.|114 WEST SEVENTH STREET|SUITE 900|AUSTIN TX 78701|USA|||  ||FAITH VINCENT|512-457-5008|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/15/2005|0|0|0|0|0|0
Fort Worth Regional Office| 129852|801-62642|HAWKINS CAPITAL L.P.|HAWKINS CAPITAL L.P.|717 TEXAS AVENUE|SUITE 3000|HOUSTON TX 77002|USA|717 TEXAS AVENUE|SUITE 3001|HOUSTON TX 77002|USA|GARY BONNER|713-238-2056|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/07/2004|0|0|0|0|0|0
Fort Worth Regional Office| 129927|801-62644|ARCHAMBO FINANCIAL ADVISORS, INC.|ARCHAMBO FINANCIAL ADVISORS, INC.|310 SOUTH OSAGE||BARTLESVILLE OK 74003|USA|||  ||MARK ARCHAMBO|918-336-2222|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/02/2004|0|0|0|0|0|0
Fort Worth Regional Office| 130047|801-64176|THESEUS ENERGY LLC|THESEUS ENERGY LLC|1000 LOUISIANA|SUITE 6925|HOUSTON TX 77002|USA|||  ||SANDEEP S. SACHDEVA|713.751.9900|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|04/08/2005|0|0|0|0|0|0
Fort Worth Regional Office| 130100|801-67222|STARBOARD CAPITAL PARTNERS, L.P.|STARBOARD CAPITAL PARTNERS, L.P.|3000 WESLAYAN STREET|SUITE 385|HOUSTON TX 77027|USA|||  ||ROBERT P. ROSS, JR.|713/439-1727|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/02/2006|0|3|1|0|0|0
Fort Worth Regional Office| 130155|801-62932|CENTURY ADVISORS, LLC|CENTURY ADVISORS, LLC|750 E. BRITTON RD.||OKLAHOMA CITY OK 73114|USA|||  ||FRANK G. MCGUIRE, III|405-879-0123|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/26/2004|0|1|0|0|0|0
Fort Worth Regional Office| 130447|801-62779|PATRIOT WEALTH MANAGEMENT, INC.|PATRIOT WEALTH MANAGEMENT, INC.|5847 SAN FELIPE|SUITE 200|HOUSTON TX 77057|USA|||  ||STEPHANIE GREER|713-344-9310|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|02/09/2004|0|0|0|0|0|0
Fort Worth Regional Office| 130475|801-62789|BURNS ADVISORY GROUP|BURNS WEALTH MANAGEMENT, INC.|9401 CEDAR LAKE AVE.||OKLAHOMA CITY OK 73114|USA|||  ||JOHN FORREST BURNS, JR.|405-478-1971|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/09/2004|0|0|0|0|0|0
Fort Worth Regional Office| 130505|801-65164|ZABRISKIE, STEVEN|STEVEN ARTHUR ZABRISKIE|9218 SERENE CREEK DRIVE||SAN ANTONIO TX 78230|USA|||  ||STEVEN ARTHUR ZABRISKIE|210-979-0485|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|02/01/2006|0|0|0|0|0|0
Fort Worth Regional Office| 130550|801-63340|E & G ADVISORS LP|E & G ADVISORS LP|230 WESTCOTT, SUITE 220||HOUSTON TX 77007|USA|||  ||MARK E. EASLEY|713-880-5819|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/16/2004|0|0|0|0|0|0
Fort Worth Regional Office| 130562|801-68081|PIVOT POINT ADVISORS, LLC|PIVOT POINT ADVISORS, LLC|5959 WEST LOOP SOUTH|SUITE 333|BELLAIRE TX 77401|USA|||  ||MARTIN GREMM|832-778-7101|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/21/2007|0|0|0|0|0|0
Fort Worth Regional Office| 130569|801-62874|USF ADVISORS, LLC|USF ADVISORS, LLC|11 GREENWAY PLAZA|SUITE 2900|HOUSTON TX 77046|USA|||  ||STEVEN J. GRAUBART|713-341-4700|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/04/2004|0|0|0|0|0|0
Fort Worth Regional Office| 130652|801-62897|S&S WEALTH MANAGEMENT|S & S WEALTH MANAGEMENT, L.P.|2505 N. HIGHWAY 360|SUITE 490|GRAND PRAIRIE TX 75050-7825|USA|||  ||GLORIA PATTERSON|817-276-8090|Partnership|Portfolio management for individuals and/or small businesses, Other|APPROVED|03/12/2004|0|0|0|0|0|0
Fort Worth Regional Office| 130678|801-62983|BLUFFVIEW RIA, LP|BLUFFVIEW RIA, LP|100 CRESCENT COURT|SUITE 575|DALLAS TX 75201-1832|USA|||  ||JEFFREY G. RUPP|214-855-2550|Partnership|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|04/09/2004|0|0|2|0|0|0
Fort Worth Regional Office| 130777|801-67470|MOCKINGBIRD HOLDINGS, LLC|MOCKINGBIRD HOLDINGS, LLC|3355 WEST ALABAMA STREET|SUITE 1025|HOUSTON TX 77098|USA|||  ||CIMALIE A. ZOY|713-877-0200|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/18/2007|0|0|0|0|0|0
Fort Worth Regional Office| 130800|801-62950|"GTF ONE"|GTF I COMPANY, INC.|19138 WILLABY ROAD||NEW CANEY TX 77357-2414|USA|P.O. BOX 2414||NEW CANEY TX 77357-2414|USA|GERALD D KELLEY|281-689-2774|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Publication of periodicals or newsletters|APPROVED|04/13/2004|0|0|0|0|0|0
Fort Worth Regional Office| 130914|801-63009|IMS FINANCIAL ADVISORS, INC.|IMS FINANCIAL ADVISORS, INC.|WEST8 TOWER|10205 WESTHEIMER, SUITE 500|HOUSTON TX 77042|USA|WEST8 TOWER|10205 WESTHEIMER, SUITE 500|HOUSTON TX 77042|USA|DARLA D'AMATO|713-266-2993|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/28/2004|0|1|0|0|0|0
Fort Worth Regional Office| 131110|801-68090|CHESTNUT CREEK MANAGEMENT COMPANY LLC|CHESTNUT CREEK MANAGEMENT COMPANY LLC|719 SCOTT ST   STE 916||WICHITA FALLS TX 76301-2613|USA|P O BOX 8225||WICHITA FALLS TX 76307-8225|USA|DAVID I RAMSEY|940-322-2984|Limited Liability Company|Portfolio management for individuals and/or small businesses, Other|APPROVED|07/16/2007|0|0|0|0|0|0
Fort Worth Regional Office| 131248|801-68176|WEALTH ADVISORS, L.L.C.|WEALTH ADVISORS, L.L.C.|5407 SOUTH LEWIS AVE.|SUITE 200|TULSA OK 74105|USA|||  ||JOHN W. DAY|918-745-1200|Limited Liability Company|Portfolio management for individuals and/or small businesses, Other|APPROVED|08/02/2007|0|0|0|0|0|0
Fort Worth Regional Office| 131315|801-68996|AMICUS FINANCIAL ADVISORS, L.L.P.|AMICUS FINANCIAL ADVISORS, L.L.P.|4216 102ND STREET||LUBBOCK TX 79423-5707|USA|||  ||JOSEPH WINGATE TOMBS|806-698-1122|Limited Liability Partnership|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/03/2008|0|0|0|0|0|0
Fort Worth Regional Office| 131397|801-63193|HFV ASSET MANAGEMENT, L.P.|HFV ASSET MANAGEMENT, L.P.|1601 ELM STREET|SUITE 4000|DALLAS TX 75201|USA|||  ||STEVEN W. CAPLE|214.720.1600|Partnership|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/25/2004|0|0|0|0|0|0
Fort Worth Regional Office| 131407|801-63120|PRICE WEALTH MANAGEMENT, INC.|PRICE WEALTH MANAGEMENT, INC.|111 CONGRESS|SUITE 3000|AUSTIN TX 78701-4050|USA|||  ||ERIC M. PRICE|512-320-8550|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|05/18/2004|0|0|0|0|0|0
Fort Worth Regional Office| 131417|801-64945|CPMG, INC.|CPMG, INC.|2100 MCKINNEY|SUITE 1770|DALLAS TX 75201|USA|||  ||JOHN E. BATEMAN|214-871-6816|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|12/14/2005|0|1|0|0|0|0
Fort Worth Regional Office| 131482|801-63165|PUCKETT FINANCIAL ADVISORS, LLC|PUCKETT FINANCIAL ADVISORS, LLC|13921 QUAIL POINTE DRIVE||OKLAHOMA CITY OK 73134|USA|||  ||BRIAN PUCKETT|405-607-4820|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/18/2004|0|0|0|0|0|0
Fort Worth Regional Office| 131517|801-63255|SWANK ENERGY INCOME ADVISORS, LP|SWANK ENERGY INCOME ADVISORS, LP|3300 OAK LAWN AVE|SUITE 650|DALLAS TX 75219|USA|||  ||MICHAEL S. MINCES|214-692-6334|Other (specify)|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/17/2004|0|0|0|0|0|0
Fort Worth Regional Office| 131544|801-63166|AQS ASSET MANAGEMENT, L.L.C.|AQS ASSET MANAGEMENT, L.L.C.|811 BARTON SPRINGS RD|STE 800|AUSTIN TX 78704|USA|||  ||BYRON L. WHITE|512-314 0720|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/18/2004|0|0|0|0|0|0
Fort Worth Regional Office| 131625|801-63362|PALANTIR CAPITAL MANAGEMENT, LTD.|PALANTIR CAPITAL MANAGEMENT, LTD.|3355 WEST ALABAMA STREET|SUITE 1025|HOUSTON TX 77098|USA|||  ||CIMALIE A. ZOY|713-877-0200|Partnership|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/11/2004|0|0|0|0|0|0
Fort Worth Regional Office| 131658|801-63295|NEW CAPITAL MANAGEMENT, LP|NEW CAPITAL MANAGEMENT, LP|4203 MONTROSE BLVD|SUITE 340|HOUSTON TX 77006|USA|||  ||LEONARD GOLUB|713-724-3682|Partnership|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|07/09/2004|0|0|0|0|0|0
Fort Worth Regional Office| 131714|801-67867|AFS INVESTMENT ADVISORS, INC.|AFS INVESTMENT ADVISORS, INC.|5300 BEE CAVES ROAD|BLDG III SUITE 100|AUSTIN TX 78746|USA|||  ||AMANDA M. CHRISTIANS|512-351-4370|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|04/30/2007|0|0|0|0|0|0
Fort Worth Regional Office| 131750|801-63216|MUTUALS ADVISORS, INC.|MUTUALS ADVISORS, INC.|700 N. PEARL|STE. 900|DALLAS TX 75201|USA|||  ||DAVID E. SCOTT - D.E. SCOTT & ASSOCIATES|646-415-8159|Corporation|Portfolio management for investment companies, Selection of other advisers|APPROVED|05/20/2004|1|1|1|0|0|0
Fort Worth Regional Office| 132049|801-63264|NGP INVESTMENT ADVISOR, LP|NGP INVESTMENT ADVISOR, LP|1221 MCKINNEY STREET|SUITE 2975|HOUSTON TX 77010|USA|||  ||STEPHEN K. GARDNER|713-752-0062|Other (specify)|Portfolio management for investment companies|APPROVED|06/29/2004|0|0|0|0|0|0
Fort Worth Regional Office| 132117|801-63395|CENTAUR CAPITAL PARTNERS, L.P.|CENTAUR CAPITAL PARTNERS, L.P.|1460 MAIN STREET|SUITE 234|SOUTHLAKE TX 76092|USA|||  ||MALCOLM EZEKIAL ASHTON|817-488-9632|Partnership|Portfolio management for investment companies, Other|APPROVED|07/30/2004|0|0|0|0|0|0
Fort Worth Regional Office| 132276|801-63886|RANGER FUND MANAGEMENT, L.P.|RANGER FUND MANAGEMENT, L.P.|300 CRESCENT COURT|SUITE 1100|DALLAS TX 75201|USA|||  ||TOM BURSON|(214)871-5207|Partnership|Selection of other advisers|APPROVED|03/08/2005|0|1|0|0|0|0
Fort Worth Regional Office| 132393|801-65270|GSSF MANAGEMENT PARTNERS, LP|CSSF MANAGEMENT PARTNERS, LP|100 CRESCENT COURT|SUITE 475|DALLAS TX 75201|USA|||  ||E.B. LYON IV|214-871-6798|Partnership|Other|APPROVED|01/30/2006|0|1|1|0|0|0
Fort Worth Regional Office| 132401|801-68126|TITAN WEALTH MANAGEMENT, LLC|TITAN WEALTH MANAGEMENT, LLC|2400 DALLAS PARKWAY|SUITE 510|PLANO TX 75093|USA|||  ||THOMAS LESTER IRBY II|972.378.9494|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/23/2007|0|1|0|0|0|0
Fort Worth Regional Office| 132406|801-63434|GLOBAL FINANCIAL ADVISOR I, LP|GLOBAL FINANCIAL ADVISORS I, LP|5501 INDEPENDENCE PARKWAY|SUITE 314|PLANO TX 75023|USA|||  ||ANGELO C. PRIETO|9727580852|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/24/2004|0|0|0|0|0|0
Fort Worth Regional Office| 132477|801-67145|EFG CORPORATION|EFG CORPORATION|7800 PRESTON ROAD|SUITE 121|PLANO TX 75024|USA|||  ||JERRY GEORGOPOULOS|214.473.9200|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|10/05/2006|0|0|0|0|0|0
Fort Worth Regional Office| 132485|801-63464|WATERSTREET INVESTMENT CONSULTANTS, LLC|WATERSTREET INVESTMENT CONSULTANTS, LLC|100 CONGRESS AVENUE|SUITE 1400|AUSTIN TX 78701|USA|||  ||JAMES STOKER|512-334-3303|Limited Liability Company|Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers, Other|APPROVED|08/27/2004|0|0|0|0|0|0
Fort Worth Regional Office| 132493|801-63558|PARADIGM CAPITAL CORPORATION|PARADIGM CAPITAL CORPORATION|201 MAIN ST|SUITE 1555|FORT WORTH TX 76102|USA|||  ||TERRI MILLER|817-335-1145|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/05/2004|0|0|0|0|0|0
Fort Worth Regional Office| 132519|801-63411|BRIDGECREEK INVESTMENT MANAGEMENT, LLC|BRIDGECREEK INVESTMENT MANAGEMENT, LLC|SOUTHERN HILLS TOWER|2431 E. 61ST STREET, SUITE 315|TULSA OK 74136|USA|||  ||BRIAN GREGORY CARNEY|918-392-1990|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/03/2004|0|0|0|0|0|0
Fort Worth Regional Office| 132560|801-67032|SOUTHWEST FINANCIAL SERVICES, LLC|SOUTHWEST FINANCIAL SERVICES, LLC|1437 SOUTH BOULDER|SUITE 1070|TULSA OK 74119|U.S.A.|8177 SOUTH HARVARD, PMB 336||TULSA OK 74137|USA|DAVID A. COLE|918-592-6810|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/24/2006|0|0|0|0|0|0
Fort Worth Regional Office| 132567|801-66904|FINANCIAL INNOVATIONS LLC|FINANCIAL INNOVATIONS LLC|17300 DALLAS PARKWAY|SUITE 2030|DALLAS TX 75248|USA|||  ||MICHAEL J. DAVIDSON|972-931-0063|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/28/2006|0|0|0|0|0|0
Fort Worth Regional Office| 132845|801-63543|D F BURCH ADVISORS, LTD.|D F BURCH ADVISORS, LTD.|8111 PRESTON ROAD|SUITE 805|DALLAS TX 75225-6316|USA|||  ||DAVID F. BURCH|214-696-1725|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|09/30/2004|0|0|0|0|0|0
Fort Worth Regional Office| 132894|801-63539|MARKETTREND ADVISORS, LTD.|MARKETTREND ADVISORS, LTD.|3318 TREADSOFT COVE||AUSTIN TX 78748|USA|3720 GATTIS SCHOOL ROAD #800-214||ROUND ROCK TX 78664|USA|BEATRICE SCHREYER|512-255-8722|Partnership|Portfolio management for individuals and/or small businesses|APPROVED|09/29/2004|0|0|0|0|0|0
Fort Worth Regional Office| 132962|801-67368|STOLPER ASSET MANAGEMENT|THE STOLPER COMPANY LLC|1924 S UTICA AVE STE 805||TULSA OK 74104-6516|USA|||  ||SANDI BULLOCK|918-745-6060|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|01/03/2007|0|0|0|0|0|0
Fort Worth Regional Office| 132967|801-63545|CAPITAL ROYALTY L.P.|CAPITAL ROYALTY L.P.|1000 MAIN STREET, SUITE 2500||HOUSTON TX 77002|USA|||  ||FRANK GIROLAMO|713-209-7374|Partnership|Other|APPROVED|10/01/2004|0|0|0|0|0|0
Fort Worth Regional Office| 132975|801-64155|NORCAP INVESTMENT MANAGEMENT, L.P.|NORCAP INVESTMENT MANAGEMENT, L.P.|TWO LINCOLN CENTER|5420 LBJ FREEWAY, SUITE 525|DALLAS TX 75240|USA|||  ||DAVID NORCOM|972-701-8816|Other (specify)|Other|APPROVED|04/14/2005|0|0|0|0|0|0
Fort Worth Regional Office| 133110|801-63765|CAYMUS CAPITAL PARTNERS, L.P.|CAYMUS CAPITAL PARTNERS, L.P.|10001 WOODLOCH FOREST DRIVE|SUITE 225|THE WOODLANDS TX 77380|USA|||  ||GREGG A. JACOBSON|281-203-5280|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/03/2005|0|0|0|0|0|0
Fort Worth Regional Office| 133165|801-63639|LAMINAR DIRECT CAPITAL GP, INC.|LAMINAR DIRECT CAPITAL GP, INC.|10000 MEMORIAL DRIVE, SUITE 500||HOUSTON TX 77026|USA|||  ||ROCHELLE ASSAEL ELIAS|212-478-0000|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/05/2004|0|0|0|0|0|0
Fort Worth Regional Office| 133361|801-63703|PARATUS FINANCIAL, INC.|PARATUS FINANCIAL, INC.|5910 N. CENTRAL EXPWY, SUITE 1955||DALLAS TX 75206|USA|||  ||DIANA BACON|214-378-7400|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|01/03/2005|0|0|0|0|0|0
Fort Worth Regional Office| 133471|801-63749|THIRD COAST CAPITAL MANAGEMENT, L.P.|THIRD COAST CAPITAL MANAGEMENT, L.P.|5914 WEST COURTYARD DRIVE|SUITE 190|AUSTIN TX 78730|USA|||  ||STEPHANIE LUCKE|512-306-7277|Partnership|Other|APPROVED|01/03/2005|0|0|0|0|0|0
Fort Worth Regional Office| 133690|801-63818|THE WATCHMAN GROUP, INC.|THE WATCHMAN GROUP, INC.|5045 LORIMAR DRIVE|SUITE 200|PLANO TX 75093|USA|||  ||MARK G. ROBINSON|469-241-0122|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/14/2005|0|0|0|0|0|0
Fort Worth Regional Office| 133705|801-63975|VIRTUS PRIVATE WEALTH MANAGEMENT|VIRTUS PRIVATE WEALTH MANAGEMENT|7004 BEE CAVE ROAD|BLDG 3 STE 300|AUSTIN TX 78746|USA|||  ||MARCY STEWARD|512.891.1202|Partnership|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/11/2005|0|0|0|0|0|0
Fort Worth Regional Office| 133766|801-67876|MATTERHORN CAPITAL MANAGEMENT, LLC|MATTERHORN CAPITAL MANAGEMENT, LLC|16410 BLANCO ROAD|SUITE 2|SAN ANTONIO TX 78232|USA|||  ||NEALA MOORE|210.694.4329|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/08/2007|0|0|0|0|0|0
Fort Worth Regional Office| 133873|801-67457|TRINITY FIDUCIARY PARTNERS, LLC|TRINITY FIDUCIARY PARTNERS, LLC|306 WEST 7TH STREET|SUITE 616|FORT WORTH TX 76102|USA|||  ||SAMUEL J. SALADINO, III|817-529-0444|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|01/05/2007|0|0|0|0|0|0
Fort Worth Regional Office| 133918|801-63836|HARLOW CAPITAL MANAGEMENT LLC|HARLOW CAPITAL MANAGEMENT LLC|2305 CEDAR SPRINGS ROAD|SUITE 407|DALLAS TX 75201|USA|||  ||COLBY HARLOW|214 754 0800|Limited Liability Company|Portfolio management for individuals and/or small businesses, Other|APPROVED|01/27/2005|0|0|0|0|0|0
Fort Worth Regional Office| 133939|801-66199|STEPHEN JONES CAPITAL MANAGEMENT, INC.|STEPHEN JONES CAPITAL MANAGEMENT, INC.|805 LAS CIMAS PARKWAY|SUITE 125|AUSTIN TX 78746|USA|||  ||THOMAS E. VILLALTA|(512) 494-1174|Corporation|Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|02/01/2006|0|0|0|0|0|0
Fort Worth Regional Office| 134086|801-66368|LEVEL FOUR ADVISORY SERVICES|LEVEL FOUR ADVISORY SERVICES, LLC|5601 DEMOCRACY DRIVE|SUITE 170|PLANO TX 75024|USA|P.O. BOX 1208||FRISCO TX 75034|USA|JOSEPH GLOBENSKY|972-665-0878|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|03/03/2006|0|0|0|0|0|0
Fort Worth Regional Office| 134526|801-67229|CHAMPION CAPITAL RESEARCH, INC.|CHAMPION CAPITAL RESEARCH, INC.|510 BERING|SUITE 300|HOUSTON TX 77057|USA|||  ||MARY KATHRYN CAMPION|713-974-8883|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|10/05/2006|0|0|0|0|0|0
Fort Worth Regional Office| 134573|801-66676|LAFITTE CAPITAL MANAGEMENT LP|LAFITTE CAPITAL MANAGEMENT LP|701 BRAZOS STREET|SUITE 310|AUSTIN TX 78701|USA|||  ||BRYANT REGAN|512.478.1271|Partnership|Other|APPROVED|05/04/2006|0|0|0|0|0|0
Fort Worth Regional Office| 134601|801-64764|HAWKEYE PARTNERS, L.P.|HAWKEYE PARTNERS, L.P.|3600 N. CAPITAL OF TEXAS HWY.|BUILDING B, SUITE 200|AUSTIN TX 78746|USA|||  ||JAMES A. TAYLOR|512-628-4030|Partnership|Other|APPROVED|01/27/2006|0|0|0|0|0|0
Fort Worth Regional Office| 134641|801-64189|COBB RETIREMENT SOLUTIONS, LLC|COBB RETIREMENT SOLUTIONS, LLC|14133 MEMORIAL DRIVE, SUITE 8||HOUSTON TX 77079|USA|14133 MEMORIAL DRIVE, SUITE 8||HOUSTON TX 77079|USA|MARSHALL COBB|713.660.9605|Limited Liability Company|Financial planning services, Pension consulting services|APPROVED|04/21/2005|0|0|0|0|0|0
Fort Worth Regional Office| 134714|801-64071|SOUTHERN WEALTH INVESTMENT ADVISORS LLC|SOUTHERN WEALTH INVESTMENT ADVISORS LLC|5005 LBJ FREEWAY|SUITE 920|DALLAS TX 75244|USA|||  ||THOMAS S. GILE|972-661-4607|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|04/14/2005|0|0|0|0|0|0
Fort Worth Regional Office| 134868|801-65394|SPYGLASS MANAGEMENT, LP|SPYGLASS MANAGEMENT, LP|510 BERING DRIVE|SUITE 230|HOUSTON TX 77057|USA|||  ||STEPHEN KIM|713-268-1644|Other (specify)|Portfolio management for individuals and/or small businesses|APPROVED|02/24/2006|0|0|0|0|0|0
Fort Worth Regional Office| 134928|801-64623|EFG ADVISORS|EVOLVE INVESTMENT ADVISORS, INC.|11300 N. CENTRAL EXPRESSWAY|SUITE 601|DALLAS TX 75243|USA|||  ||CARLA J. REYNOLDS|901-624-5500|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|08/16/2005|0|0|0|0|0|0
Fort Worth Regional Office| 134941|801-64211|KENMONT INVESTMENTS MANAGEMENT, L.P.|KENMONT INVESTMENTS MANAGEMENT, L.P.|711 LOUISIANA STREET|SUITE 1750|HOUSTON TX 77002|USA|||  ||JOHN T. HARKRIDER|713.223.9922|Partnership|Portfolio management for investment companies, Other|APPROVED|04/20/2005|0|0|0|0|0|0
Fort Worth Regional Office| 134969|801-67958|CAPITAL MANAGEMENT ADVISORS LP|CAPITAL MANAGEMENT ADVISORS LP|7500 SAN FELIPE|SUITE 600|HOUSTON TX 77063|USA|||  ||R. RANDALL  RAINEY|713-914-8176|Other (specify)|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|05/29/2007|0|0|0|0|0|0
Fort Worth Regional Office| 134988|801-67493|CRISPIAN VENTURE CAPITAL, LLC|CRISPIAN VENTURE CAPITAL, LLC|5000 LEGACY DRIVE|SUITE 140A|PLANO TX 75024|USA|||  ||DAVID T. MACHEMEHL|972-608-8753|Limited Liability Company|Other|APPROVED|02/02/2007|0|1|0|0|0|0
Fort Worth Regional Office| 135059|801-64293|THE LEGACY FINANCIAL GROUP, INC.|THE LEGACY FINANCIAL GROUP, INC.|5387 S. SHERIDAN||TULSA OK 74145|USA|||  ||MARK SPRINGER|918 622-1466|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|04/04/2005|0|0|0|0|0|0
Fort Worth Regional Office| 135062|801-67484|THE MUTUAL FUND STORE|TMFS-AUSTIN, LLC|4201 W PARMER LANE|BUILDING B, SUITE 250|AUSTIN TX 78727|USA|||  ||JOHN E CAREY|512-490-0044|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/31/2007|0|0|0|0|0|0
Fort Worth Regional Office| 135145|801-67609|TALIS ADVISORY SERVICES, LLC|TALIS ADVISORY SERVICES, LLC|6205 CHAPEL HILL BLVD|SUITE 400|PLANO TX 75093|USA|||  ||JEFFREY B. EVERETT|972-378-1795|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|03/02/2007|0|0|0|0|0|0
Fort Worth Regional Office| 135226|801-64482|CHOICE ADVISORY GROUP, INC.|CHOICE ADVISORY GROUP, INC.|4800 BEE CAVES ROAD||AUSTIN TX 78746|USA|P.O. BOX 161718||AUSTIN TX 78716-1718|USA|CRAIG L. MILLER|512-623-4008|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|07/29/2005|1|5|2|0|0|0
Fort Worth Regional Office| 135326|801-64312|COMBEST FINANCIAL SERVICES, INC.|COMBEST FINANCIAL SERVICES, INC.|831 W. MAIN ST.||DUNCAN OK 73533|USA|||  ||JOSEPH H. COMBEST|580-470-9476|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/26/2005|0|0|0|0|0|0
Fort Worth Regional Office| 135387|801-64309|CHINAMERICA HOLDINGS, L.L.C.|CHINAMERICA HOLDINGS, L.L.C.|2909 ST. ANDREWS DR.||RICHARDSON TX 75082|USA|||  ||BEAU JOHNSON|972-690-1177|Limited Liability Company|Other|APPROVED|05/26/2005|0|0|0|0|0|0
Fort Worth Regional Office| 135522|801-68346|DOUBLE EAGLE CAPITAL MANAGEMENT LP|DOUBLE EAGLE CAPITAL MANAGEMENT LP|909 LAKE CAROLYN PARKWAY|SUITE 1825|IRVING TX 75039|USA|||  ||ADAM DICUS|972.869.6880|Partnership|Other|APPROVED|09/28/2007|0|0|0|0|0|0
Fort Worth Regional Office| 135613|801-64579|USF ALTERNATIVE SERVICES, LLC|USF ALTERNATIVE SERVICES, LLC|11 GREENWAY PLAZA|SUITE 2900|HOUSTON TX 77046|USA|||  ||STEVEN J. GRAUBART|713-341-4700|Limited Liability Company|Other|APPROVED|08/12/2005|0|0|0|0|0|0
Fort Worth Regional Office| 135691|801-64373|CM ENERGY PARTNERS, INC.|CM ENERGY PARTNERS, INC.|2100 MCKINNEY AVENUE|SUITE 1500|DALLAS TX 75201|USA|||  ||JAMES FALVEY|617 574 6050|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|06/16/2005|0|0|0|0|0|0
Fort Worth Regional Office| 135821|801-64396|MOORE CLAYTON CAPITAL ADVISORS, INC.|MOORE CLAYTON CAPITAL ADVISERS, INC.|2727 ALLEN PARKWAY|13TH FLOOR|HOUSTON TX 77019|USA|10757 SOUTH RIVER FRONT PKWY SUITE 125||SOUTH JORDAN UT 84095|UNITED STATES|KENNETH DENOS|801-816-2511|Corporation|Portfolio management for investment companies|APPROVED|07/05/2005|0|0|0|0|0|0
Fort Worth Regional Office| 135824|801-64953|ALIGNMENT CAPITAL GROUP, LLC|ALIGNMENT CAPITAL GROUP, LLC|11940 JOLLYVILLE RD|SUITE #330-N|AUSTIN TX 78759|USA|||  ||CRAIG NICKELS|512-506-8299|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|01/18/2006|0|0|0|0|0|0
Fort Worth Regional Office| 136124|801-64464|YX FUNDS LTD|YX FUNDS LTD|100 CRESCENT COURT|SUITE 485|DALLAS TX 75201|USA|||  ||SHANNON J. COLLINS|214-871-6729|Partnership|Other|APPROVED|07/01/2005|0|0|0|0|0|0
Fort Worth Regional Office| 136180|801-64476|BAKER ASSET MANAGEMENT|BAKER ASSET MANAGEMENT, LLC|1601 NW EXPRESSWAY|20TH FLOOR, SUITE A|OKLAHOMA CITY OK 73118|USA|||  ||ROBERT TODD OWENS|405-415-7270|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/30/2005|0|0|0|0|0|0
Fort Worth Regional Office| 136184|801-64667|THE QUANTITATIVE GROUP, L.P.|THE QUANTITATIVE GROUP, L.P.|700 NORTH ST. MARY'S|SUITE 800|SAN ANTONIO TX 78205|USA|||  ||CHERYL TAYLOR|210-798-4259|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|08/26/2005|0|0|0|0|0|0
Fort Worth Regional Office| 136188|801-64535|EKLEKTIKOS CAPITAL MANAGEMENT, LP|EKLEKTIKOS CAPITAL MANAGEMENT, LP|100 CONGRESS AVENUE|SUITE 1400|AUSTIN TX 78701|USA|||  ||LAURIE BONNER|512-493-3500|Partnership|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|07/28/2005|0|0|0|0|0|0
Fort Worth Regional Office| 136369|801-64675|STEPHENS INVESTMENT MANAGEMENT GROUP, LLC|STEPHENS INVESTMENT MANAGEMENT GROUP, LLC|111 CENTER STREET||LITTLE ROCK AR 72201|USA|||  ||LAURA GREER|501-377-2203|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/02/2005|0|12|2|0|0|0
Fort Worth Regional Office| 136382|801-64541|CYNTHIA L. CONGER, CPA, PA|CYNTHIA L. CONGER, CPA, PA|2300 ANDOVER COURT|SUITE 560|LITTLE ROCK AR 72227|USA|||  ||CYNTHIA L. CONGER|501-374-1174|Other (specify)|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|07/22/2005|0|0|0|0|0|0
Fort Worth Regional Office| 136435|801-64540|SARACEN ENERGY ADVISORS, LP|SARACEN ENERGY ADVISORS, LP|FIVE GREENWAY PLAZA|SUITE 1310|HOUSTON TX 77046-0526|USA|||  ||ALFREDO R. GUTIERREZ|713 366-7084|Partnership|Other|APPROVED|07/25/2005|1|0|0|0|0|0
Fort Worth Regional Office| 136485|801-65940|TRIPPON WEALTH MANAGEMENT GROUP LLC|TRIPPON WEALTH MANAGEMENT GROUP LLC|8955 KATY FREEWAY|SUITE 310|HOUSTON TX 77024|USA|||  ||JAMES TRIPPON|713-661-1040|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/31/2006|0|0|0|0|0|0
Fort Worth Regional Office| 136531|801-64590|RHOADS LUCCA CAPITAL PARTNERS, L.P.|RHOADS LUCCA CAPITAL PARTNERS L.P.|14911 QUORUM DR.|SUITE 380|DALLAS TX 75254-7058|USA|||  ||PETER MAUTHE|214-373-9771|Partnership|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/16/2005|0|0|0|0|0|0
Fort Worth Regional Office| 136596|801-64775|LD LOWE SR., FINANCIAL ADVISORY|LD LOWE SR., LLP|7651 MAIN STREET|#100|FRISCO TX 75034|USA|||  ||ETHAN BONAR|972-335-2523|Limited Liability Partnership|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|10/07/2005|0|0|0|0|0|0
Fort Worth Regional Office| 136641|801-64769|BRAINARD CAPITAL MANAGEMENT LLC|BRAINARD CAPITAL MANAGEMENT LLC|100 CONGRESS AVENUE|SUITE 2000|AUSTIN TX 78701|USA|2727 EXPOSITION BLVD|STE 119 PMB 150|AUSTIN TX 78703|USA|J. OWEN BRAINARD, JR.|877-375-6470|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|10/03/2005|0|0|0|0|0|0
Fort Worth Regional Office| 136654|801-64726|L & B REALTY ADVISORS, LLP|L & B REALTY ADVISORS, LLP|8750 NORTH CENTRAL EXPRESSWAY, SUITE 800||DALLAS TX 75231|USA|||  ||ANGELA M HALL|214-989-0683|Limited Liability Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|08/31/2005|0|0|0|0|0|0
Fort Worth Regional Office| 136667|801-64802|ANNANDALE CAPITAL, LLC|ANNANDALE CAPITAL, LLC|4514 COLE AVENUE, SUITE 1225||DALLAS TX 75205|USA|||  ||JUDY O'POLKA|214-523-5002|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|10/11/2005|0|0|0|0|0|0
Fort Worth Regional Office| 136728|801-65730|FOUNTAINHEAD PARTNERS L.P.|FOUNTAINHEAD PARTNERS L.P.|2201 E LAMAR STE 260||ARLINGTON TX 76006|USA|||  ||MAEGAN ANDERS|817-649-2100|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/26/2006|0|0|0|0|0|0
Fort Worth Regional Office| 136925|801-64962|IFRAH FINANCIAL SERVICES, INC.|IFRAH FINANCIAL SERVICES, INC.|17300 CHENAL PARKWAY|SUITE 150|LITTLE ROCK AR 72223|USA|||  ||PATRICK IFRAH|501-821-7733|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|11/29/2005|0|0|0|0|0|0
Fort Worth Regional Office| 137045|801-64873|CONDERA ADVISORS, LLC|CONDERA ADVISORS, LLC|4900 WOODWAY DRIVE|SUITE 940|HOUSTON TX 77056|USA|||  ||MATTHEW CRUMP|713-580-1899|Limited Liability Company|Selection of other advisers, Other|APPROVED|11/18/2005|0|0|0|0|0|0
Fort Worth Regional Office| 137058|801-66302|AHRENS ADVISORS, L.P.|AHRENS ADVISORS, L.P.|4144 N. CENTRAL EXPRESSWAY|SUITE 600|DALLAS TX 75204|USA|||  ||DAN AHRENS|214-934-8160|Partnership|Portfolio management for investment companies|APPROVED|01/31/2006|0|0|0|0|0|0
Fort Worth Regional Office| 137307|801-64827|MAXOUT SAVINGS ADVISORS LLC|MAXOUT SAVINGS ADVISORS LLC|5599 SAN FELIPE|SUITE 110|HOUSTON TX 77056|USA|||  ||TED K GEOCA|713-627-0400|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters, Other|APPROVED|11/25/2005|0|0|0|0|0|0
Fort Worth Regional Office| 137652|801-64952|CATAMOUNT CAPITAL LLC|CATAMOUNT CAPITAL LLC|2602 MCKINNEY AVE.|SUITE 230|DALLAS TX 75204|USA|2602 MCKINNEY AVE.|SUITE 230|DALLAS TX 75204|USA|GREG MATTLAGE|214-871-1116|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Market timing services|APPROVED|01/03/2006|0|0|0|0|0|0
Fort Worth Regional Office| 137713|801-65890|METROPOLITAN CAPITAL MANAGEMENT, INC.|METROPOLITAN CAPITAL MANAGEMENT, INC.|425 W. CAPIT0L AVE.|13TH FLOOR|LITTLE ROCK AR 72201|USA|P.O. BOX 8010||LITTLE ROCK AR 72203|U.S.A.|JILL COX|501-377-7406|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/26/2006|0|0|0|0|0|0
Fort Worth Regional Office| 137846|801-65150|TRAFF ASSET MANAGEMENT, INC.|TRAFF ASSET MANAGEMENT, INC.|PLAZA TOWER 110 N. COLLEGE|SUITE 1402|TYLER TX 75702|USA|||  ||DAVID TRAFF|903-593-2396|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/03/2006|0|0|0|0|0|0
Fort Worth Regional Office| 137902|801-65640|LOGIC CAPITAL MANAGEMENT, LLP|LOGIC CAPITAL MANAGEMENT, LLP|2000 BERING, SUITE 150||HOUSTON TX 77057|USA|||  ||TOBY WHITBY|713-781-1475|Limited Liability Partnership|Portfolio management for individuals and/or small businesses|APPROVED|01/26/2006|0|0|0|0|0|0
Fort Worth Regional Office| 137930|801-65043|IRONMARK ADVISORS, LLC|IRONMARK ADVISORS, LLC|5072 WEST PLANO PARKWAY|SUITE 260|PLANO TX 75093|USA|||  ||ERIC R. WITTE|866-449-4766|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|12/16/2005|0|0|0|0|0|0
Fort Worth Regional Office| 137996|801-64907|ALERIAN CAPITAL MANAGEMENT LLC|ALERIAN CAPITAL MANAGEMENT LLC|2100 MCKINNEY AVENUE, SUITE 1825||DALLAS TX 75201|USA|45 ROCKEFELLER PLAZA, SUITE 2000||NEW YORK NY 10111|USA|DANIEL HAMMOND|212 332-7810|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|11/22/2005|0|0|0|0|0|0
Fort Worth Regional Office| 138188|801-65785|PARKCENTRAL CAPITAL MANAGEMENT, L.P.|PARKCENTRAL CAPITAL MANAGEMENT, L.P.|2300 W. PLANO PARKWAY||PLANO TX 75075|USA|P.O. BOX 269014||PLANO TX 75026-9014|USA|DAVID RADUNSKY|972-535-1983|Partnership|Other|APPROVED|01/24/2006|0|0|0|0|0|0
Fort Worth Regional Office| 138241|801-67940|THE MUTUAL FUND STORE|TMFS-SAN ANTONIO, LLC|555 EAST BASSE ROAD|SUITE 206|SAN ANTONIO TX 78209|USA|||  ||ANDREW S HEDRICK|210-826-9400|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/30/2007|0|0|0|0|0|0
Fort Worth Regional Office| 138524|801-65121|CHAPWOOD CAPITAL INVESTMENT MANAGEMENT, LLC|CHAPWOOD CAPITAL INVESTMENT MANAGEMENT, LLC|15455 N DALLAS PARKWAY|STE 750|ADDISON TX 75001|USA|||  ||KIM M. SAMS|972-865-2224|Limited Liability Company|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|01/12/2006|0|0|0|0|0|0
Fort Worth Regional Office| 138532|801-68545|OSAGE ENERGY PARTNERS, L.P.|OSAGE ENERGY PARTNERS, L.P.|25227 GROGANS MILL ROAD|SUITE 125|THE WOODLANDS TX 77380|USA|||  ||ERIC WERNER|281-296-1688|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/16/2007|0|0|0|0|0|0
Fort Worth Regional Office| 138543|801-66265|KAREN A. MEREDITH, CPA|MEREDITH, KAREN ANN|251 O'CONNOR RIDGE BLVD.|SUITE 370|IRVING TX 75038-6525|USA|||  ||KAREN A. MEREDITH|214-492-1986|Sole Proprietorship|Financial planning services, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|03/06/2006|0|0|0|0|0|0
Fort Worth Regional Office| 138612|801-65283|CYPRESS ADVISORY SERVICES LTD., LLP|CYPRESS ADVISORY SERVICES LTD., LLP|820 GESSNER|SUITE 1450|HOUSTON TX 77024|USA|||  ||KURT L. BOX|713-827-8014|Limited Liability Partnership|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|02/01/2006|0|0|0|0|0|0
Fort Worth Regional Office| 138787|801-65245|SOF MANAGEMENT, LLC|SOF MANAGEMENT, LLC|600 TRAVIS|SUITE 5800|HOUSTON TX 77002|USA|||  ||JOHN T. UNGER|713-993-4645|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/15/2006|0|6|0|0|0|0
Fort Worth Regional Office| 138872|801-66711|BIRD ROCK ASSET MANAGEMENT, LP|BIRD ROCK ASSET MANAGEMENT, LP.|815 BRAZOS ST., SUITE 400||AUSTIN TX 78701|USA|||  ||CHRISTINA CANNELLA|512-236-0071|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/12/2006|0|0|0|0|0|0
Fort Worth Regional Office| 138962|801-66190|KRUEGER & CATALANO CAPITAL PARTNERS, LLC|KRUEGER & CATALANO CAPITAL PARTNERS, LLC|7700 SAN FELIPE DRIVE|SUITE 470|HOUSTON TX 77063|USA|||  ||MICHAEL B. CATALANO|713-784-3873|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/27/2006|0|0|0|0|0|0
Fort Worth Regional Office| 138986|801-65615|OPSIS CAPITAL MANAGEMENT LP|OPSIS CAPITAL MANAGEMENT LP|200 CRESCENT COURT|SUITE 275|DALLAS TX 75201|USA|||  ||KEITH BENEDICT|214.276.8903|Partnership|Other|APPROVED|01/23/2006|0|0|0|0|0|0
Fort Worth Regional Office| 139117|801-65871|TRINITY FINANCIAL PARTNERS, LLC|TRINITY FINANCIAL PARTNERS, LLC|3878 OAK LAWN||DALLAS TX 75219|USA|||  ||STEVE WILENSKY|214-520-3333|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED-120|02/01/2006|0|0|0|0|0|0
Fort Worth Regional Office| 139162|801-66139|S.B. VALUE PARTNERS, L.P.|S.B. VALUE PARTNERS, L.P.|16414 SAN PEDRO|STE 150|SAN ANTONIO TX 78232|USA|||  ||ALANA SANDERSON|210-582-2808|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/16/2006|0|1|0|0|0|0
Fort Worth Regional Office| 139205|801-66383|SHIELDADVISORS CORP.|SHIELD ADVISORS CORP.|7660 WOODWAY PLACE|SUITE 584|HOUSTON TX 77063|USA|||  ||PAUL B. JACKSON|713-982-7830|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/09/2006|0|0|0|0|0|0
Fort Worth Regional Office| 139368|801-66417|NEWPORT GLOBAL ADVISORS L.P.|NEWPORT GLOBAL ADVISORS L.P.|21 WATERWAY AVENUE|SUITE 150|THE WOODLANDS TX 77380-3098|USA|||  ||FRED J. FRANKLIN|401-277-5633|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/04/2006|0|0|0|0|0|0
Fort Worth Regional Office| 139563|801-66223|ORACLE ASSET ADVISORS, L.P.|ORACLE ASSET ADVISORS, L.P.|6708 CANYON CREST DRIVE||FORT WORTH TX 76132|USA|||  ||MARK B. HORRELL|817-233-7360|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/01/2006|0|0|0|0|0|0
Fort Worth Regional Office| 139713|801-66385|III TO I FINANCIAL MANAGEMENT RESEARCH, L.P.|III TO I FINANCIAL MANAGEMENT RESEARCH, L.P.|5580 PETERSON LANE|SUITE 100|DALLAS TX 75240-5151|USA|||  ||PAUL LYONS|972-340-2500|Partnership|Other|APPROVED|04/21/2006|0|0|0|0|0|0
Fort Worth Regional Office| 139722|801-66344|KEVIN CLARIDAY INVESTMENT ADVISOR|KEVIN PATRICK CLARIDAY|4325 ECHO GLEN||DALLAS TX 75244|USA|||  ||KEVIN CLARIDAY|972-385-1677|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|03/14/2006|0|0|0|0|0|0
Fort Worth Regional Office| 139757|801-66314|ALPHA WEALTH STRATEGIES, LLC|CLARK MONROE BLACKMAN L.L.C.|2610 DEER MOUNTAIN COURT||KINGWOOD TX 77345-2236|USA|4582 KINGWOOD DRIVE #125||KINGWOOD TX 77345-2640|USA|CLARK BLACKMAN|281-360-6671|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|02/24/2006|0|0|0|0|0|0
Fort Worth Regional Office| 139792|801-68997|LEGACYTEXAS WEALTH ADVISORS, LLC|LEGACYTEXAS WEALTH ADVISORS, LLC|3512 PRESTON ROAD||PLANO TX 75093-7408|USA|||  ||EARL JEFFERSON|972-461-1525|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/30/2008|0|0|0|0|0|0
Fort Worth Regional Office| 139804|801-66438|BLACKGOLD CAPITAL MANAGEMENT LP|BLACKGOLD CAPITAL MANAGEMENT LP|1400 POST OAK BOULEVARD|SUITE 300|HOUSTON TX 77056|USA|||  ||CORNELIA WENGHOEFER|713.400.6805|Partnership|Other|APPROVED|04/13/2006|0|0|0|0|0|0
Fort Worth Regional Office| 139811|801-66860|VANTAGE FOREST PRODUCTS LP|VANTAGE FOREST PRODUCTS LP|5847 SAN FELIPE|SUITE 1700|HOUSTON TX 77057|USA|||  ||EDWARD ONDARZA|713.954.9400|Partnership|Other|APPROVED|06/15/2006|0|0|0|0|0|0
Fort Worth Regional Office| 139856|801-67836|GALAPAGOS PARTNERS, L.P.|GALAPAGOS PARTNERS, L.P.|55 WAUGH DRIVE, SUITE 1130||HOUSTON TX 77007-5834|USA|||  ||BRENDA R. NEMZIN|713-906-0123|Other (specify)|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/04/2007|0|0|0|0|0|0
Fort Worth Regional Office| 139906|801-66597|CIMARRON ASSET MANAGEMENT, LLC|CIMARRON ASSET MANAGEMENT, LLC|545 E. JOHN CARPENTER FREEWAY|SUITE 1900|IRVING TX 75062|USA|||  ||BENJAMIN K. FRIEDMAN|214-389-9185|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/15/2006|0|0|0|0|0|0
Fort Worth Regional Office| 139921|801-66480|LONGHORN CAPITAL PARTNERS, L.P.|LONGHORN CAPITAL PARTNERS, L.P.|1445 ROSS AVENUE|SUITE 4450|DALLAS TX 75202|USA|||  ||PHILIP M ECKIAN|214-452-6260|Other (specify)|Other|APPROVED|03/24/2006|0|0|0|0|0|0
Fort Worth Regional Office| 140123|801-66647|FIRST HOUSTON CAPITAL, INC.|FIRST HOUSTON CAPITAL, INC.|800 GESSNER|SUITE 150|HOUSTON TX 77024|USA|||  ||CARRIE LEADER|713-461-0150|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|05/04/2006|0|0|0|0|0|0
Fort Worth Regional Office| 140204|801-67895|BASTIAT CAPITAL, LLC|BASTIAT CAPITAL, LLC|5700 GRANITE PARKWAY|SUITE 200|PLANO TX 75024|USA|||  ||DUSTY CULBERTSON|972-267-2031|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies|APPROVED|05/07/2007|0|0|0|0|0|0
Fort Worth Regional Office| 140212|801-66626|ENCELADUS INVESTMENT MANAGEMENT, LLC|ENCELADUS INVESTMENT MANAGEMENT, LLC|2626 COLE AVENUE|SUITE 705|DALLAS TX 75204|USA|||  ||R. KEVIN HARDAGE|214.468.0100|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/17/2006|0|0|0|0|0|0
Fort Worth Regional Office| 140332|801-66592|SUNSAGE CAPITAL MANAGEMENT|SUNSAGE CAPITAL, LLC|3007 SKYWAY CIRCLE NORTH||IRVING TX 75038-3524|USA|||  ||CLAYTON KOHL|800-820-3182|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/03/2006|0|0|0|0|0|0
Fort Worth Regional Office| 140348|801-66912|G.S. DEROCHE' CAPITAL MANAGEMENT, LLC|G.S. DEROCHE' CAPITAL MANAGEMENT, LLC|1330 POST OAK BOULEVARD, SUITE 1600||HOUSTON TX 77056|USA|||  ||BYRON T. BALTZELL|713-446-1776|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED-120|07/13/2006|0|0|0|0|0|0
Fort Worth Regional Office| 140532|801-66740|NAVIGATOR RETIREMENT PLANS AND INVESTMENTS|ROBERTS, JERRY RAY|1634 GREENBRIAR|FOR MAIL -1200 ELKINS LAKE|HUNTSVILLE TX 77340|USA|||  ||JERRY RAY ROBERTS|936-435-0029|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/31/2006|0|0|0|0|0|0
Fort Worth Regional Office| 140580|801-67282|JOHNS & WILKINSON LLC|JOHNS & WILKINSON LLC|1000 WESTBANK DR|SUITE 5A-200|AUSTIN TX 78746|USA|||  ||KERMIT JOHNS|512-330-0825|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|11/17/2006|0|0|0|0|0|0
Fort Worth Regional Office| 140681|801-66919|ADVISORALLIANCE, LLC|ADVISORALLIANCE, LLC|5305 VILLAGE PARKWAY|SUITE 5|ROGERS AR 72758|USA|||  ||W. CLAY KENDALL|479-845-4860|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/20/2006|0|0|0|0|0|0
Fort Worth Regional Office| 140899|801-66838|AQUANAUT CAPITAL MANAGEMENT, L.P.|AQUANAUT CAPITAL MANAGEMENT, L.P.|700 LOUISIANA|SUITE 4260|HOUSTON TX 77002-2700|USA|||  ||SVEN MAGNUS FYHR|713-987-7500|Partnership|Other|APPROVED|05/30/2006|0|0|0|0|0|0
Fort Worth Regional Office| 140994|801-68054|SWBC INVESTMENT COMPANY|SWBC INVESTMENT COMPANY|9311 SAN PEDRO AVENUE|SUITE 600|SAN ANTONIO TX 78216-4459|USA|||  ||JACOB D PALMER|210-321-7252|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|06/25/2007|0|0|0|0|0|0
Fort Worth Regional Office| 141037|801-67089|KA FUND ADVISORS, LLC|KA FUND ADVISORS, LLC|717 TEXAS AVENUE|SUITE 3100|HOUSTON TX 77002|USA|||  ||JUDITH RIDDER|(800) 231-7414|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/23/2006|0|0|0|0|0|0
Fort Worth Regional Office| 141112|801-67038|ANCIENT ART, L.P.|ANCIENT ART, L.P.|610 WEST 5TH STREET|SUITE 600|AUSTIN TX 78701|USA|||  ||DARIEN M. JEFFERIES|512.351.4440|Partnership|Other|APPROVED|07/14/2006|0|0|0|0|0|0
Fort Worth Regional Office| 141173|801-67118|WALTER J. REYNA, INC.|WALTER J. REYNA, INC.|5315 N. MCCOLL||MCALLEN TX 78504|USA|||  ||WALTER J. REYNA|956-682-4196|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|09/14/2006|0|0|0|0|0|0
Fort Worth Regional Office| 141185|801-67072|ARROWHEAD FINANCIAL SERVICES|ARROWHEAD FINANCIAL SERVICES, LTD.|1800 ST. JAMES PLACE|SUITE 210|HOUSTON TX 77056|USA|||  ||CHRISTOPHER FELCH|713-586-7121|Limited Liability Partnership|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|08/14/2006|0|0|0|0|0|0
Fort Worth Regional Office| 141343|801-69148|MILLER EQUITY CAPITAL ADVISORS|MARK ANTHONY MILLER|5550 LBJ FREEWAY|SUITE 670|DALLAS TX 75240|USA|||  ||MARK ANTHONY MILLER|972-490-4345|Sole Proprietorship|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|05/21/2008|0|1|0|0|0|0
Fort Worth Regional Office| 141451|801-67253|GHE ADVISERS, L.P.|GHE ADVISERS, L.P.|4265 SAN FELIPE|8TH FLOOR|HOUSTON TX 77027-2920|USA|||  ||ROY V. WASHINGTON|713-993-4686|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|11/13/2006|0|0|0|0|0|0
Fort Worth Regional Office| 141553|801-67185|STANFORD CAPITAL MANAGEMENT, LLC|STANFORD CAPITAL MANAGEMENT, LLC|5051 WESTHEIMER||HOUSTON TX 77056|USA|||  ||RHONDA LEAR|713-964-8416|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|09/25/2006|0|2|0|0|0|0
Fort Worth Regional Office| 141769|801-69382|BARDEN CAPITAL MANAGEMENT, INC.|BARDEN CAPITAL MANAGEMENT, INC.|8828 MOUNTAIN PATH CIRCLE||AUSTIN TX 78759|USA|||  ||RYAN BARDEN|512-366-8081|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/01/2008|0|0|0|0|0|0
Fort Worth Regional Office| 141849|801-67243|STRATEGIC FINANCIAL CONCEPTS, LLC|STRATEGIC FINANCIAL CONCEPTS, LLC|6800 PARK TEN BLVD.|SUITE 130E|SAN ANTONIO TX 78213|USA|||  ||REAGAN WAGNER|210-737-7800|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|10/24/2006|0|1|0|0|0|0
Fort Worth Regional Office| 142077|801-67380|BROOKLINE AVENUE PARTNERS, L.P.|BROOKLINE AVENUE PARTNERS, L.P.|100 CRESCENT COURT|SUITE 1100|DALLAS TX 75201|USA|||  ||KYLE KNUTSON|214-775-3100|Other (specify)|Other|APPROVED|12/14/2006|0|0|0|0|0|0
Fort Worth Regional Office| 142132|801-67412|MCKEELGESEK FINANCIAL ADVISORY SERVICES, LLC|MCKEELGESEK FINANCIAL ADVISORY SERVICES, LLC|235 SOUTH DENTON TAP ROAD|SUITE 100|COPPELL TX 75019|USA|||  ||JOHN MCKEEL|972-745-9080|Limited Liability Company|Other, Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/03/2007|0|0|0|0|0|0
Fort Worth Regional Office| 142175|801-67240|BLACK SWAN ADVISORS, LP|BLACK SWAN ADVISORS, L.P.|112 E. PECAN STREET|SUITE 810-B|SAN ANTONIO TX 78205-1533|USA|112 E. PECAN STREET|SUITE 810-B|SAN ANTONIO TX 78205-1533|USA|JUNE WHITNEY|210-477-7610|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|10/16/2006|0|0|0|0|0|0
Fort Worth Regional Office| 142227|801-67283|CUMBERLAND HILL CAPITAL MANAGEMENT LLC|CUMBERLAND HILL CAPITAL MANAGEMENT LLC|1901 N. AKARD ST.||DALLAS TX 75201|USA|||  ||DONNA OOSTDYK|214-855-5335|Limited Liability Company|Selection of other advisers, Other|APPROVED|11/13/2006|0|0|0|0|0|0
Fort Worth Regional Office| 142276|801-67463|SLOAN WEALTH MANAGEMENT, L.L.C.|SLOAN WEALTH MANAGEMENT, L.L.C.|100 CRESCENT COURT|SUITE 1130|DALLAS TX 75201|USA|||  ||CAROL A. DOLLAR|214-720-7500|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/15/2007|0|0|0|0|0|0
Fort Worth Regional Office| 142433|801-67340|CAPROCK CAPITAL, LLC|CAPROCK CAPITAL, LLC|16250 DALLAS PKWY, STE. 110||DALLAS TX 75248|USA|||  ||MARK E MITCHELL|972-248-2200|Limited Liability Company|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|11/20/2006|0|0|0|0|0|0
Fort Worth Regional Office| 142435|801-67317|CACH CAPITAL MANAGEMENT, LLC|CACH CAPITAL MANAGEMENT, LLC|1101 CAPITAL OF TEXAS HWY.|BLDG. K, STE. 150|AUSTIN TX 78746|USA|||  ||JOHN DAPPER|512-377-6566|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/16/2006|0|0|0|0|0|0
Fort Worth Regional Office| 142452|801-67315|SUMMIT INVESTMENT GROUP, LLC|SUMMIT INVESTMENT GROUP, LLC|11733 SOUTH SANDUSKY AVENUE||TULSA OK 74137|USA|||  ||CURT WILSON|918-266-8844|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|12/08/2006|0|0|0|0|0|0
Fort Worth Regional Office| 142570|801-67528|FINSER INVESTMENT ADVISOR|FINSER INVESTMENT ADVISOR|106 S. ST. MARY'S STREET, SUITE 600||SAN ANTONIO TX 78205|USA|||  ||VINCENT E. MYERS|(210) 224-5492|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/26/2007|0|0|0|0|0|0
Fort Worth Regional Office| 142665|801-67404|ASSETBUILDER, INC.|ASSETBUILDER, INC.|1255 WEST 15TH STREET|SUITE 240|PLANO TX 75075|USA|||  ||KENNON GROSE|972-535-4040|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/03/2007|0|0|0|0|0|0
Fort Worth Regional Office| 142679|801-67531|TRUGENT CAPITAL, L.P.|TRUGENT CAPITAL, L.P.|301 COMMERCE STREET, SUITE 1399||FORT WORTH TX 76102|USA|||  ||DOUGLAS SHIPPEE|817.231.0002|Partnership|Other|APPROVED|02/05/2007|0|0|0|0|0|0
Fort Worth Regional Office| 142852|801-67538|AMS ADVISORS LLC|AMS ADVISORS LLC|13740 RESEARCH BLVD|SUITE R-1|AUSTIN TX 78750|USA|||  ||RICHARD A. SCHILFFARTH, JR.|512-906-0175|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/08/2007|0|0|0|0|0|0
Fort Worth Regional Office| 143002|801-67546|ALPHAENGINE GLOBAL INVESTMENT SOLUTION LLC|ALPHAENGINE GLOBAL INVESTMENT SOLUTIONS LLC|5240 TENNYSON PARKWAY|SUITE 102|PLANO TX 75024-7181|USA|||  ||SANJAY MURALIDHAR|972 608 9919|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/26/2007|0|0|0|0|0|0
Fort Worth Regional Office| 143110|801-67899|GFS ADVISORS LLC|GFS ADVISORS LLC|1330 POST OAK BLVD., SUITE 2100||HOUSTON TX 77056|USA|||  ||JANE BATES|713-968-0400|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/21/2007|0|1|0|0|0|0
Fort Worth Regional Office| 143248|801-67601|SOLUTIONS 4 WEALTH|SOLUTIONS 4 WEALTH, LTD|1100 EAST SOUTHLAKE BLVD., SUITE 250||SOUTHLAKE TX 76092|USA|||  ||R. GUY HATCHER|817-267-9580|Partnership|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/15/2007|0|0|0|0|0|0
Fort Worth Regional Office| 143385|801-67660|ALDUS CAPITAL, LLC|ALDUS CAPITAL, LLC|2651 N. HARWOOD|SUITE 210|DALLAS TX 75201|USA|||  ||MATTHEW OREILLY|214-234-3995|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/13/2007|1|3|0|0|0|0
Fort Worth Regional Office| 143513|801-68837|STEWARD FINANCIAL GROUP, LLC|STEWARD FINANCIAL GROUP, LLC|5850 COLLEYVILLE BLVD||COLLEYVILLE TX 76034|USA|||  ||DUSTIN STIEFEL|817-290-2111|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/15/2008|0|0|0|0|0|0
Fort Worth Regional Office| 143721|801-67813|PARAGON ADVISORS, LLC|PARAGON ADVISORS, LLC|215 ROCK PRAIRIE RD.||COLLEGE STATION TX 77845|USA|P.O. BOX 11939||COLLEGE STATION TX 77840-1939|USA|DAVID W. HAILEY|(979) 693-3907|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/16/2007|0|0|0|0|0|0
Fort Worth Regional Office| 143771|801-67840|CYPRESS WEALTH MANAGEMENT, LLC|CYPRESS WEALTH MANAGEMENT, LLC|100 HIGHLAND PARK VILLAGE, SUITE 200||DALLAS TX 75205|USA|||  ||GLENDA BIANCHI|817-591-1147|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|04/24/2007|0|0|0|0|0|0
Fort Worth Regional Office| 143911|801-68030|GORDON C HAAVE ASSOCIATES, LLC|GORDON C HAAVE ASSOCIATES, LLC|6312 COMMDORE LANE||OKLAHOMA CITY OK 73162|USA|||  ||GORDON HAAVE|405-476-2658|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|07/05/2007|0|0|0|0|0|0
Fort Worth Regional Office| 143965|801-68057|BILTMORE CAPITAL ADVISORS|BILTMORE CAPITAL ADVISORS, LLC|2611 INTERNET BLVD.|SUITE 110|FRISCO TX 75034|USA|||  ||WESLEY PINGELTON|866.980.3336|Limited Liability Company|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|06/21/2007|0|0|0|0|0|0
Fort Worth Regional Office| 144009|801-67931|STRATFORD CONSULTING, LLC|STRATFORD CONSULTING, LLC|15303 DALLAS PARKWAY|SUITE 460|ADDISON TX 75001|USA|||  ||SUSAN SCHILDT|972-960-3781|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/29/2007|0|0|0|0|0|0
Fort Worth Regional Office| 144081|801-67910|JWKODAK CAPITAL MANAGEMENT LLC|JWKODAK CAPITAL MANAGEMENT LLC|3355 BEE CAVE ROAD|SUITE 607|AUSTIN TX 78746|USA|||  ||SCOTT KODAK|512-809-7873|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|05/16/2007|0|0|0|0|0|0
Fort Worth Regional Office| 144125|801-67956|HERITAGE ASSET ADVISORS LTD., LLP|HERITAGE ASSET ADVISORS LTD., LLP|1155 DAIRY ASHFORD, SUITE 120||HOUSTON TX 77079|USA|||  ||ANNE SHINN|281.966.3370|Limited Liability Partnership|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/06/2007|0|0|0|0|0|0
Fort Worth Regional Office| 144128|801-67957|CENTER COAST CAPITAL ADVISORS, LP|CENTER COAST CAPITAL ADVISORS, LP|1100 LOUISIANA STREET|SUITE 4550|HOUSTON TX 77002|USA|||  ||JIMMY CAVIN|(901) 259-6300|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/23/2007|0|0|0|0|0|0
Fort Worth Regional Office| 144278|801-68792|COMMERCE STREET INVESTMENT ADVISOR, LLC|COMMERCE STREET INVESTMENT ADVISOR, LLC|1700 PACIFIC AVENUE|SUITE 2020|DALLAS TX 75201|USA|||  ||ROBERT D PFIEFER JR.|214-545-6800|Limited Liability Company|Other|APPROVED|01/22/2008|0|0|0|0|0|0
Fort Worth Regional Office| 144386|801-68157|SMITH ANGLIN FINANCIAL, LLC|SMITH ANGLIN FINANCIAL, LLC|17738 PRESTON ROAD||DALLAS TX 75252|USA|P.O. BOX 794548||DALLAS TX 75379|USA|STEVEN ANGLIN|(972) 267-1244|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|08/02/2007|0|0|0|0|0|0
Fort Worth Regional Office| 144415|801-68125|DUFF & BOYNTON, LLC|DUFF & BOYNTON, LLC|98 SAN JACINTO BLVD., #520||AUSTIN TX 78701|USA|||  ||JEREMY BOYNTON|512-498-4500|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/12/2007|0|0|0|0|0|0
Fort Worth Regional Office| 144448|801-68092|AMHERST CAPITAL, INC.|AMHERST CAPITAL, INC.|2828 ROUTH STREET|SUITE 500|DALLAS TX 75201|USA|||  ||DENISE LOVGREN|214-849-9814|Corporation|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|07/20/2007|0|0|0|0|0|0
Fort Worth Regional Office| 144572|801-68168|DAVIS & WEHRLE, LLC|DAVIS & WEHRLE, LLC|4807 SPICEWOOD SPRINGS ROAD|SUITE 1290 BUILDING ONE|AUSTIN TX 78759|USA|||  ||KEVIN TUCKER DAVIS|512-346-1131|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|08/01/2007|0|0|0|0|0|0
Fort Worth Regional Office| 144588|801-68174|THE PERSONAL WEALTH COACH|THE WEALTH COACH, LLC|918 NORTH MAIN STREET||SALADO TX 76571|USA|P.O. BOX 1029||SALADO TX 76571-1029|USA|JEFFREY WILLIAM MCCLURE|254-947-1111|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|07/27/2007|0|0|0|0|0|0
Fort Worth Regional Office| 144808|801-68758|CFF CAPITAL LLC|CFF CAPITAL LLC|2299 LONE STAR DRIVE|#521|SUGAR LAND TX 77479|USA|||  ||FARHA AHMED|281-313-3832|Limited Liability Company|Other|APPROVED-120|01/16/2008|0|0|0|0|0|0
Fort Worth Regional Office| 144833|801-69321|MCMURREY INVESTMENT ADVISORS LLC|MCMURREY INVESTMENT ADVISORS LLC|2137 STANMORE DRIVE||HOUSTON TX 77019|USA|600 TRAVIS STREET|SUITE 7500|HOUSTON TX 77002|U.S.A.|DEBRA CALDERON|832-214-9954|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|06/25/2008|0|0|0|0|0|0
Fort Worth Regional Office| 144857|801-68258|ALPHASOURCE INVESTMENT COUNSEL, INC|ALPHASOURCE INVESTMENT COUNSEL, INC|9720 CYPRESSWOOD DRIVE|SUITE 224|HOUSTON TX 77070|USA|||  ||ROBERT WYRICK|888-765-6398|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|09/04/2007|0|0|0|0|0|0
Fort Worth Regional Office| 145395|801-68549|FUND ARCHITECTS, LLC|FUND ARCHITECTS, LLC|6710 HORIZON ROAD|SUITE 100|HEATH TX 75032|USA|||  ||BURT SNOVER|866-539-4186|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|11/30/2007|0|0|0|0|0|0
Fort Worth Regional Office| 145445|801-68476|MIRADOR FUNDS, L.P.|MIRADOR FUNDS, L.P.|200 CRESCENT COURT|SUITE 1600|DALLAS TX 75201|USA|||  ||DARREN MALONEY|214.740.7314|Partnership|Other|APPROVED|10/31/2007|0|0|0|0|0|0
Fort Worth Regional Office| 145467|801-68528|WHITLEY PENN FINANCIAL, L.L.P.|WHITLEY PENN FINANCIAL, L.L.P.|1400 WEST 7TH STREET, SUITE 400||FORT WORTH TX 76102|USA|||  ||FALLON AHEARN|817-259-9034|Limited Liability Partnership|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|01/02/2008|0|0|0|0|0|0
Fort Worth Regional Office| 145475|801-68533|BROOKMONT CAPITAL MANAGEMENT|BROOKMONT CAPITAL MANAGEMENT, LLC|2100 MCKINNEY AVE.|SUITE 900|DALLAS TX 75201|USA|||  ||SUSAN BEGANDO|214-932-6712|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters, Other|APPROVED|11/15/2007|0|0|0|0|0|0
Fort Worth Regional Office| 145493|801-68571|INVERMUNDO FINANCIAL SERVICES, INC.|INVERMUNDO FINANCIAL SERVICES, INC.|4502 RIVERWOOD CT||AUSTIN TX 78731|USA|||  ||MARTHA BUCIO|(512) 247-1139|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED-120|01/03/2008|0|0|0|0|0|0
Fort Worth Regional Office| 145501|801-68478|TOMMY N SAUSLEY, RIA|SAUSLEY, TOMMY, NED|4756 OAKMONT CT.||LEAGUE CITY TX 77573|USA|P.O. BOX 2565||LEAGUE CITY TX 77574|USA|TOMMY N SAUSLEY|281 772 8412|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|11/06/2007|0|0|0|0|0|0
Fort Worth Regional Office| 145518|801-68488|SPINDLETOP COMMONWEALTH ADVISORS LLC|SPINDLETOP COMMONWEALTH ADVISORS LLC|595 ORLEANS STREET|SUITE 816|BEAUMONT TX 77701|USA|||  ||DANIEL A. WEINBAUM|508-667-7936|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/06/2007|0|0|0|0|0|0
Fort Worth Regional Office| 145543|801-69133|RANGER ALTERNATIVE MANAGEMENT, L.P.|RANGER ALTERNATIVE MANAGEMENT, L.P.|300 CRESCENT COURT|SUITE 1100|DALLAS TX 75201|USA|||  ||THOMAS EADS BURSON|(214) 871-5207|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|05/12/2008|0|0|0|0|0|0
Fort Worth Regional Office| 145594|801-68572|SENDERO WEALTH MANAGEMENT, LLC|SENDERO WEALTH MANAGEMENT, LLC|7373 BROADWAY|SUITE 501|SAN ANTONIO TX 78209|USA|||  ||LISA KAHN-SMITH|210-805-0171|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|11/30/2007|0|0|0|0|0|0
Fort Worth Regional Office| 145597|801-68515|LAS COLINAS CAPITAL MANAGEMENT, LLC|LAS COLINAS CAPITAL MANAGEMENT, LLC|4020 N. MACARTHUR BLVD.|SUITE 122-325|IRVING TX 75038|USA|||  ||ROBERT J. KECSEG|972-887-9380|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|11/01/2007|0|0|0|0|0|0
Fort Worth Regional Office| 145665|801-69186|VAQUERO GLOBAL INVESTMENT LP|VAQUERO GLOBAL INVESTMENT LP|7373 BROADWAY|SUITE 405|SAN ANTONIO TX 78209|USA|||  ||TREY SCHENKEN|210.824.8125|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|05/21/2008|0|0|0|0|0|0
Fort Worth Regional Office| 145734|801-68657|RILEY-HUTTO WEALTH MANAGEMENT LLC|RILEY-HUTTO WEALTH MANAGEMENT LLC|512 MAIN STREET SUITE 1400||FORT WORTH TX 76102|USA|||  ||WILLIAM E. RILEY|817-870-4680|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/16/2008|0|0|1|0|0|0
Fort Worth Regional Office| 145769|801-68621|YACKTMAN CAPITAL GROUP, LLC|YACKTMAN CAPITAL GROUP, LLC|9026 ATWATER COVE||AUSTIN TX 78733|USA|2303 RR 620 SOUTH SUITE 135-174||AUSTIN TX 78734|USA|WILL KRUGER|512-653-2095|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|12/14/2007|0|0|0|0|0|0
Fort Worth Regional Office| 145797|801-68746|TPG CAPITAL, L.P.|TPG CAPITAL, L.P.|301 COMMERCE STREET|SUITE 3300|FORT WORTH TX 76102-4133|USA|||  ||DAVID REINTJES|(817) 871-4095|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/05/2008|1|50|1|0|0|0
Fort Worth Regional Office| 145812|801-68671|SECOND MILE WEALTH MANAGEMENT, INC|SECOND MILE WEALTH MANAGEMENT, INC|2425 WEST LOOP SOUTH|SUITE 200|HOUSTON TX 77027|USA|||  ||THOMAS G. COOPER|713-335-5568|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED-120|01/07/2008|0|0|0|0|0|0
Fort Worth Regional Office| 145814|801-68824|5151 ADVISORS, LLC|5151 ADVISORS, LLC|5151 SAN FELIPE, 17TH  FLOOR||HOUSTON TX 77056|USA|||  ||KELLY FAWCETT SOMOZA|713-693-1650|Limited Liability Company|Other|APPROVED|02/05/2008|0|0|0|0|0|0
Fort Worth Regional Office| 145853|801-68616|CLARK INVESTMENT STRATEGIES, INC.|CLARK INVESTMENT STRATEGIES, INC.|2100 ROSS AVENUE|SUITE 2200|DALLAS TX 75201|USA|702 RUSSELL AVENUE|SUITE 410|GAITHERSBURG MD 20877|USA|EDWARD J. BOVE|301-519-0447|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|01/02/2008|0|0|0|0|0|0
Fort Worth Regional Office| 145964|801-68665|EVERIS CAPITAL MANAGEMENT LLC|EVERIS CAPITAL MANAGEMENT LLC|5001 SPRING VALLEY RD.|SUITE 400 EAST|DALLAS TX 75244-3947|USA|||  ||SHACK CASHEN|972-383-1520|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED-120|12/21/2007|0|0|0|0|0|0
Fort Worth Regional Office| 146007|801-68707|HALL & NORTH FINANCIAL GROUP, LLC|HALL & NORTH FINANCIAL GROUP, LLC|3319 LOUVRE LANE||HOUSTON TX 77082|USA|||  ||JOANN NORTH|(281) 870-9400|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/14/2008|0|0|0|0|0|0
Fort Worth Regional Office| 146014|801-68840|POST OAK ENERGY ADVISORS, LLC|POST OAK ENERGY ADVISORS, LLC|1111 BAGBY, SUITE 4900||HOUSTON TX 77002|USA|||  ||ROBERT H. WALLS, JR.|713-571-9393|Limited Liability Company|Portfolio management for investment companies, Other|APPROVED-120|02/20/2008|0|0|0|0|0|0
Fort Worth Regional Office| 146148|801-68724|FROST INVESTMENT ADVISORS, LLC|FROST INVESTMENT ADVISORS, LLC|100 WEST HOUSTON STREET||SAN ANTONIO TX 78205|USA|||  ||NICHOLAS WHITE|210-220-6102|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/25/2008|0|0|0|0|0|0
Fort Worth Regional Office| 146207|801-69103|STOCKER WOODS FINANCIAL, INC|STOCKER WOODS FINANCIAL, INC|2412 OLD NORTH ROAD, #103||DENTON TX 76209|USA|||  ||MICHAEL D. WOODS|940-566-1212|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED-120|04/23/2008|0|0|0|0|0|0
Fort Worth Regional Office| 146225|801-69110|NEW VOICE FINANCIAL, INC.|NEW VOICE FINANCIAL, INC.|2500 WILCREST DRIVE|SUITE 315|HOUSTON TX 77042|USA|||  ||KAREN R. EYSTER|(713) 980-2210|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/08/2008|0|0|0|0|0|0
Fort Worth Regional Office| 146271|801-68946|THE SHERRY GROUP, INC.|THE SHERRY GROUP, INC.|5 E. 6TH STREET||MOUNTAIN HOME AR 72653|USA|||  ||THOMAS CZANSTKOWSKI|870-425-8252|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED-120|03/17/2008|0|0|0|0|0|0
Fort Worth Regional Office| 146315|801-69096|STANFORD FAMILY OFFICE, LLC|STANFORD FAMILY OFFICE, LLC|5051 WESTHEIMER, 11TH FLOOR||HOUSTON TX 77056|USA|||  ||RHONDA K. LEAR|713-964-8416|Limited Liability Company|Financial planning services, Other|APPROVED|05/01/2008|0|2|0|0|0|0
Fort Worth Regional Office| 146555|801-68941|EVOLUTION CAPITAL ADVISORS, L.L.C.|EVOLUTION CAPITAL ADVISORS, L.L.C.|21 WATERWAY AVENUE|SUITE 300|THE WOODLANDS TX 77380|USA|||  ||DAMIAN OMAR VALDEZ|713-268-1110|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/03/2008|0|0|0|0|0|0
Fort Worth Regional Office| 146702|801-69370|CYPRESS CAMON INVESTMENT MANAGEMENT|CYPRESS CAMON INVESTMENT MANAGEMENT, LLC|5944 LUTHER LN., SUITE 601||DALLAS TX 75225|USA|||  ||JUSTIN HUNTLEY|214.281.8060|Limited Liability Company|Other|APPROVED-120|07/02/2008|0|0|0|0|0|0
Fort Worth Regional Office| 146775|801-69083|STONEBRIDGE WEALTH MANAGEMENT, LLC|STONEBRIDGE WEALTH MANAGEMENT, LLC|6860 N. DALLAS PARKWAY|SUITE 200|PLANO TX 75024|USA|||  ||KELLEY J. DOUGLAS|214-437-7773|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED-120|04/23/2008|0|0|0|0|0|0
Fort Worth Regional Office| 146805|801-69052|TRINITY CHARITABLE FUND ADVISORS, LLC|TRINITY CHARITABLE FUND ADVISORS, LLC|TRINITY CHTRINITY CHARITABLE FUND ADVISORS, LLC|53987 EAST 353 ROAD|JAY OK 74346|USA|||  ||RICHARD CLOUD|918 314-1220|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED-120|04/14/2008|0|0|0|0|0|0
Fort Worth Regional Office| 146896|801-69019|HAYMAN ADVISORS, L.P.|HAYMAN ADVISORS, L.P.|2626 COLE AVENUE|SUITE 200|DALLAS TX 75204|USA|||  ||CHRIS KIRKPATRICK|214 347-8050|Other (specify)|Other|APPROVED|04/10/2008|0|0|0|0|0|0
Fort Worth Regional Office| 146900|801-69188|CIM WEALTH ADVISORS, LLC|CIM WEALTH ADVISORS, LLC|910 E. 1ST STREET||CHANDLER OK 74834|USA|||  ||BRAD|405-258-5205|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/22/2008|0|0|0|0|0|0
Fort Worth Regional Office| 146910|801-69077|HAYMAN MUNICIPAL STRATEGIES, LLC|HAYMAN MUNICIPAL STRATEGIES, LLC|2626 COLE AVENUE, SUITE 200||DALLAS TX 75204|USA|||  ||BJ LAMARCHE|214 2694981|Limited Liability Company|Other|APPROVED-120|04/11/2008|0|0|0|0|0|0
Fort Worth Regional Office| 146981|801-69150|TPH INVESTMENT ADVISORS LLC|TPH INVESTMENT ADVISORS LLC|1111 BAGBY STREET|SUITE 5000|HOUSTON TX 77002|USA|||  ||CHRISTINE J. P. DRUSCH|713-333-2966|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|05/16/2008|0|0|0|0|0|0
Fort Worth Regional Office| 147103|801-69132|PATRONUS ADVISORS|PATRONUS ADVISORS, LLC|3141 HOOD STREET|SUITE 650|DALLAS TX 75219|USA|||  ||DANIEL HARVEY|214.599.9950|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED-120|05/12/2008|0|0|0|0|0|0
Fort Worth Regional Office| 147107|801-69120|HAWTHORN CAPITAL, LLC|HAWTHORN CAPITAL, LLC|3703 DOROTHY AVE||DALLAS TX 75209|USA|4848 LEMMON AVE.|STE. 100|DALLAS TX 75219|USA|RANDLE BOLLINGER|214-295-6339|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|05/07/2008|0|0|0|0|0|0
Fort Worth Regional Office| 147278|801-69351|CAZ/INROADS GROUP, L.L.C.|CAZ/INROADS GROUP, L.L.C.|ONE RIVERWAY PLAZA|SUITE 2000|HOUSTON TX 77056|USA|||  ||CHRISTOPHER ZOOK|713-403-8250|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/10/2008|0|0|0|0|0|0
Fort Worth Regional Office| 147304|801-69217|VISIONARY ASSET MANAGEMENT|VISIONARY ASSET MANAGEMENT, INC.|2500 WILCREST DRIVE|SUITE 620|HOUSTON TX 77042|USA|||  ||SUSANNA JOINER SCHLANGEN|713-328-4980|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|05/27/2008|0|0|0|0|0|0
Fort Worth Regional Office| 147320|801-69229|VISTA AMERICAN CORPORATION|VISTA AMERICAN CORPORATION|18938 WHITEWATER LANE||DALLAS TX 75287|USA|||  ||RICHARD SCOTT|214-649-4100|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters, Other|APPROVED-120|06/05/2008|0|0|0|0|0|0
Fort Worth Regional Office| 147368|801-69307|J.P. SCOTT & COMPANY, LLC|J.P. SCOTT & COMPANY, LLC|3 LAKEWAY CENTRE COURT|SUITE 200|AUSTIN TX 78746|USA|||  ||JOHN P. SCOTT|512-306-0608|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED-120|06/25/2008|0|0|0|0|0|0
Fort Worth Regional Office| 147373|801-69223|ESPOSITO PARTNERS, LLC|ESPOSITO PARTNERS, LLC|300 CRESCENT COURT|SUITE 650|DALLAS TX 75201|USA|||  ||WILLIAM MARTIN|214-855-2150|Limited Liability Company|Other|APPROVED-120|06/10/2008|0|0|0|0|0|0
Fort Worth Regional Office| 147379|801-69363|TRUST ASSET MANAGEMENT LLC|TRUST ASSET MANAGEMENT LLC|1900 ST. JAMES PLACE|SUITE 200|HOUSTON TX 77056|USA|||  ||MARK SHINDER|713-979-9694|Limited Liability Company|Selection of other advisers, Other|APPROVED-120|07/02/2008|0|0|0|0|0|0
Fort Worth Regional Office| 147427|801-69274|HAYMAN WOODS, LLC|HAYMAN WOODS, LLC|2626 COLE AVENUE|SUITE 200|DALLAS TX 75204|USA|||  ||CHRIS KIRKPATRICK|214 646 8800|Limited Liability Company|Other|APPROVED-120|06/16/2008|0|0|0|0|0|0
Fort Worth Regional Office| 147500|801-69366|OPTIMUS CAPITAL ADVISORS, LLC|OPTIMUS CAPITAL ADVISORS, LLC|235 S DENTON TAP RD|SUITE 100|COPPELL TX 75019|USA|||  ||JOHN GESEK|972-745-7704|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED-120|07/31/2008|0|0|0|0|0|0
Fort Worth Regional Office| 147701|801-69377|RETIREMENT ADVISORS, LLC|RETIREMENT ADVISORS, LLC|5001 SPRING VALLEY ROAD|SUITE 400E|DALLAS TX 75244|USA|||  ||MICHAEL C. PERRY|972-383-1222|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED-120|07/31/2008|0|0|0|0|0|0
Headquarters|  18502|801-34865|AVANTI SECURITIES CORPORATION|AVANTI SECURITIES CORPORATION|22 ST CLAIR AVE EAST SUITE 1700||TORONTO ONTARIO  M4T 2S3|CANADA|||  ||ROSEN, DAWN S|416-323-1323|Corporation|Other|APPROVED|08/21/1989|0|0|0|0|0|0
Headquarters|  36500|801-50571|PICTET OVERSEAS INC.|PICTET OVERSEAS INC.|1800 MCGILL COLLEGE AVE|STE 2900|MONTREAL, QC  H3A 3J6|CANADA|||  ||LE, DEODAT|514-350-6266|Corporation|Other|APPROVED|04/25/1996|0|4|0|0|0|0
Headquarters| 105075|801-20289|DEUTSCHE ASSET MANAGEMENT INTERNATIONAL GMBH|DEUTSCHE ASSET MANAGEMENT INTERNATIONAL GMBH|MAINZER LANDSTRASSE 178-190||FRANKFURT AM MAIN  60327|GERMANY|||  ||RING, RALF|++49 69 71706 3443|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|12/16/1983|1|4|0|0|0|0
Headquarters| 105078|801-56081|GUARDIAN CAPITAL LP|GUARDIAN CAPITAL LP|COMMERCE CT W, SUITE 3100|199 BAY STREET|TORONTO, ONTARIO  M5L1E8|CANADA|||  ||MATTHEW D. TURNER|416-947-3708|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/07/1998|0|0|0|0|0|0
Headquarters| 105193|801-29922|HSBC GLOBAL ASSET MANAGEMENT (HONG KONG) LIMITED|HSBC GLOBAL ASSET MANAGEMENT (HONG KONG) LIMITED|HSBC MAIN BUILDING|1 QUEEN'S ROAD CENTRAL|HONG KONG  |HONG KONG|||  ||FUNG WAI TAT, DEREK|852-2284-1279|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/02/1987|0|0|0|0|0|0
Headquarters| 105205|801-15143|PICTET ASSET MANAGEMENT LIMITED|PICTET ASSET MANAGEMENT LIMITED|120 LONDON WALL|MOOR HOUSE - LEVEL 11|LONDON  EC2Y 5ET|UNITED KINGDOM|||  ||CAWTHROW, DAVID, ROBERT|4420-7847-5040|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/17/1980|0|4|0|0|0|0
Headquarters| 105298|801-16064|IMPULSORA DEL FONDO MEXICO, SC|IMPULSORA DEL FONDO MEXICO, SC|ARISTOTELES NO 77, 3 ER PISO||MEXICO DF  11560|MEXICO|||  ||WOODWORTH, CARLOS HUMBERTO|5255-5282-8900|Other (specify)|Portfolio management for investment companies|APPROVED|05/27/1981|0|0|0|0|0|0
Headquarters| 105555|801-61473|PERPETUITY|PERPETUITY ASSET MANAGEMENT INC|6665 ROYAL AVE., HORSESHOE BAY||WEST VANCOUVER  V7W 2E8|CANADA|P. O. BOX 91507 BELLEVUE LANDING||WEST VANCOUVER  V7V 3P2|CANADA|JAMES LYMBURNER|778 883 7651|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/24/2002|0|0|0|0|0|0
Headquarters| 105578|801-38077|GUARDIAN BAILLIE GIFFORD LIMITED|GUARDIAN BAILLIE GIFFORD LIMITED|CALTON SQUARE|1 GREENSIDE ROW|EDINBURGH  EH1 3AN|SCOTLAND|||  ||WRIGHT, GILLIAN|+44 131 275 3041|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/07/1991|0|0|0|0|0|0
Headquarters| 105646|801-34270|PYRFORD INTERNATIONAL LTD|PYRFORD INTERNATIONAL LTD|79 GROSVENOR ST|MAYFAIR|LONDON  W1K 3JU|UNITED KINGDOM|||  ||OLIVE, DAVID LLOYD|00-44-207-495-4641|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/12/1989|0|1|0|0|0|0
Headquarters| 105655|801-13895|W.P. STEWART & CO., LTD.|W.P. STEWART & CO., LTD.|TRINITY HALL, 43 CEDAR AVENUE||HAMILTON  HM 12|BERMUDA|TRINITY HALL, 43 CEDAR AVENUE|P.O. BOX HM 2905|HAMILTON  HM LX|BERMUDA|SETH L. PEARLSTEIN|212-750-8585|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/23/1978|0|0|0|0|0|0
Headquarters| 105724|801-15160|BARING INTERNATIONAL INVESTMENT LTD|BARING INTERNATIONAL INVESTMENT LTD|155 BISHOPSGATE||LONDON ENGLAND  EC2M 3XY|UNITED KINGDOM|||  ||BIGGINS, CHRISTOPHER|44 (0)20-7214 1863|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/15/1980|0|30|0|0|0|0
Headquarters| 105755|801-16776|SOCIETE D ANALYSES ECONOMIQUES ET FINANCIERES|SOCIETE D ANALYSES ECONOMIQUES ET FINANCIERES|12 RUE DU FAUBOURG ST HONORE||PARIS  75008|FRANCE|||  ||DE YTURBE, CHARLES|(33)1 5330 2260|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/29/1982|0|0|0|0|0|0
Headquarters| 105819|801-25482|ROGGE GLOBAL PARTNERS PLC|ROGGE GLOBAL PARTNERS PLC|SION HALL 56 VICTORIA EMBANKMENT||LONDON ENGLAND  EC4Y0DZ|UK|||  ||WITZER, DAVID MICHAEL|00 44 20 7842 8416|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/30/1985|0|0|0|0|0|0
Headquarters| 105841|801-17305|BLUNT FRANK CHRISTOPHER JR|FRANK CHRISTOPHER BLUNT JR|C/O WENTWORTH CAPITAL|GARTERNSTRASSE 14|ZURICH  8027|SWITZERLAND|||  ||BLUNT JR, FRANK C|011-41-44-209-9671|Sole Proprietorship|Other|APPROVED|06/23/1982|0|0|0|0|0|0
Headquarters| 105870|801-28464|HSBC GLOBAL ASSET MANAGEMENT (TAIWAN) LIMITED|HSBC GLOBAL ASSET MANAGEMENT (TAIWAN) LIMITED|24TH FLOOR|99 TUNHWA SOUTH RD., SECTION 2|TAIPEI  106|TAIWAN, R.O.C.|||  ||EVA LO|886-2-23268289|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/10/1986|0|0|0|0|0|0
Headquarters| 105922|801-26847|MORGAN STANLEY INVESTMENT MANAGEMENT LIMITED|MORGAN STANLEY INVESTMENT MANAGEMENT LIMITED|20 BANK STREET|CANARY WHARF|LONDON  E14 4AD|UNITED KINGDOM|||  ||MADELINE BARKHORN|212-762-7206|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/15/1986|0|1|17|0|0|0
Headquarters| 106007|801-57335|PAN GEO INVESTMENT INC|PAN GEO INVESTMENT INC|8 - 8666 LAUREL ST||VANCOUVER, BC  V6P 3V6|CANADA|#688, UNIT 4 - 350 S.E. MARINE DR||VANCOUVER, BC  V5X 2S5|CANADA|HAMILL, GARY BRUCE|604-321-0666; 778-848-9671|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Security ratings or pricing services, Other|APPROVED|04/11/2000|0|2|0|0|0|0
Headquarters| 106034|801-24840|DAIWA SB INVESTMENTS UK LTD|DAIWA SB INVESTMENTS UK LTD|5 KING WILLIAM STREET||LONDON  EC4N 7JA|ENGLAND|||  ||YUICHIRO ITO|+44 (0) 20 7597-7026|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/23/1985|0|1|0|0|0|0
Headquarters| 106207|801-48185|RESOLUTION INVESTMENT SERVICES LIMITED|RESOLUTION INVESTMENT SERVICES LIMITED|RESOLUTION HOUSE|50 BOTHWELL STREET|GLASGOW, SCOTLAND  G2 6HR|UNITED KINGDOM|||  ||GOLD, LINDSAY|011 44 141-222-8180|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/14/1994|0|1|0|0|0|0
Headquarters| 106355|801-45884|SPRUCEGROVE INVESTMENT MANAGEMENT LTD|SPRUCEGROVE INVESTMENT MANAGEMENT LTD|181 UNIVERSITY AVE. STE 1300||TORONTO ONTARIO  M5H 3M7|CANADA|||  ||MURPHY, M. BLAKE|416-363-5854 X222|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/15/1994|0|0|0|0|0|0
Headquarters| 106508|801-9707|CIBC GLOBAL ASSET MANAGEMENT INC.|CIBC GLOBAL ASSET MANAGEMENT INC.|1000 DE LA GAUCHETIERE ST WEST|SUITE 3200|MONTREAL QUEBEC H3B 4W5  H3B 4W5|CANADA|||  ||JEAN-PIERRE NADEAU|(514) 875-7045 EXT. 3339|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|01/02/1974|0|48|1|0|0|0
Headquarters| 106585|801-37163|SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA LTD|SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA LTD|31 GRESHAM STREET||LONDON  EC2V 7QA|UNITED KINGDOM|||  ||JASON GARDINER|+44 (0)20 7658 4570|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/14/1990|0|0|0|0|0|0
Headquarters| 106843|801-51087|BLACKROCK INTERNATIONAL, LTD.|BLACKROCK INTERNATIONAL, LTD.|40 TORPHICHEN STREET||EDINBURGH  EH3 8JB|SCOTLAND, UNITED KINGDOM|||  ||BATTISTA, BARTHOLOMEW|212-810-3423|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/26/1996|0|3|2|0|0|0
Headquarters| 107015|801-38202|D.A.C. DAVIS INVESTMENT COUNSEL, INC.|D.A.C. DAVIS INVESTMENT COUNSEL, INC.|95 ST. CLAIR AVENUE WEST|SUITE 1400|TORONTO ONTARIO  M4V 1N6|CANADA|||  ||DOUGLAS A.C. DAVIS|416-961-2212|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|01/31/1991|0|0|0|0|0|0
Headquarters| 107059|801-31780|BLACKROCK ASSET MANAGEMENT UK LIMITED|BLACKROCK ASSET MANAGEMENT UK LIMITED|33 KING WILLIAM STREET||LONDON  EC4R 9AS|ENGLAND|33 KING WILLIAM STREET||LONDON  EC4R 9AS|ENGLAND|BARTHOLOMEW A. BATTISTA|212-810-3423|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/29/1988|0|5|2|0|0|0
Headquarters| 107081|801-41622|JF INTERNATIONAL MANAGEMENT INC.|JF INTERNATIONAL MANAGEMENT INC.|21ST FLOOR, CHATER HOUSE, 8 CONNAUGHT ROAD CENTRAL||HONG KONG  |HONG KONG|||  ||SUNG, MURIEL|852-2800-2954|Corporation|Portfolio management for investment companies, Pension consulting services|APPROVED|06/03/1992|0|4|5|0|0|0
Headquarters| 107095|801-38908|PARETO, PARETO INVESTMENT MANAGEMENT LIMITED|PARETO INVESTMENT MANAGEMENT LIMITED|160 QUEEN VICTORIA STREET||LONDON  EC4V 4LA|UNITED KINGDOM|||  ||BRIAN NEWTON|+44 20 7163 1057|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/20/1991|0|0|0|0|0|0
Headquarters| 107142|801-38248|KINGS CAPITAL MANAGEMENT INC.|KINGS CAPITAL MANAGEMENT INC.|WAH HEI TOWER STE 2213|TUNG HEI COURT SHAU KEI WAN|HONG KONG  |HONG KONG|||  ||LEE, PHILIP Y|852-571-8492|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|02/07/1991|0|0|0|0|0|0
Headquarters| 107154|801-40083|FIDUCIARY TRUST INTERNATIONAL LIMITED|FIDUCIARY TRUST INTERNATIONAL LIMITED|THE ADELPHI, 1-11 JOHN ADAM STREET||LONDON  WC2N 6HT|ENGLAND|||  ||KELLIE ANN HARGRAVES|(0044) 207-073-8561|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/30/1991|0|4|2|0|0|0
Headquarters| 107155|801-52601|INVESCO ASSET MANAGEMENT (JAPAN) LIMITED|INVESCO ASSET MANAGEMENT (JAPAN) LIMITED|25TH FL, SHIROYAMA TRUST TOWER|3-1, TORANOMON 4-CHOME, MINATO-KU|TOKYO  105-6025|JAPAN|||  ||KAZUTAKA, ARAHATA|03-6402-2650|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/01/1996|0|2|0|0|0|0
Headquarters| 107183|801-40494|ING INVESTMENT MANAGEMENT|ING INVESTMENT MANAGEMENT ADVISORS B V|PRINSES BEATRIXLAAN 15||THE HAGUE  2595AK|THE NETHERLANDS|P.O. BOX 90470||THE HAGUE  2509 LL|THE NETHERLANDS|MARK VINK|+31703781835|Corporation|Portfolio management for investment companies, Other|APPROVED|02/07/1992|0|1|0|0|0|0
Headquarters| 107206|801-37205|FISCHER FRANCIS TREES & WATTS|FISCHER FRANCIS TREES & WATTS|2 ROYAL EXCHANGE||LONDON  EC3V 3RA|UK|||  ||PETROVIC, JELENA|(212) 681-3016|Partnership|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/24/1990|0|0|0|0|0|0
Headquarters| 107249|801-43341|SINOPIA ASSET MANAGEMENT|SINOPIA ASSET MANAGEMENT|IMMEUBLE ILE DE FRANCE|4, PLACE DE LA PYRAMIDE|PUTEAUX FRANCE  92800|FRANCE|103, AVENUE DES CHAMPS ELYSES||PARIS CEDEX 08  75419|FRANCE|CARINE EL NOUCHI|33-1-40702991|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/17/1993|0|0|0|0|0|0
Headquarters| 107302|801-12880|ABERDEEN ASSET MANAGEMENT INVESTMENT SERVICES LIMITED|ABERDEEN ASSET MANAGEMENT INVESTMENT SERVICES LIMITED|ONE BOW CHURCHYARD||LONDON  EC4M9HH|ENGLAND|||  ||TIM COX|+44-207-463-6353|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/14/1977|0|1|0|0|0|0
Headquarters| 107328|801-41173|AIB INVESTMENT MANAGERS LTD|AIB INVESTMENT MANAGERS LTD|AIB INVESTMENT HOUSE|PERCY PLACE|DUBLIN 4  |IRELAND|||  ||JANINE LECKRONE|212-515-6812|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/01/1992|0|0|0|0|0|0
Headquarters| 107383|801-47671|ROCKSPRING PIM LIMITED|ROCKSPRING PIM LIMITED|166 SLOANE STREET||LONDON  SW1X9QF|ENGLAND|||  ||IAN BAKER|1011442077613361|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|10/24/1994|0|1|1|0|0|0
Headquarters| 107390|801-39502|JARISLOWSKY FRASER LTD|JARISLOWSKY, FRASER LIMITED|1010 SHERBROOKE STREET WEST|20TH FLOOR|MONTREAL QUEBEC  H3A 2R7|CANADA|||  ||ERIN O'BRIEN|(514) 842-2727|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/07/1991|0|2|0|0|0|0
Headquarters| 107432|801-37702|MONDRIAN INVESTMENT PARTNERS LIMITED|MONDRIAN INVESTMENT PARTNERS LIMITED|10 GRESHAM STREET, 5 FLOOR||LONDON  EC2V7JD|UNITED KINGDOM|||  ||JOHN LLOYD BARRETT|+44 20 7477 7119|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|11/30/1990|0|0|1|0|0|0
Headquarters| 107472|801-40136|DIMENSIONAL FUND ADVISORS LTD|DIMENSIONAL FUND ADVISORS LTD|INTERPARK HOUSE|7 DOWN STREET|LONDON  W1J 7AJ|UNITED KINGDOM|||  ||CATHERINE L. NEWELL|512-306-7412|Corporation|Portfolio management for investment companies|APPROVED|11/06/1991|0|0|0|0|0|0
Headquarters| 107490|801-42074|AXA FRAMLINGTON OVERSEAS INVESTMENT MANAGEMENT LIMITED|AXA FRAMLINGTON OVERSEAS INVESTMENT MANAGEMENT LIMITED|155 BISHOPSGATE||LONDON  EC2M 3XJ|UK|||  ||PETER HAWKINS|0044 2073306564|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/27/1992|0|0|0|0|0|0
Headquarters| 107494|801-40889|LLOYD GEORGE INVESTMENT MANAGEMENT (BERMUDA) LTD|LLOYD GEORGE INVESTMENT MANAGEMENT BERMUDA LTD|CANON'S COURT|22 VICTORIA STREET|HAMILTON HM12  |BERMUDA|3808 ONE EXCHANGE SQUARE|CENTRAL|HONG KONG  |HONG KONG|WILLIAM KERR|852-28454433|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/03/1992|0|0|0|0|0|0
Headquarters| 107507|801-40890|LLOYD GEORGE MANAGEMENT[HONG KONG]LTD|LLOYD GEORGE MANAGEMENT HONG KONG LTD|3808 ONE EXCHANGE SQUARE CENTRAL||HONG KONG  |HONG KONG|||  ||WILLIAM KERR|852-28454433|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/03/1992|0|0|0|0|0|0
Headquarters| 107523|801-44260|PAMA GROUP INC.|PAMA GROUP INC.|C/O HARNEYS CORPORATE SERVICES LIMITED|CRAIGMUIR CHAMBERS|ROAD TOWN, TORTOLA  |BRITISH VIRGIN ISLANDS|33/F, ALEXANDRA HOUSE|18 CHATER ROAD|CENTRAL, HONG KONG  |PRC|DARREN TAN|011-852-2844-1085|Corporation|Other|APPROVED|07/27/1993|0|0|0|0|0|0
Headquarters| 107557|801-51069|CONNOR CLARK & LUNN INVESTMENT MANAGEMENT LTD|CONNOR CLARK & LUNN INVESTMENT MANAGEMENT LTD|2200 1111 WEST GEORGIA ST||VANCOUVER, BC  V6E 4M3|CANADA|||  ||KATHY LEAVENS|604-685-2020|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/06/1996|0|0|0|0|0|0
Headquarters| 107621|801-48036|DFA AUSTRALIA LIMITED|DFA AUSTRALIA LIMITED|LEVEL 43, GATEWAY|1 MACQUARIE PLACE|SYDNEY  2000|AUSTRALIA|P.O. BOX R1830|ROYAL EXCHANGE|SYDNEY  1225|NSW, AUSTRALIA|CATHERINE L. NEWELL|512-306-7412|Corporation|Portfolio management for investment companies|APPROVED|12/01/1994|0|0|0|0|0|0
Headquarters| 107715|801-38157|GOLDMAN SACHS ASSET MANAGEMENT INTERNATIONAL|GOLDMAN SACHS ASSET MANAGEMENT INTERNATIONAL|CHRISTCHURCH COURT|10-15 NEWGATE ST|LONDON  EC1A 7HD|ENGLAND|||  ||JUDITH SHANDLING|212-855-9191|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/25/1991|0|2|0|0|0|0
Headquarters| 107742|801-33303|T. ROWE PRICE GLOBAL ASSET MANAGEMENT LIMITED|T. ROWE PRICE GLOBAL ASSET MANAGEMENT LIMITED|60 QUEEN VICTORIA STREET||LONDON  EC4N 4TZ|UNITED KINGDOM|100 E. PRATT STREET||BALTIMORE MD 21202|UNITED STATES|DAVID OESTREICHER|410-345-2628|Limited Liability Company|Other|APPROVED|04/21/1989|0|0|2|0|0|0
Headquarters| 107819|801-48811|GARTMORE GLOBAL PARTNERS|GARTMORE GLOBAL PARTNERS|8 FENCHURCH PLACE||LONDON  EC3M 4PB|UNITED KINGDOM|||  ||STEPHEN PERRY|44 20 7782 2741|Partnership|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/20/1995|0|2|0|0|0|0
Headquarters| 108173|801-56569|CEPINVEST|CEPINVEST SA|AL MOTT 111||ROVEREDO  CH-6535|SWITZERLAND|||  ||HEINZ SCHLUMPF|+41-91-6002060|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|06/17/1999|0|0|0|0|0|0
Headquarters| 108226|801-57909|NOMURA ASSET MANAGEMENT HONG KONG LIMITED|NOMURA ASSET MANAGEMENT HONG KONG LIMITED|30/F TWO INTERNATIONAL FINANCE CENTRE|8 FINANCE STREET|CENTRAL HONG KONG  |HONG KONG|||  ||NEIL A. DANIELE|(212) 667-1873|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/21/2000|2|20|0|0|0|0
Headquarters| 108387|801-20695|PHILLIPS, HAGER & NORTH INVESTMENT MANAGEMENT LTD|PHILLIPS, HAGER & NORTH INVESTMENT MANAGEMENT LTD|200 BURRARD STREET, 20TH FL.||VANCOUVER, BC  V6C 3N5|CANADA|||  ||LARRY NEILSEN|(604) 408-6220|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/01/1994|0|0|0|0|0|0
Headquarters| 108493|801-55066|HAMON U.S. INVESTMENT ADVISORS LIMITED|HAMON U.S. INVESTMENT ADVISORS LIMITED|3510-15 JARDINE HOUSE|1 CONNAUGHT PLACE|CENTRAL HONG KONG  |CHINA (HKSAR)|||  ||EDMOND WONG|852-2526-4268|Corporation|Portfolio management for investment companies|APPROVED|12/16/1997|0|0|0|0|0|0
Headquarters| 108513|801-56176|BARING ASSET MANAGEMENT (ASIA) LIMITED|BARING ASSET MANAGEMENT (ASIA) LIMITED|19/F EDINBURGH TOWER, 15 QUEEN'S ROAD|THE LANDMARK|CENTRAL, HONG KONG  |CHINA|||  ||IRIS TO|(852)2973 3443|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/08/1999|0|27|0|0|0|0
Headquarters| 108523|801-57704|OECHSLE INTERNATIONAL ADVISORS, LTD|OECHSLE INTERNATIONAL ADVISORS, LTD|7 CLIFFORD ST||LONDON  W1X2WE|ENGLAND|125 HIGH STREET|OLIVER TOWER, 20TH FLOOR|BOSTON MA 02110|USA|JOSEPH FRANCIS STOWELL III|617-330-8810|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|07/28/2000|0|1|1|0|0|0
Headquarters| 108667|801-54652|BELL ASSET MANAGEMENT LTD|BELL ASSET MANAGEMENT LTD|LEVEL 33, 225 GEORGE STREET||SYDNEY  2000|AUSTRALIA|LEVEL 29, 101 COLLINS STREET||MELBOURNE  3000|AUSTRALIA|GARY STRANGER|011-613-9235-1694|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/23/1997|0|0|0|0|0|0
Headquarters| 108795|801-57935|KBSH CAPITAL MANAGEMENT INC.|KBSH CAPITAL MANAGEMENT INC.|1 TORONTO STREET|SUITE 700|TORONTO  M5C 2V6|CANADA|||  ||KATHERINE PAWLING|416-815-4330|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|09/29/2000|0|0|0|0|0|0
Headquarters| 108841|801-54981|FIRST STATE INVESTMENTS (SINGAPORE)|FIRST STATE INVESTMENTS (SINGAPORE)|1 TEMASEK AVENUE #17-01|MILLENIA TOWER|SINGAPORE  039192|SINGAPORE|||  ||GRACE QUEK|65-6580-1326|Other (specify)|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/24/1997|0|0|0|0|0|0
Headquarters| 108855|801-55330|ARLINGTON CAPITAL INVESTORS LTD|ARLINGTON CAPITAL INVESTORS LTD|43-44 NEW BOND STREET||LONDON  W1S 2SA|UK|||  ||AUDREY WELSH|+44-20-7647-8200|Corporation|Other|APPROVED|05/28/1998|0|0|0|0|0|0
Headquarters| 108899|801-57108|SOCIETE GENERALE ASSET MANAGEMENT|SOCIETE GENERALE ASSET MGMT INTL LTD|9TH FLOOR, EXCHANGE HOUSE|PRIMROSE STREET|LONDON  EC2A 2EF|UK|||  ||JOHN SPENCER MORTON|+4420 7090 2514|Other (specify)|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/30/1999|1|1|0|0|0|0
Headquarters| 108903|801-56491|FISCHER FRANCIS TREES & WATTS SINGAPORE PTE LTD|FISCHER FRANCIS TREES & WATTS SINGAPORE PTE LTD|50 RAFFLES PLACE #22-01|SINGAPORE LAND TOWER|SINGAPORE  048623|SINGAPORE|||  ||PETROVIC, JELENA|(212) 681-3016|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/07/1999|0|0|0|0|0|0
Headquarters| 109061|801-53475|GREEN CAY ASSET MANAGEMENT LTD|GREEN CAY ASSET MANAGEMENT LTD|#4 LYFORD CAY SHOPPING CENTRE|WEST BAY STREET|NASSAU  |BAHAMAS|P.O.BOX N-7776|LYFORD CAY, WEST BAY STREET,|NASSAU  |BAHAMAS|JOSEPH BYRNE|242-362-6400.EXT 25|Corporation|Other|APPROVED|12/31/1996|0|0|0|0|0|0
Headquarters| 109091|801-54946|JML PORTFOLIO MANAGEMENT AG|JML PORTFOLIO MANAGEMENT AG|BAARERSTRASSE 53||ZUG SWITZERLAND 6304  6304|SWITZERLAND|||  ||FELIX HORLACHER|011-41-41-726-5533|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/17/1997|0|0|0|0|0|0
Headquarters| 109112|801-57743|DEUTSCHE INVESTMENTS AUSTRALIA LIMITED|DEUTSCHE INVESTMENTS AUSTRALIA LIMITED|DEUTSCHE BANK PLACE|LEVEL 16, CNR HUNTER AND PHILLIP STREETS|SYDNEY  NSW 2000|AUSTRALIA|||  ||ANNE GARDINER|011 61 2 8258 1427|Corporation|Portfolio management for investment companies, Selection of other advisers|APPROVED|07/14/2000|1|7|0|0|0|0
Headquarters| 109154|801-57374|PESD MANAGEMENT LTD|PESD MANAGEMENT LTD|TRAFALGAR COURT|LES BANQUES|ST. PETER PORT  GY1 3QL|GUERNSEY, CHANNEL ISLANDS|||  ||ARNAUD ISNARD|212-838-5577|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/15/2000|0|0|0|0|0|0
Headquarters| 109170|801-56305|JV INVESTMENT ADVISORS|VISCONTI JAMES ANTHONY|123 QUEEN STREET WEST|THE SHERATON CENTER, STE 333|TORONTO, ONTARIO  M5H 3M9|CANADA|||  ||JAMES VISCONTI|416-491-9595|Sole Proprietorship|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters, Other|APPROVED|03/26/1999|0|0|0|0|0|0
Headquarters| 109189|801-56213|APS ASSET MANAGEMENT PTE LTD|APS ASSET MANAGEMENT PTE LTD|3 ANSON ROAD|#23-01 SPRINGLEAF TOWER|SINGAPORE  079909|SINGAPORE|||  ||LU LAN FANG|(65) 6303 4510|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|01/22/1999|0|0|0|0|0|0
Headquarters| 109192|801-42427|EVERGREEN INTERNATIONAL ADVISORS|FIRST INTERNATIONAL ADVISORS, LLC|3 BISHOPSGATE||LONDON, ENGLAND  EC2N 3AB|UK|||  ||BARBARA A. LAPPLE|704-383-6419|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/05/1992|0|0|1|0|0|0
Headquarters| 109313|801-57655|LEGG MASON INTERNATIONAL EQUITIES LIMITED|LEGG MASON INTERNATIONAL EQUITIES LIMITED|9TH FLOOR, 10 EXCHANGE SQUARE|PRIMROSE STREET|LONDON  EC2A 2EN|ENGLAND|||  ||PAULA DENISE MARSH|44 20 7070 7429|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/15/2000|0|3|0|0|0|0
Headquarters| 109399|801-56797|SANTANDER ASSET MANAGEMENT|SANTANDER ASSET MANAGEMENT CORP|SANTANDER TOWER B-7 TABONUCO STREET|SUITE 1800|GUAYNABO  00969|PUERTO RICO|||  ||ANA SUAREZ|787-759-5378|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|09/02/1999|0|0|0|0|0|0
Headquarters| 109439|801-55379|COUGAR GLOBAL INVESTMENTS|COUGAR GLOBAL INVESTMENTS LTD PTNSHP|357 BAY STREET|SUITE #1001|TORONTO  M5H 2T7|CANADA|||  ||ADRIENNE HOLLIS|416/368-5255|Partnership|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|04/09/1998|0|0|0|0|0|0
Headquarters| 109533|801-36532|AGF PRIVATE INVESTMENT ADVISORS INC.|AGF PRIVATE INVESTMENT ADVISORS INC.|1200 MCGILL COLLEGE AVENUE|SUITE 2000|MONTREAL, QUEBEC  H3B4G7|CANADA|||  ||TIM LOGAN|416-815-6215|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/15/1990|0|0|0|0|0|0
Headquarters| 109648|801-55491|RBC PRIVATE COUNSEL (USA) INC.|RBC PRIVATE COUNSEL (USA) INC.|77 KING STREET WEST, 39TH FLOOR|ROYAL TRUST TOWER|TORONTO, ON  M5W 1P9|CANADA|||  ||ANNICA KARLSSON|416-842-2615|Corporation|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|05/11/1998|0|1|9|0|0|0
Headquarters| 109674|801-60132|PRONET ANALYTICS.COM|PRONET ANALYTICS.COM LIMITED|30, CITY BUSINESS CENTRE|ST. OLAV'S COURT|LONDON  SE16 2XB|UNITED KINGDOM|||  ||DAVID LEDSHAM|44-(0)20-7232-3090|Corporation|Security ratings or pricing services, Other|APPROVED|03/29/2001|0|0|0|0|0|0
Headquarters| 109716|801-60032|SANDERSON ASSET MANAGEMENT|SANDERSON ASSET MANAGEMENT LIMITED|HEATHCOAT HOUSE, 6TH FL.|20 SAVILE ROW|LONDON  W1S 3PR|UK|||  ||RICHARD A CAWDRON|011-44207-468-5970|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/27/2001|0|0|0|0|0|0
Headquarters| 109765|801-60198|KEMPEN CAPITAL MANAGEMENT (UK) LIMITED|KEMPEN CAPITAL MANAGEMENT (UK) LIMITED|41 MELVILLE STREET||EDINBURGH  EH37JF|SCOTLAND|||  ||DAVID SIMONS|011-44-131-226-6985|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|05/01/2001|0|0|0|0|0|0
Headquarters| 109840|801-57262|GUARDIAN CAPITAL ADVISORS LP|GUARDIAN CAPITAL ADVISORS LP|COMMERCE COURT WEST, SUITE 3100|199 BAY STREET|TORONTO ONTARIO  M5L1E8|CANADA|||  ||MATTHEW D. TURNER|416-947-3708|Other (specify)|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|03/31/2000|0|0|0|0|0|0
Headquarters| 109857|801-55470|REXITER CAPITAL MANAGEMENT LIMITED|REXITER CAPITAL MANAGEMENT LIMITED|80 CANNON STREET||LONDON  EC4N 6HL|ENGLAND|||  ||GUY JACKSON|011-44-20-7698-6535|Other (specify)|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/05/1998|0|0|0|0|0|0
Headquarters| 109923|801-47856|INVESCO HONG KONG LIMITED|INVESCO HONG KONG LIMITED|32/F, THREE PACIFIC PLACE|1 QUEEN'S ROAD EAST|HONG KONG  |THE PEOPLE'S REPUBLIC OF CHINA|||  ||MICHAEL NG|852 3128 6318|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/16/1994|0|1|0|0|0|0
Headquarters| 109985|801-50197|INVESCO ASSET MANAGEMENT LTD.|INVESCO ASSET MANAGEMENT LTD.|30 FINSBURY SQUARE||LONDON  EC2A1AG|ENGLAND|||  ||NICK STYMAN|+442070653869|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/05/1995|0|4|0|0|0|0
Headquarters| 110030|801-58057|FISCHER FRANCIS TREES & WATTS KABUSHIKI KAISHA|FICSHER FRANCIS TREES & WATTS KABUSHIKI KAISHA|GRANTOKYO NORTH TOWER, 39FLOOR|9-1, MARUNOUCHI 1-CHOME, CHIYODA-KU|TOKYO  100-6739|JAPAN|||  ||JELENA PETROVIC|(212) 681-3016|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/29/2000|0|0|0|0|0|0
Headquarters| 110072|801-52436|ELITE CONSULTANTS INTERNATIONAL|ELITE CONSULTANTS INTERNATIONAL INC|BLOCK A-02, AL-OWAIS BLDG.|AL-RIQQA STREET.|DUBAI, UNITED ARAB EMIRATES  |UAE|P.O.BOX 21049||DUBAI  |UAE|NICOLAS SAADE|971-4-2865292|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|07/12/1996|0|0|0|0|0|0
Headquarters| 110077|801-14682|DAIWA SB INVESTMENTS LTD|DAIWA SB INVESTMENTS LTD|2-1 KASUMIGASEKI 3-CHOME||CHIYODA-KU, TOKYO  100-0013|JAPAN|||  ||KATSUNORI TANAKA|813-6205-0585|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|07/03/1979|0|1|0|0|0|0
Headquarters| 110088|801-50261|TD ASSET MANAGEMENT USA INC.|TD ASSET MANAGEMENT USA INC.|161 BAY STREET|35TH FLOOR, TD CANADA TRUST TOWER|TORONTO, ONTARIO  M5J 2T2|CANADA|||  ||MICHELE R. TEICHNER|212.827.7061|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|09/28/1995|0|1|0|0|0|0
Headquarters| 110166|801-57137|FORTIS INVESTMENT MANAGEMENT UK LIMITED|FORTIS INVESTMENT MANAGEMENT UK LIMITED|82 BISHOPSGATE||LONDON  EC2N 4BN|UNITED KINGDOM|||  ||BEDWIN, M|00 44 20 7678 7148|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/11/2000|0|0|0|0|0|0
Headquarters| 110214|801-60057|FABIEN PICTET & PARTNERS LTD|FABIEN PICTET & PARTNERS LIMITED|34 BROOK STREET||LONDON  W1K 5DN|ENGLAND|||  ||STEVEN JOHNSON|01144-207-647-9100|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/02/2001|0|0|0|0|0|0
Headquarters| 110227|801-16080|BLACKROCK INVESTMENT MANAGEMENT INTERNATIONAL, LIMITED|BLACKROCK INVESTMENT MANAGEMENT INTERNATIONAL, LIMITED|33 KING WILLIAM STREET||LONDON  EC4R 9AS|ENGLAND|33 KING WILLIAM STREET||LONDON  EC4R 9AS|ENGLAND|BARTHOLOMEW A. BATTISTA|212-810-3423|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/27/1981|0|4|1|0|0|0
Headquarters| 110296|801-21051|BAILLIE GIFFORD OVERSEAS LTD|BAILLIE GIFFORD OVERSEAS LTD|CALTON SQUARE|1 GREENSIDE ROW|EDINBURGH, SCOTLAND  EH1 3AN|UK|||  ||WRIGHT, GILLIAN|011 44 131 275 3041|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|04/27/1984|0|0|0|0|0|0
Headquarters| 110338|801-25226|MACKENZIE FINANCIAL CORPORATION|MACKENZIE FINANCIAL CORPORATION|180 QUEEN STREET WEST||TORONTO, ONTARIO  M5V 3K1|CANADA|180 SIMCOE STREET||TORONTO  M5T 3M2|CANADA|JANA HILLS|416-922-5322 EX. 5351|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|09/03/1985|0|7|6|0|0|0
Headquarters| 110345|801-60079|SECTORAL ASSET MANAGEMENT INC.|SECTORAL ASSET MANAGEMENT INC.|1000 SHERBROOKE STREET, WEST|SUITE 2120|MONTREAL, QUEBEC  H3A 3G4|CANADA|||  ||JEROME PFUND|514-849-6701|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/07/2001|0|0|0|0|0|0
Headquarters| 110387|801-31049|THE MUTUAL FUND PUBLIC COMPANY LIMITED|MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED|COLUMN TOWER,G/F AND 21ST-23RD FLOORS,|199 RATCHADAPHISEK RD|BANGKOK  10110|THAILAND|COLUMN TOWER,G/F AND 21ST-23RD FLOORS,|199 RATCHADAPHISEK RD|BANGKOK  10110|THAILAND|MRS.POOMRUTHAI LIKANAPICHIDKUL|(662)649-2000|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters, Other|APPROVED|01/12/1988|0|0|0|0|0|0
Headquarters| 110402|801-31676|DORCHESTER INVESTMENT MANAGEMENT|DORCHESTER INVESTMENT MANAGEMENT|1100 RENE LEVESQUE BLVD W|SUITE 650|MONTREAL  H3B 4N4|CANADA|||  ||WEHRLI ISABELLE|514-861-5841|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/28/1988|0|0|0|0|0|0
Headquarters| 110403|801-57802|DYNAMIC WEALTH MANAGEMENT|DYNAMIC WEALTH MANAGEMENT|CASTLE WALK OFFICE PARK,BLOCK B|CNR NOSSOB & SWAKOP STS.|ERASMUSKLOOF,PRETORIA EAST, GAUTENG  0048|SOUTH AFRICA|P.O. BOX 11657||ERASMUSKLOOF  0048|SOUTH AFRICA|TALITA OLIVIER|011-27-12-484-2000|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/02/2000|0|0|0|0|0|0
Headquarters| 110426|801-37068|DAIWA SB INVESTMENTS (SINGAPORE) LTD.|DAIWA SB INVESTMENTS (SINGAPORE) LTD.|152 BEACH ROAD, # 06-01/02|THE GATEWAY EAST|SINGAPORE  189721|SINGAPORE|||  ||OIKAWA, EIICHI|065-62976811|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/23/1990|0|1|0|0|0|0
Headquarters| 110427|801-21068|WESTERN ASSET MANAGEMENT CO LTD|WESTERN ASSET MANAGEMENT COMPANY LIMITED|10 EXCHANGE SQUARE|PRIMROSE STREET|LONDON  EC2A 2EN|ENGLAND|||  ||CLEM GERAGHTY|011-44-207-422-3243|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/13/1984|0|0|2|0|0|0
Headquarters| 110432|801-44118|SG ASSET MANAGEMENT (SINGAPORE) LTD|SG ASSET MANAGEMENT (SINGAPORE) LTD|80 ROBINSON ROAD|#13-03|SINGAPORE  068898|SINGAPORE|||  ||LIM BEE ENG|(65)6326-7132|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/30/1993|0|1|0|0|0|0
Headquarters| 110453|801-55012|CLARET ASSET MANAGEMENT CORP|CLARET ASSET MANAGEMENT CORP|1501 MCGILL COLLEGE AVE|STE 1530|MONTREAL QUEBEC  H3A 3M8|CANADA|||  ||WILLIAM K. KOVALCHUK|514-842-6110|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|11/18/1997|0|0|0|0|0|0
Headquarters| 110459|801-36504|DAIWA SB INVESTMENTS (HK) LTD|DAIWA SB INVESTMENTS (HK) LTD|SUITE 1102, LEVEL 11, TWO PACIFIC PLACE|88 QUEENSWAY|HONG KONG  |CHINA|||  ||CLAUDIA LI|852-25237032|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/18/1990|0|1|0|0|0|0
Headquarters| 110474|801-56522|STEWART INVESTMENT ADVISERS|STEWART WEST INDIES TRADING CO LTD|BELLERIVE HOUSE|QUEEN STREET|ST PETER BARBADOS  |BARBADOS|||  ||GLADE CHRISTENSEN|246-422-3975|Other (specify)|Portfolio management for investment companies|APPROVED|05/24/1999|0|0|0|0|0|0
Headquarters| 110479|801-32963|DAISHIN INVESTMENT TRUST MANAGEMENT CO LTD|DAISHIN INVESTMENT TRUST MANAGEMENT CO., LTD.|34-8 YOUIDO-DONG|YOUNGDUNGPO-KU|SEOUL  150-884|KOREA|||  ||SEONG-WON KIM|82-2-769-3227|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters, Market timing services|APPROVED|10/27/1988|0|0|1|0|0|0
Headquarters| 110509|801-29606|BANK OF IRELAND ASSET MANAGEMENT (U.S.) LTD.|BANK OF IRELAND ASSET MANAGEMENT (U.S.) LTD.|40 MESPIL ROAD||DUBLIN 4  |IRELAND|300 FIRST STAMFORD PLACE||STAMFORD CT 06902|USA|ROSEMARY MAHON|(203) 328-1820|Other (specify)|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/03/1987|0|1|0|0|0|0
Headquarters| 110570|801-55786|PIM GESTION FRANCE, SA|PIM GESTION FRANCE, SA|14 RUE CAMBACERES||PARIS  75008|FRANCE|||  ||PATRICIA REISCHOUR|212.687.3290|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/19/1998|0|0|1|0|0|0
Headquarters| 110588|801-42997|NORTHERN CROSS INVESTMENTS LTD|NORTHERN CROSS INVESTMENTS LTD|CLOUD HILL|118 HARBOUR RD|PAGET  PG 05|BERMUDA|SUITE 577|48 PAR-LA-VILLE ROAD|HAMILTON  HM11|BERMUDA|LUCY GOREHAM|617-951-0004|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/02/1993|0|0|0|0|0|0
Headquarters| 110597|801-42246|ZULAUF ASSET MANAGEMENT AG|ZULAUF ASSET MANAGEMENT AG|GRAFENAUWEG 4||ZUG  6300|SWITZERLAND|P.O. BOX||ZUG  6301|SWITZERLAND|KEHL CORNELIA|004141-724-5701|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|10/14/1992|0|0|0|0|0|0
Headquarters| 110625|801-26315|NEW STAR INSTITUTIONAL MANAGERS|NEW STAR INSTITUTIONAL MANAGERS LIMITED|1 KNIGHTSBRIDGE GREEN||LONDON  SW1X 7NE|UK|||  ||SALLY WINSTANLEY|001.44.20.72259586|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/24/1986|0|0|0|0|0|0
Headquarters| 110652|801-36899|VALU TRAC INVESTMENT MANAGEMENT LTD|VALU TRAC INVESTMENT MANAGEMENT LTD|MAINS OF ORTON FOCHABERS||MORAY  IV32 7QE|SCOTLAND|||  ||ANNE LAING|+44 (0)1343880217|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/05/1990|0|0|0|0|0|0
Headquarters| 110655|801-36898|VALU-TRAC RESEARCH|MILLAR ROBERT PETER WHARTON|MAINS OF ORTON||FOCHABERS MORAY, UK  IV32 7QE|SCOTLAND|||  ||ANNE LAING|+44 (0) 1343-880217|Sole Proprietorship|Publication of periodicals or newsletters, Other|APPROVED|11/05/1990|0|0|0|0|0|0
Headquarters| 110670|801-22307|GAM INTERNATIONAL MANAGEMENT LTD|GAM INTERNATIONAL MANAGEMENT LTD|12 ST JAMES PLACE||LONDON  SW1A INX|ENGLAND|||  ||NIKKI CORDELL-CAGAN|+44 (0) 20 7917 2252|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/02/1984|0|1|0|0|0|0
Headquarters| 110691|801-57418|ALTIUS ASSOCIATES LTD|ALTIUS ASSOCIATES LTD|20 GROSVENOR PLACE|2ND FLOOR|LONDON  SW1X 7HN|UNITED KINGDOM|||  ||JENNY FENTON|011 44 (0) 207 838 7640|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|04/07/2000|0|0|0|0|0|0
Headquarters| 110702|801-47405|ASSET MANAGEMENT INTERNATIONAL|TONG ROBERT WAI|SUITE 1111, SILVERCORD II|30 CANTON ROAD|TSIMSHATSUI, KOWLOON  |HONG KONG|2168  S. ATLANTIC BLVD.||MONTEREY PARK CA 91754|U.S.A.|ROBERT TONG|852-2375-9223|Sole Proprietorship|Other|APPROVED|10/13/1994|0|0|0|0|0|0
Headquarters| 110712|801-17987|SOCIETE GENERALE ASSET MANAGEMENT (JAPAN) CO., LTD.|SOCIETE GENERALE ASSET MANAGEMENT (JAPAN) CO., LTD.|5-1 KABUTO-CHO, NIHONBASHI|CHUO-KU|TOKYO  103-0026|JAPAN|||  ||HIROYUKI SHIMIZU|03-3660-5787|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/03/1982|0|1|0|0|0|0
Headquarters| 110753|801-25821|ABERDEEN ASSET MANAGEMENT LIMITED|ABERDEEN ASSET MANAGEMENT LIMITED|201 KENT STREET|LEVEL 6|SYDNEY NSW  2000|AUSTRALIA|GPO BOX 4306||SYDNEY NSW  2001|AUSTRALIA|WILLIAM BOVINGDON|001 612 9950 2888|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/19/1985|0|0|0|0|0|0
Headquarters| 110782|801-55142|COGESFONDS INC|COGESFONDS INC|45 DALHOUSIE||QUEBEC  G1K 8S3|CANADA|||  ||SANDRA TREMBLAY|418-694-9000|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|01/06/1998|0|0|0|0|0|0
Headquarters| 110797|801-58187|CAZENOVE CAPITAL MANAGEMENT LIMITED|CAZENOVE CAPITAL MANAGEMENT LIMITED|12 MOORGATE||LONDON  EC2R 6DA|UNITED KINGDOM|||  ||JEREMY TURNBULL|+44 (0)20 7155 5600|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Publication of periodicals or newsletters|APPROVED|01/09/2001|0|0|0|0|0|0
Headquarters| 110813|801-37645|NOMURA ASSET MANAGEMENT SINGAPORE LIMITED|NOMURA ASSET MANAGEMENT SINGAPORE LIMITED|6 BATTERY ROAD|#34-02|SINGAPORE  049909|SINGAPORE|||  ||NEIL A. DANIELE|(212) 667-1873|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/29/1990|2|20|0|0|0|0
Headquarters| 110814|801-24357|NOMURA ASSET MANAGEMENT CO., LTD.|NOMURA ASSET MANAGEMENT CO., LTD.|1-12-1, NIHONBASHI, CHUO-KU||TOKYO  103-8260|JAPAN|||  ||NEIL A. DANIELE|(212) 667-1873|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/22/1985|2|20|0|0|0|0
Headquarters| 110815|801-25922|NOMURA ASSET MANAGEMENT U.K. LIMITED|NOMURA ASSET MANAGEMENT U.K. LIMITED|NOMURA HOUSE|1 ST. MARTIN'S-LE-GRAND|LONDON  EC1A4NT|ENGLAND|||  ||NIGEL BIGGS|44 (20) 7521-1350|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/17/1985|2|20|0|0|0|0
Headquarters| 110822|801-57009|LEE OVERLAY PARTNERS LTD|LEE OVERLAY PARTNERS LTD|38 WELLINGTON ROAD||DUBLIN 4  |IRELAND|||  ||JENNIFER CUNNANE|+353 1 631 8511|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/23/1999|0|0|0|0|0|0
Headquarters| 110843|801-55047|DIAM CO., LTD.|DIAM CO., LTD.|NEW TOKYO BUILDING 5TH FLOOR|3-1 MARUNOUCHI 3 CHOME CHIYODA-KU|TOKYO  100-0005|JAPAN|||  ||ATSUSHI TACHIBANA|81-3-3216-0193|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/17/1997|0|0|1|0|0|0
Headquarters| 110858|801-45435|TT INTERNATIONAL|TT INTERNATIONAL|MOOR HOUSE, LEVEL 13|120 LONDON WALL|LONDON  EC2Y 5ET|UNITED KINGDOM|||  ||YINKA OSINDERO|+44 207 509 1259|Partnership|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/20/1993|0|0|0|0|0|0
Headquarters| 110887|801-41265|WIRTH ASSOCIATES INC|WIRTH ASSOCIATES INC|99 YORKVILLE AVENUE, SUITE 300||TORONTO ONTARIO  M5R 3K5|CANADA|||  ||SHIRLEY HOM|416-482-5337|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|04/28/1992|0|1|0|0|0|0
Headquarters| 110888|801-56769|ACKER FINLEY ASSET MANAGEMENT USA INC.|ACKER FINLEY ASSET MANAGEMENT USA INC.|181 UNIVERSITY AVENUE|SUITE 1400|TORONTO  M5H 3M7|CANADA|||  ||MARIAN BUKLIS|416-777-9636|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/13/1999|0|0|0|0|0|0
Headquarters| 110893|801-46575|RECORD CURRENCY MANAGEMENT LIMITED|RECORD CURRENCY MANAGEMENT LIMITED|MORGAN HOUSE, MADEIRA WALK|WINDSOR|BERKSHIRE  SL4 1EP|ENGLAND|||  ||TONY BEAL|(44)1753 605872|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/27/1994|0|0|0|0|0|0
Headquarters| 110894|801-39266|INVESTEC ASSET MANAGEMENT US LTD.|INVESTEC ASSET MANAGEMENT US LTD.|2 GRESHAM STREET||LONDON  EC2V 7QP|ENGLAND|||  ||ANNE GALLAGHER|020 7597 1831|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/18/1991|0|0|0|0|0|0
Headquarters| 110907|801-52830|CORONATION ASSET MANAGEMENT PROPRIETARY LTD|CORONATION ASSET MANAGEMENT PROPRIETARY LTD|CORONATION HOUSE, BOUNDARY TERRACES|1 MARIENDAHL LANE, NEWLANDS, 7700|CAPE TOWN  7700|SOUTH AFRICA|P.O. BOX 993||CAPE TOWN  8000|SOUTH AFRICA|DEREK PAUL MCDONALD|+27 21 680-2091|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/10/1996|0|0|0|0|0|0
Headquarters| 110909|801-14261|MARTIN CURRIE INC|MARTIN CURRIE INC|SALTIRE COURT|20 CASTLE TERRACE|EDINBURGH  EH1 2ES|SCOTLAND|||  ||JACQUI HUGHES|44 131 479 4785|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/27/1978|0|0|0|0|0|0
Headquarters| 110913|801-47317|WILLIAM H. EDWARDS, PROPRIETORSHIP|EDWARDS WILLIAM HENRY|607-30 HIGH STREET EAST||MISSISSAUGA ONTARIO  L5G 1J8|CANADA|||  ||WILLIAM H EDWARDS|905 278-0718|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Market timing services|APPROVED|10/07/1994|0|0|0|0|0|0
Headquarters| 110938|801-45731|FIDELITY INVESTMENTS JAPAN LTD|FIDELITY INVESTMENTS JAPAN LTD|SHIROYAMA TRUST TOWER|4-3-1, TORANOMON, MINATO-KU|TOKYO  105-6019|JAPAN|||  ||GRAHAM SEED|441 2950665|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/22/1994|0|2|0|0|0|0
Headquarters| 110951|801-38685|JAPAN CREDIT RATING AGENCY LTD|JAPAN CREDIT RATING AGENCY LTD|JIJI PRESS BUILDING, 5-15-8|GINZA, CHUO-KU|TOKYO JAPAN  104-0061|JAPAN|||  ||SHINGO MURAOKA|81-3-3544-7016|Corporation|Publication of periodicals or newsletters, Security ratings or pricing services|APPROVED|07/15/1991|0|0|0|0|0|0
Headquarters| 110970|801-23620|FIDELITY INTERNATIONAL INVESTMENT ADVISORS UK LTD|FIDELITY INTERNATIONAL INVESTMENT ADVISORS UK LTD|25 CANNON STREET||LONDON  EC4M5TA|ENGLAND|||  ||JENNIFER NYE|+44 (0)20 7961 4406|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/04/1984|0|2|0|0|0|0
Headquarters| 110983|801-37934|NIKKO ASSET MANAGEMENT SINGAPORE LIMITED|NIKKO ASSET MANAGEMENT SINGAPORE LIMITED|77 ROBINSON RD|#06-03A ROBINSON 77|SINGAPORE  068896|SINGAPORE|||  ||LINUS NG|65 6 538 6042|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|12/14/1990|0|21|7|0|0|0
Headquarters| 110985|801-57116|COLCHESTER GLOBAL INVESTORS|COLCHESTER GLOBAL INVESTORS LTD|HEATHCOAT HOUSE|20 SAVILE ROW|LONDON  W1S 3PR|UK|||  ||EDWARD YH WONG|011-44207-292-6920|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/21/2000|0|0|0|0|0|0
Headquarters| 110986|801-46266|CITY OF LONDON INVESTMENT MANAGEMENT COMPANY LIMITED|CITY OF LONDON INVESTMENT MANAGEMENT CO LTD|10 EASTCHEAP||LONDON  EC3M 1LX|UNITED KINGDOM|||  ||CARL ALLAN BALDWIN|0207 711 0771|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|04/28/1994|0|1|0|0|0|0
Headquarters| 110987|801-49530|SILCHESTER INTERNATIONAL INVESTORS|SILCHESTER INTERNATIONAL INVESTORS LTD|TIME & LIFE BUILDING, 5TH FLOOR|1 BRUTON STREET|LONDON  W1J 6TL|UK|||  ||TIMOTHY J. LINEHAN|011-44207-518-7125|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/28/1995|0|0|0|0|0|0
Headquarters| 110992|801-17900|FIRST STATE INVESTMENTS INTERNATIONAL LIMITED|FIRST STATE INVESTMENTS INTERNATIONAL LIMITED|23 ST. ANDREW SQUARE||EDINBURGH SCOTLAND  EH2 1BB|UNITED KINGDOM|||  ||DUNCAN GRACIE|44(0)131 473 2234|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/04/1982|0|0|0|0|0|0
Headquarters| 110997|801-56686|NIKKO ASSET MANAGEMENT CO LTD|NIKKO ASSET MANAGEMENT CO LTD|MIDTOWN TOWER, 9-7-1 AKASAKA|MINATO-KU|TOKYO  107-6242|JAPAN|||  ||TOMOMI SHIMATANI|81-3-6447-6533|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|08/09/1999|0|24|7|0|0|0
Headquarters| 111001|801-57710|COHEN & STEERS EUROPE S.A.|COHEN & STEERS EUROPE S.A.|CHAUSSEE DE LA HULPE 166||1170 BRUSSELS  |BELGIUM|||  ||BENEDICTE PASSAGEZ|(32) 2 679 0660|Other (specify)|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/22/2000|0|1|0|0|0|0
Headquarters| 111035|801-56222|COLLER INVESTMENT MANAGEMENT LTD|COLLER INVESTMENT MANAGEMENT LTD|TRAFALGAR COURT|LES BANQUES|ST. PETER PORT  GY1 3QL|GUERNSEY C.I.|||  ||PAUL MCDONALD|44 1481 745426|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/01/1999|0|0|0|0|0|0
Headquarters| 111038|801-30801|NIKKO ASSET MANAGEMENT EUROPE LTD|NIKKO ASSET MANAGEMENT EUROPE LTD|1 LONDON WALL||LONDON  EC2Y 5AD|UNITED KINGDOM|||  ||MICHAEL MULHOLLAND|UK + 44 20 7796 9866|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|05/13/1988|0|21|7|0|0|0
Headquarters| 111103|801-21347|FIDELITY INTERNATIONAL INVESTMENT ADVISORS|FIDELITY INTERNATIONAL INVESTMENT ADVISORS|PEMBROKE HALL|42 CROW LANE|PEMBROKE  HM19|BERMUDA|||  ||JENNIFER NYE|+44 (0)20 7961 4406|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/04/1984|12|2|0|0|0|0
Headquarters| 111161|801-57186|GP BULLHOUND LTD.|GP BULLHOUND LTD.|52 JERMYN STREET||LONDON  SW1Y 6LX|UNITED KINGDOM|||  ||CHRISTIAN LAGERLING|+44 20 71017560|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters, Other|APPROVED|03/10/2000|0|0|0|0|0|0
Headquarters| 111180|801-41804|SOUTH OCEAN MANAGEMENT LTD.|SOUTH OCEAN MANAGEMENT LTD.|ROOM 1501, 15/F, TUNG CHIU COMM. CTR.|NO. 193 LOCKHART ROAD|WANCHAI  |HONG KONG|GPO BOX 1191||CENTRAL  |HONG KONG|BROOK MCCONNELL|852-2521-0332|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|07/27/1992|0|0|0|0|0|0
Headquarters| 111208|801-42114|NEWTON CAPITAL MANAGEMENT LTD|NEWTON CAPITAL MANAGEMENT LTD|160 QUEEN VICTORIA STREET||LONDON  EC4V 4LA|UNITED KINGDOM|||  ||ALISON FAWCETT|020 7163 2360|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/27/1992|0|0|0|0|0|0
Headquarters| 111213|801-52978|LLOYDS TSB OFFSHORE PRIVATE CLIENTS LIMITED|LLOYDS TSB OFFSHORE PRIVATE CLIENTS LIMITED|P.O. BOX 160, 25 NEW STREET,|ST HELIER|JERSEY, CHANNEL ISLANDS  JE4 8RG|UNITED KINGDOM|||  ||JANE LE SUEUR|44 1534 845144|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/07/1996|0|0|0|0|0|0
Headquarters| 111259|801-46564|SCOTTISH WIDOWS INVESTMENT PARTNERSHIP LTD|SCOTTISH WIDOWS INVESTMENT PARTNERSHIP LTD|EDINBURGH ONE MORRISON STREET||EDINBURGH  EH3 8BE|UK|||  ||BOB PATON|001-44-131-655-2962|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|06/10/1994|0|2|0|0|0|0
Headquarters| 111319|801-54311|MFM INTERNATIONAL|MORLEY FUND MANAGEMENT INTERNATIONAL LIMITED|1 POULTRY||LONDON  EC2R 8EJ|UNITED KINGDOM|||  ||TAMSIN HARFORD|+ 44 207 809 6941|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/14/1997|0|1|0|0|0|0
Headquarters| 111338|801-60118|MCLEAN BUDDEN LIMITED.|MCLEAN BUDDEN LIMITED.|145 KING STREET WEST SUITE 2525||TORONTO, ONTARIO  M5H 1J8|CANADA|||  ||GREG DOYLE|416-862-9800|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/03/2001|0|0|0|0|0|0
Headquarters| 111360|801-55170|FRANKLIN TEMPLETON INVESTMENT MANAGEMENT LIMITED|FRANKLIN TEMPLETON INVESTMENT MANAGEMENT LIMITED|THE ADELPHI, 1-11 JOHN ADAM STREET||LONDON  WC2N 6HT|ENGLAND|||  ||KELLIE ANN HARGRAVES|(0044) 207-073-8561|Other (specify)|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/20/1998|0|3|2|0|0|0
Headquarters| 111364|801-58185|FRANKLIN TEMPLETON INVESTMENTS CORP.|FRANKLIN TEMPLETON INVESTMENTS CORP.|200 KING STREET WEST|SUITE 1500|TORONTO (ONTARIO)  M5H 3T4|CANADA|||  ||MICHAEL JOSEPH D'AGROSA|(416) 957-6085|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/06/2000|0|4|2|0|0|0
Headquarters| 111381|801-44399|BROWN ASSET MANAGEMENT PTY LTD|BROWN MICHAEL WILLIAM|49 BROOK STREET||HAWTHORN (VIC)  3122|AUSTRALIA|||  ||MICHAEL BROWN|98151050|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|10/05/1993|0|0|0|0|0|0
Headquarters| 111382|801-46997|TEMPLETON ASSET MANAGEMENT LTD.|TEMPLETON ASSET MANAGEMENT LTD.|7 TEMASEK BLVD., SUNTEC TOWER 1|#38-03|SINGAPORE  038987|SINGAPORE|||  ||LYN ANNETTE MORRIS|(852) 2829-0667|Other (specify)|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/19/1994|0|3|2|0|0|0
Headquarters| 111383|801-42343|TEMPLETON GLOBAL ADVISORS LIMITED|TEMPLETON GLOBAL ADVISORS LIMITED|LYFORD CAY||NASSAU  |BAHAMAS|PO BOX N-7759|LYFORD CAY|NASSAU  |BAHAMAS|TIMOTHY S. STEARNS|TELEPHONE (954) 527-7630|Other (specify)|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/22/1992|0|3|2|0|0|0
Headquarters| 111512|801-51783|TROIKA DIALOG ASSET MANAGEMENT|ZAO ASSET MANAGEMENT CO TROIKA DIALOG|4,ROMANOV PER, 4TH FLOOR||MOSCOW  125009|RUSSIA|||  ||ILLARIONOV VASILY|74952580532|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/10/1996|0|0|0|0|0|0
Headquarters| 111523|801-52157|KAZIMIR PARTNERS LIMITED|KAZIMIR PARTNERS LIMITED|WALKER HOUSE|87 MARY STREET|GEORGE TOWN  KY1-9002|CAYMAN ISLANDS|||  ||KAREN CLARKE|001 345 945 3727|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/07/1996|0|0|0|0|0|0
Headquarters| 111598|801-44724|F&C MANAGEMENT LIMITED|F&C MANAGEMENT LIMITED|EXCHANGE HOUSE|8TH FLOOR, PRIMROSE STREET|LONDON  EC2A 2NY|ENGLAND|||  ||MR WILLIAM BOARDMAN|+1 617 426 9050|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/10/1993|0|1|0|0|0|0
Headquarters| 111603|801-60288|BEACON CAPITAL MANAGEMENT LIMITED|BEACON CAPITAL MANAGEMENT LIMITED|HARBOUR HOUSE, 2ND FLOOR|WATERFRONT DRIVE|ROAD TOWN, TORTOLA  VG1110|BRITISH VIRGIN ISLANDS|PO BOX 972||ROAD TOWN, TORTOLA  VG1110|BRITISH VIRGIN ISLANDS|DAVID SIMS|1 284 494 4770|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Publication of periodicals or newsletters|APPROVED|05/21/2001|0|0|0|0|0|0
Headquarters| 111860|801-43680|GOTTEX AMERICA LTD|GOTTEX AMERICA LTD|CLARENDON HOUSE|2 CHURCH STREET|HAMILTON  HM DX|BERMUDA|ATT: CLIVE J. SNOWDON|48 AVENUE DE RHODANIE|LAUSANNE  1007|SWITZERLAND|CLIVE J. SNOWDON|+41(0)21 612 0020|Other (specify)|Other|APPROVED|04/08/1993|0|0|0|0|0|0
Headquarters| 111900|801-60152|NORTHERN TRUST GLOBAL INVESTMENTS LTD|NORTHERN TRUST GLOBAL INVESTMENTS LTD|50 BANK STREET|CANARY WHARF|LONDON  E145NT|ENGLAND|||  ||SHARIFFA MUBARAK|011-44-(0) 207-982-2856|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/04/2001|0|0|0|0|0|0
Headquarters| 111977|801-57018|EVERGREEN MANAGEMENT LTD.|EVERGREEN MANAGEMENT LTD.|96 ROTHSCHILD BLVD||TEL AVIV  65224|ISRAEL|||  ||NOAM LEVY|972-3-710-8282|Corporation|Other|APPROVED|11/18/1999|0|0|0|0|0|0
Headquarters| 112057|801-60991|FAIRSON MANAGEMENT LIMITED|FAIRSON MANAGEMENT LIMITED|16TH FLOOR WORLDWIDE HOUSE|19 DES VOEUX ROAD CENTRAL|HONG KONG  |P.R.C.|||  ||SOPHONPANICH CHOEDCHU|852 25408111|Corporation|Portfolio management for individuals and/or small businesses, Other|APPROVED|03/18/2002|0|0|0|0|0|0
Headquarters| 112061|801-60209|TACTICAL GLOBAL MANAGEMENT (UK) LIMITED|TACTICAL GLOBAL MANAGEMENT (UK) LIMITED|6TH FLOOR|39 ST. JAMES'S STREET|LONDON  SW1A 1JD|UNITED KINGDOM|||  ||MELANIE DAVIS|+61732392731|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/27/2001|0|0|0|0|0|0
Headquarters| 112077|801-55577|HENDERSON INVESTMENT MANAGEMENT LTD.|HENDERSON INVESTMENT MANAGEMENT LIMITED|4 BROADGATE||LONDON  EC2M 2DA|UK|||  ||BRIAN ROWE|+44-20-7818 -4776|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/20/1998|0|0|0|0|0|0
Headquarters| 112161|801-19420|WALTER SCOTT & PARTNERS LIMITED|WALTER SCOTT & PARTNERS LIMITED|ONE CHARLOTTE SQUARE,||EDINBURGH  EH2 4DZ|SCOTLAND|||  ||ALISTAIR LYON-DEAN|44 131 225 1357|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/29/1983|0|0|0|0|0|0
Headquarters| 112200|801-60447|J O HAMBRO INVESTMENT MANAGEMENT LIMITED.|J O HAMBRO INVESTMENT MANAGEMENT LIMITED.|21 ST JAMES'S SQUARE||LONDON  SWIY 4HB|ENGLAND|||  ||HANNAH MARSHALL|00442074747448|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/05/2001|0|8|0|0|0|0
Headquarters| 112284|801-55108|ROYAL BANK OF CANADA INVESTMENT MANAGEMENT(USA) LIMITED|ROYAL BANK OF CANADA INVESTMENT MANAGEMENT(USA) LIMITED|71 QUEEN VICTORIA STREET||LONDON  EC4V 4DE|ENGLAND|||  ||PETER CLEAVELY|44 20 7653 4811|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|02/13/1998|0|0|0|0|0|0
Headquarters| 112314|801-54411|CREDIT SUISSE ASSET MANAGEMENT LIMITED|CREDIT SUISSE ASSET MANAGEMENT LIMITED|IZUMI GARDEN TOWER, 1-6-1 ROPPONGI|MINATO-KU|TOKYO  106-6024|JAPAN|||  ||HIDEKI ISHIBASHI|011-81(3) 4550 9044|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/01/1997|0|11|1|0|0|0
Headquarters| 112330|801-54922|BNY OVERLAY ASSOCIATES|THE BANK OF NEW YORK CAPITAL MARKETS LTD|ONE CANADA SQUARE||LONDON  E14 5AL|ENGLAND|||  ||IAN MACDONALD|011-44-20-7964-6470|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|10/31/1997|0|1|0|0|0|0
Headquarters| 112347|801-60378|SHIMODA CAPITAL ADVISORS LIMITED|SHIMODA CAPITAL ADVISORS LIMITED|C/O CALEDONIAN HOUSE|JENNET STREET|GEORGE TOWN  |CAYMAN ISLANDS|||  ||DAVID MAPLEY|44771-282-5767|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|07/06/2001|0|0|0|0|0|0
Headquarters| 112410|801-51254|SCEPTRE INVESTMENT COUNSEL LIMITED|SCEPTRE INVESTMENT COUNSEL LIMITED|26 WELLINGTON ST EAST STE 1200||TORONTO ONTARIO  M5E1W4|CANADA|||  ||DAVID R. MORRIS|416 360-4805|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/12/1996|0|0|0|0|0|0
Headquarters| 112551|801-55109|ASHMORE INVESTMENT MANAGEMENT LTD|ASHMORE INVESTMENT MANAGEMENT LTD|61 ALDWYCH|5TH FLOOR|LONDON  WC2B 4AE|UNITED KINGDOM|||  ||MARK GRIMWOOD|0207-3077-6000|Other (specify)|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/16/1997|0|0|0|0|0|0
Headquarters| 112696|801-55554|DEVER RICHARD WILLIAM|DEVER RICHARD WILLIAM|86 80 RIDEAU TERRACE||OTTAWA, ONT  K1M 2C6|CANADA|||  ||DEVER RICHARD WILLIAM|613-741-7971|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|07/13/1998|0|0|0|0|0|0
Headquarters| 112747|801-60494|NORTHWATER CAPITAL MANAGEMENT INC.|NORTHWATER CAPITAL MANAGEMENT INC.|181 BAY STREET, BCE PLACE, BAY WELLINGTON TOWER|SUITE 4700|TORONTO, ONTARIO  M5J 2T3|CANADA|||  ||JAMES DONALD SINCLAIR|(416) 360-6320|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/20/2001|0|0|0|0|0|0
Headquarters| 112769|801-55989|CREDICORP SECURITIES INC|CREDICORP SECURITIES INC|CREDICORP BANK BLDG 50TH STREET||PANAMA 0833  |REPUBLIC OF PANAMA|PO BOX 833-0125||PANAMA 0833  00000|REP. OF PANAMA|RICHARD E FRANK|011-507-2101111|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/06/1999|0|0|0|0|0|0
Headquarters| 112853|801-58221|THE NEWTON FOLLIS PARTNERSHIP LIMITED|THE NEWTON FOLLIS PARTNERSHIP LIMITED|KITCHEN COURT|HIGH STREET|PETWORTH, WEST SUSSEX  GU28 0AU|UK|||  ||ALISON T FOLLIS|011 44 1798 344610|Corporation|Other|APPROVED|12/22/2000|0|0|0|0|0|0
Headquarters| 112861|801-66610|STATE STREET GLOBAL ADVISORS LIMITED|STATE STREET GLOBAL ADVISORS LIMITED|14TH FLOOR, 25 BANK STREET|CANARY WHARF|LONDON  E14 5NU|UK|||  ||CHRISTOPHER PEACOCK|44-207-698-61279|Other (specify)|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/19/2006|0|0|0|0|0|0
Headquarters| 112885|801-41030|BERMUDA ASSET MANAGEMENT LTD|BERMUDA ASSET MANAGEMENT LTD|12 BERMUDIANA RD 3RD FLOOR||HAMILTON  HM 11|BERMUDA|P.O. BOX HM66||HAMILTON  HMAX|BERMUDA|EVERARD T. RICHARDS|441-292-4708|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/12/1992|0|0|0|0|0|0
Headquarters| 112892|801-60767|CREDIT SUISSE PRIVATE ADVISORS|CREDIT SUISSE PRIVATE ADVISORS|BLEICHERWEG 33|6TH FLOOR|ZURICH  CH-8070|SWITZERLAND|P.O. BOX 550||ZURICH  8070|SWITZERLAND|RICHARD ISARIN|41 44 334 0040|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/18/2002|0|12|0|0|0|0
Headquarters| 112914|801-58228|ERESEARCH|INDEPENDENT EQUITY RESEARCH CORP.|130 ADELAIDE ST. WEST SUITE 2215||TORONTO, ON  M5H 3P5|CANADA|||  ||GLENN COOPER|416-933-8290|Corporation|Publication of periodicals or newsletters|APPROVED|01/11/2001|0|0|0|0|0|0
Headquarters| 112939|801-60323|WICKHAM INVESTMENT COUNSEL INC.|WICKHAM INVESTMENT COUNSEL INC.|4 HUGHSON ST. S SUITE 205||HAMILTON, ONTARIO  L8N 3Z1|CANADA|||  ||MIKE BOWMAN|905-528-6524|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/01/2001|0|0|0|0|0|0
Headquarters| 113463|801-40177|CREDIT SUISSE ASSET MANAGEMENT LIMITED|CREDIT SUISSE ASSET MANAGEMENT LIMITED|ONE CABOT SQUARE||LONDON (ENGLAND)  E14 4QJ|UK|||  ||DAVID COLLINS|++ 44 20 7883 9636|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|11/15/1991|0|9|1|0|0|0
Headquarters| 113465|801-60416|SCB ASSET MANAGEMENT CO., LTD.|SCB ASSET MANAGEMENT CO., LTD.|SINDHORN BLDG. TOWER 3, 23RD,24TH FL.|130-132 WIRELESS RD., PHRATUMWAN|BANGKOK  10330|THAILAND|||  ||PATCHARIN TECHAKEHAKIT|011-662-626-2266|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/30/2001|0|0|0|0|0|0
Headquarters| 113606|801-60358|KBC ASSET MANAGEMENT INTERNATIONAL LTD.|KBC ASSET MANAGEMENT INTERNATIONAL LTD.|JOSHUA DAWSON HOUSE|DAWSON STREET|DUBLIN 2  |IRELAND|140 EAST 45TH ST,|2 GRAND CENTRAL TOWER,|NEW YORK NY 10017-3144|USA|MS. DERVAL MURRAY|011-353-1-4384490|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/18/2001|0|0|0|0|0|0
Headquarters| 113623|801-56150|NISSAY ASSET MANAGEMENT CORPORATION|NISSAY ASSET MANAGEMENT CORPORATION|1-6-6, MARUNOUCHI|CHIYODA-KU|TOKYO  100-8219|JAPAN|||  ||YASUNORI ISHIBASHI|+81(3)5533-4056|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|04/09/1999|0|4|0|0|0|0
Headquarters| 113664|801-60498|BESSEMER GROUP (U.K.) LIMITED|BESSEMER GROUP (U.K.) LIMITED|ONE STANHOPE GATE||LONDON  W1K 1AF|ENGLAND|||  ||CHRISTOPHER J. JUDGE|+44 (0)20 7290 9379|Corporation|Portfolio management for investment companies, Other|APPROVED|08/31/2001|0|0|0|0|0|0
Headquarters| 113739|801-57644|AVEBURY ASSET MANAGEMENT LIMITED|AVEBURY ASSET MANAGEMENT LIMITED|37 WOODSTOCK ROAD|BEDFORD PARK|LONDON  W4 1DT|UNITED KINGDOM|500 CHISWICK HIGH ROAD||LONDON  W4 5RG|UNITED KINGDOM|MICHAEL DALEY|011442089562400|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/30/2000|0|0|0|0|0|0
Headquarters| 114257|801-49353|GOODMAN & CO NY LTD.|GOODMAN & CO NY LTD.|1 ADELAIDE STREET EAST|SUITE 2900|TORONTO, ONTARIO  M5C 2V9|CANADA|||  ||TODD BEALLOR|416.365.2421|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|06/05/1995|0|0|0|0|0|0
Headquarters| 114317|801-60503|BURGUNDY ASSET MANAGEMENT LTD.|BURGUNDY ASSET MANAGEMENT LTD.|BAY WELLINGTON TOWER, 181 BAY STREET, STE 4510||TORONTO, ONTARIO  M5J 2T3|CANADA|||  ||BRAD BADEAU|(416) 868-3598|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/31/2001|0|0|0|0|0|0
Headquarters| 114527|801-21981|M&G INVESTMENT MANAGEMENT LTD.|M&G INVESTMENT MANAGEMENT LTD.|GOVERNOR'S HOUSE|LAURENCE POUNTNEY HILL|LONDON, ENGLAND  EC4R OHH|UK|||  ||ANTHONY ASHPLANT|020 7548 3750|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|08/02/1984|0|0|0|0|0|0
Headquarters| 114528|801-60598|FORTUNE ASSET MANAGEMENT|FORTUNE ASSET MANAGEMENT LIMITED|FORTUNE HOUSE|7 STRATTON STREET|LONDON  W1J 8LE|UNITED KINGDOM|||  ||JIM ELLIS|+44 20 7355 2000|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|09/21/2001|0|0|0|0|0|0
Headquarters| 114567|801-60586|PALL MALL INVESTMENT MANAGEMENT LIMITED|PALL MALL INVESTMENT MANAGEMENT LIMITED|52A CROMWELL ROAD||LONDON, ENGLAND  SW7 5BE|UNITED KINGDOM|||  ||THERESA MARIE HICKMAN|+44 20 7590 1350|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|09/18/2001|0|0|0|0|0|0
Headquarters| 114642|801-50826|ANALYST EXCHANGE AND TRADING SERVICES LTD.|ANALYST EXCHANGE AND TRADING SERVICES LTD.|ALROV TOWER, 46 ROTHSCHILD BLVD.||TEL AVIV  66883|ISRAEL|||  ||LEVY YAEL|972-3-7147147|Corporation|Portfolio management for investment companies|APPROVED|12/03/1995|0|0|0|0|0|0
Headquarters| 114797|801-56757|PENSER ERIK FONDKOMMISSION AB|PENSER ERIK FONDKOMMISSION AB|BIBLIOTEKSGATAN 9||STOCKHOLM (SWEDEN)  SE-10391|SWEDEN|P.O BOX 7405||STOCKHOLM  SE-10391|SWEDEN|PETER HAMMARSTEN|46-8-4638057|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters, Other|APPROVED|10/27/1999|0|0|0|0|0|0
Headquarters| 114898|801-60477|FRANKLIN TEMPLETON INVESTMENTS (ASIA) LIMITED|FRANKLIN TEMPLETON INVESTMENTS (ASIA) LIMITED|17TH FLOOR, CHATER HOUSE, 8 CONNAUGHT ROAD CENTRAL||HONG KONG  |HONG KONG|||  ||LYN ANNETTE MORRIS|(852) 2829 0667|Other (specify)|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/17/2001|0|3|2|0|0|0
Headquarters| 114908|801-55692|LASALLE INVESTMENT MANAGEMENT SECURITIES B.V.|LASALLE INVESTMENT MANAGEMENT SECURITIES B.V.|HERENGRACHT 471||AMSTERDAM  1017 BS|NETHERLANDS|||  ||DAVID DOHERTY|312-228-2057|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/10/1998|0|0|0|0|0|0
Headquarters| 115788|801-62077|SARASIN ASSET MANAGEMENT LIMITED|SARASIN ASSET MANAGEMENT LIMITED|JUXON HOUSE|100 ST PAUL'S CHURCHYARD|LONDON  EC4M 8BU|UNITED KINGDOM|||  ||CAROLINE WELLS|+44 207 038 7000|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/06/2003|0|0|0|0|0|0
Headquarters| 116264|801-60675|VALU-TRAC INVESTMENT RESEARCH LIMITED|VALU-TRAC INVESTMENT RESEARCH LIMITED|MAINS OF ORTON||FOCHABERS, MORAY  IV32 7QE|SCOTLAND|||  ||ANNE LAING|+44-0-1343880217|Limited Liability Company|Security ratings or pricing services|APPROVED|11/23/2001|0|0|0|0|0|0
Headquarters| 116641|801-60662|CELFIN CAPITAL|CELFIN CAPITAL SERVICIOS FINANCIEROS S.A.|APOQUINDO 3721 PISO 19||SANTIAGO  |CHILE|||  ||VERONICA MONTERO|011-562-490-5265|Corporation|Portfolio management for investment companies, Other|APPROVED|10/25/2001|0|0|0|0|0|0
Headquarters| 117842|801-60917|TRAPEZE ASSET MANAGEMENT INC.|TRAPEZE ASSET MANAGEMENT INC.|22 ST. CLAIR AVENUE EAST|18TH FLOOR|TORONTO, ONTARIO  M4T 2S3|CANADA|||  ||ADAM ABRAMSON|416-956-9615|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/08/2002|0|0|3|0|0|0
Headquarters| 117869|801-60747|GFTA ANALYTICS LTD.|GFTA ANALYTICS LTD.|208 LAGOON COURT, OLDE TOWNE SANDYPORT|PO BOX N4927|NASSAU  |BAHAMAS|P.O. BOX N-4927||NASSAU  |BAHAMAS|PETER ALBISSER|011-423-238-1070|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Market timing services|APPROVED|12/12/2001|0|0|0|0|0|0
Headquarters| 118090|801-60865|CHARLEMAGNE CAPITAL (IOM) LIMITED|CHARLEMAGNE CAPITAL (IOM) LIMITED|ST MARY'S COURT|20 HILL STREET|DOUGLAS  IM1 1EU|ISLE OF MAN, BRITISH ISLES|||  ||ALISON BURGESS|44 1624 640221|Other (specify)|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/23/2002|0|0|0|0|0|0
Headquarters| 118540|801-60912|DEUTSCHE ASSET MANAGEMENT (JAPAN) LIMITED|DEUTSCHE ASSET MANAGEMENT (JAPAN) LIMITED|SANNO PARK TOWER, 2-11-1, NAGATA-CHO||CHIYODA-KU, TOKYO  100-6173|JAPAN|||  ||SHINTARO NONAKA|813-5156-5252|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/19/2002|1|6|0|0|0|0
Headquarters| 118597|801-60857|CONCORDIA ADVISORS (BERMUDA) LTD.|CONCORDIA ADVISORS (BERMUDA) LTD.|12 BERMUDIANA ROAD, 3RD FLOOR||HAMILTON  HM-11|BERMUDA|||  ||GLEN GRIFFIN|441-292-1962|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|01/25/2002|0|0|0|0|0|0
Headquarters| 118648|801-60992|CREDIT SUISSE ASSET MANAGEMENT (AUSTRALIA) LIMITED|CREDIT SUISSE ASSET MANAGEMENT (AUSTRALIA) LIMITED|LEVEL 31 GATEWAY BUILDING|1 MACQUARIE PLACE|SYDNEY  2000|AUSTRALIA, NEW SOUTH WALES|||  ||SARAH CULHAM|612 8205 4600|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|04/05/2002|0|8|2|0|0|0
Headquarters| 118745|801-61083|R.N. CROFT FINANCIAL GROUP INC.|R.N. CROFT FINANCIAL GROUP INC.|1315 LAWRENCE AVENUE EAST|SUITE 408|TORONTO, ONTARIO  M3A 3R3|CANADA|||  ||KATHY QUINN|416-288-5412|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies|APPROVED|04/16/2002|0|0|0|0|0|0
Headquarters| 118798|801-61024|TELLIGENT INVESTMENT MANAGEMENT, LLC|TELLIGENT INVESTMENT MANAGEMENT, LLC|2 PACIFIC PLACE, SUITE 2509|88 QUEENSWAY|ADMIRALTY  |HONG KONG|||  ||GEORGE LIN|011-852-2918-9977|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/29/2002|0|0|0|0|0|0
Headquarters| 119534|801-60977|ROSS SMITH ENERGY GROUP LTD.|ROSS SMITH ENERGY GROUP LTD.|407 8TH AVENUE, S.W., SUITE 400||CALGARY  T2P IE5|ALBERTA/CANADA|||  ||LEILA THORNBOROUGH|403-539-6123|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters, Security ratings or pricing services|APPROVED|03/04/2002|0|0|0|0|0|0
Headquarters| 119591|801-60983|DEUTSCHE ASSET MANAGEMENT (ASIA) LIMITED|DEUTSCHE ASSET MANAGEMENT (ASIA) LIMITED|ONE RAFFLES QUAY,|#17-10|SINGAPORE  048583|SINGAPORE|||  ||WILLIE TAN|65-6423-5448|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/22/2002|1|7|0|0|0|0
Headquarters| 119846|801-61067|IMPERIAL INVESTMENT ADVISORS PRIVATE LIMITED|IMPERIAL INVESTMENT ADVISORS PRIVATE LIMITED|SUITE NO. 6 SATGURU BUSINESS CENTRE|31 REGENCY CHAMBERS|BANDRA (WEST) MUMBAI  400 050|INDIA|||  ||DEBORAH KABACK|(212)667-4395|Corporation|Other|APPROVED|04/23/2002|0|3|0|0|0|0
Headquarters| 120186|801-61258|DEUTSCHE INVESTMENT TRUST MANAGEMENT COMPANY LIMITED|DEUTSCHE INVESTMENT TRUST MANAGEMENT COMPANY LIMITED|19/F, YOUNGPOONG BUILDING|33, SEORIN-DONG, CHONGRO-KU|SEOUL  110-752|KOREA|||  ||JIN-KWON CHUNG|822 724 7460|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/09/2002|1|5|0|0|0|0
Headquarters| 120234|801-62723|MULVIHILL CAPITAL MANAGEMENT (U.S.) INC.|MULVIHILL CAPITAL MANAGEMENT (U.S.)INC|121 KING STREET WEST|SUITE 2600|TORONTO, ONTARIO  M5H 3T9|CANADA|||  ||SUPRIYA KAPOOR|416 681 3955|Corporation|Other|APPROVED|01/27/2004|0|0|2|0|0|0
Headquarters| 120531|801-61245|MD PRIVATE INVESTMENT MANAGEMENT (US) INC.|MD PRIVATE INVESTMENT MANAGEMENT (US) INC.|1870 ALTA VISTA DRIVE||OTTAWA  K1G 6R7|CANADA|||  ||JOSEPH BELANGER|613-731-4552|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|07/01/2002|0|0|0|0|0|0
Headquarters| 120715|801-61310|BERMUDA INVESTMENT ADVISORY SERVICES LIMITED|BERMUDA INVESTMENT ADVISORY SERVICES LIMITED|VALLIS BUILDING, 58 PAR-LA-VILLE ROAD|4TH. FLOOR|HAMILTON  HM 11|BERMUDA|P.O. BOX HM 988||HAMILTON  HM-DX|BERMUDA|JEFFREY LAWRENCE|(441) 298-5676|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Publication of periodicals or newsletters, Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/12/2002|0|0|1|0|0|0
Headquarters| 120761|801-61549|ESD MANAGEMENT III LIMITED|ESD MANAGEMENT III LIMITED|TRAFALGAR COURT, LES BANQUES||ST PETER PORT  GY1 3QL|GUERNSEY-CI|||  ||ARNAUD ISNARD|212-838-5577|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/24/2002|0|0|0|0|0|0
Headquarters| 120836|801-61257|SCOTIA CASSELS|SCOTIA CASSELS U.S. INVESTMENT COUNSEL INC.|SUITE 1200|ONE QUEEN STREET EAST|TORONTO, ONTARIO  M5C 2W5|CANADA|P.O. BOX 85, SUITE 1200|ONE QUEEN STREET EAST|TORONTO, ONTARIO  M5C 2W5|CANADA|M. CATHERINE TUCKWELL|416-933-3065|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/14/2002|0|0|0|0|0|0
Headquarters| 121024|801-61289|TRADERISKS LTD.|TRADERISKS LIMITED|3 DEVONSHIRE SQUARE||LONDON  EC2M 4YA|UK|||  ||ALEX PILATO|011 4420 7220 8082|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|06/27/2002|0|0|0|0|0|0
Headquarters| 121591|801-61491|FOYSTON, GORDON & PAYNE INC.|FOYSTON, GORDON & PAYNE INC.|1 ADELAIDE STREET EAST|SUITE 2600|TORONTO  M5C 2V9|CANADA|||  ||MARK E. THOMPSON|416-362-4725|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|10/04/2002|0|0|0|0|0|0
Headquarters| 121685|801-61360|VANGUARD INVESTMENTS EUROPE SA|VANGUARD INVESTMENTS EUROPE SA|WATERLOO OFFICE PK DREVE RICHELLE 161 BLDG L|B-1410|WATERLOO  |BELGIUM|||  ||JOANNE S VOELCKER|011-32-2-357-1411|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|08/02/2002|0|1|0|0|0|0
Headquarters| 122046|801-61428|W.P. STEWART ASSET MANAGEMENT LTD.|W.P. STEWART ASSET MANAGEMENT LTD.|TRINITY HALL, 43 CEDAR AVENUE||HAMILTON  HM12|BERMUDA|TRINITY HALL, 43 CEDAR AVENUE|P.O. BOX HM 2905|HAMILTON  HMLX|BERMUDA|SETH L. PEARLSTEIN|212-750-8585|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/30/2002|0|0|0|0|0|0
Headquarters| 122055|801-61438|NORTHERN LIGHT ASSETS LIMITED|NORTHERN LIGHT ASSETS LIMITED|SAN OLAV 6440, DPTO.704|LAS CONDES|SANTIAGO  |CHILE|||  ||SHELDON MCINTYRE|562-492-7680|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|09/05/2002|0|0|0|0|0|0
Headquarters| 122254|801-61441|PUTNAM INVESTMENTS LIMITED (U.K.)|PUTNAM INVESTMENTS LIMITED (U.K.)|CASSINI HOUSE|57-59 ST. JAMES STREET|LONDON  SW1A 1LD|U.K.|ONE POST OFFICE SQUARE||BOSTON MA 02109|USA|MARTHA A MCCOY|617-760-1673|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/04/2002|0|0|2|0|0|0
Headquarters| 122793|801-61494|BLUEBAY ASSET MANAGEMENT PLC|BLUEBAY ASSET MANAGEMENT PLC|77 GROSVENOR STREET||LONDON  W1K 3JR|ENGLAND|||  ||SUSANNA LAM|+44 207 389 3768|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|10/07/2002|0|0|0|0|0|0
Headquarters| 123170|801-61552|CEDAR ROCK CAPITAL LIMITED|CEDAR ROCK CAPITAL LIMITED|110 WIGMORE STREET||LONDON  W1U 3RW|UNITED KINGDOM|||  ||JOY ISABELLE BESSE|44-0207434 1234|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|11/04/2002|0|0|0|0|0|0
Headquarters| 123270|801-61601|D'ARCY, JEFFREY|D'ARCY, JEFFREY|30 CHAINEY AVENUE||MIAMI  4220|AUSTRALIA|P.O. BOX 180||MIAMI  4220|AUSTRALIA|JEFFREY D'ARCY|+61418898688|Sole Proprietorship|Financial planning services|APPROVED|11/29/2002|0|0|0|0|0|0
Headquarters| 123557|801-61736|GRYPHON INTERNATIONAL INVESTMENT CORPORATION|GRYPHON INTERNATIONAL INVESTMENT CORPORATION|20 BAY STREET|SUITE 1905|TORONTO  M5J 2N8|ONTARIO, CANADA|||  ||LAWRENCE V. MCMANUS|416-364-2299|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/24/2003|0|0|0|0|0|0
Headquarters| 124389|801-61658|FINVISION FINANCIAL ADVISORY COMPANY|CHEN, HUI-CHAN|4F, 34, SEC.2  CHING-DAO ROAD|BEI CHIU|TAICHUNG  404|TAIWAN|||  ||KELLY CHEN|886-4-2291-1091|Sole Proprietorship|Market timing services|APPROVED|01/02/2003|0|0|0|0|0|0
Headquarters| 124509|801-62020|ABERDEEN ASSET MANAGEMENT ASIA LIMITED|ABERDEEN ASSET MANAGEMENT ASIA LIMITED|21 CHURCH STREET,#01-01 CAPITAL SQUARE TWO||SINGAPORE  049480|SINGAPORE|||  ||LOW, HON-YU|65-6395-2662|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/28/2003|0|0|0|0|0|0
Headquarters| 124729|801-61764|CARDINAL CAPITAL MANAGEMENT, INC.|CARDINAL CAPITAL MANAGEMENT, INC.|1780 WELLINGTON AVENUE|SUITE 506|WINNIPEG  R3H-1B3|CANADA|||  ||TIMOTHY E. BURT|1-800-310-4664|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/04/2003|0|0|0|0|0|0
Headquarters| 124925|801-64731|RATHBONES|RATHBONE INVESTMENT MANAGEMENT LIMITED|PORT OF LIVERPOOL BUILDING|PIER HEAD|LIVERPOOL  L3 1NW|ENGLAND|||  ||NICK JOHNSON|0044 151 236 6666|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|11/16/2005|0|0|0|0|0|0
Headquarters| 125142|801-61860|MFC GLOBAL INVESTMENT MANAGEMENT (U.S.A.) LIMITED|MFC GLOBAL INVESTMENT MANAGEMENT (U.S.A.) LIMITED|200 BLOOR STREET EAST|NORTH TOWER|TORONTO, ON  M4W 1E5|CANADA|200 BLOOR STREET EAST||TORONTO, ON  M4W 1E5|CANADA|GORDON PANSEGRAU|416-926-5685|Corporation|Portfolio management for investment companies|APPROVED|03/20/2003|0|2|2|0|0|0
Headquarters| 125239|801-61823|LAXEY PARTNERS LIMITED|LAXEY PARTNERS LIMITED|THE OLD CHAPEL|ONCHAN|ISLE OF MAN  IM3 1NA|UNITED KINGDOM|||  ||PAUL SMITH|44 1624 690900|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/24/2003|0|0|0|0|0|0
Headquarters| 125780|801-61960|CAPITAL FUND MANAGEMENT S.A.|CAPITAL FUND MANAGEMENT S.A.|6 BOULEVARD HAUSSMANN||PARIS  75009|FRANCE|||  ||SAULIERE JACQUES|+331 494 95903|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/07/2003|0|0|0|0|0|0
Headquarters| 126032|801-61894|T.ROWE PRICE GLOBAL INVESTMENT SERVICES LIMITED|T.ROWE PRICE GLOBAL INVESTMENT SERVICES LIMITED|60 QUEEN VICTORIA STREET||LONDON  EC4N 4TZ|UNITED KINGDOM|100 EAST  PRATT STREET||BALTIMORE MD 21202|UNITED STATES|DAVID OESTREICHER|410-345-2628|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|03/26/2003|0|0|0|0|0|0
Headquarters| 126071|801-62152|MORGAN STANLEY ASSET & INVESTMENT TRUST MANAGEMENT CO., LIMITED|MORGAN STANLEY ASSET & INVESTMENT TRUST MANAGEMENT CO., LIMITED|YEBISU GARDEN PLACE TOWER|4-20-3|SHIBUYA-KU, TOKYO  150-6009|JAPAN|||  ||BARKHORN, MADELINE|212-296-7045|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/21/2003|0|0|0|0|0|0
Headquarters| 126218|801-62053|PROXYGEN CO. INVESTMENT ADVISER|PROXYGEN CO.|180 CORSO VALSESIA||GATTINARA, VC  13045|ITALY|VIA DOTT. GIUSEPPE BEFFA, 5/1||ALBENGA, SV  17031|ITALY|MASSIMO BUGELLI|+39 0182 545822|Corporation|Financial planning services, Other|APPROVED|05/23/2003|0|0|0|0|0|0
Headquarters| 126342|801-61997|FOCUS INVESTMENT LTD.|FOCUS INVESTMENT LTD.|FB PERRY BUILDING, 2ND FLOOR|40 CHURCH STREET|HAMILTON  HM12|BERMUDA|P.O. BOX HM 2741||HAMILTON  HM LX|BERMUDA|CRAIG ECKMAN|441-296-5888|Corporation|Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|04/28/2003|0|0|0|0|0|0
Headquarters| 126351|801-61998|FOCUS INVESTMENT MANAGEMENT LTD.|FOCUS INVESTMENT MANAGEMENT LTD.|FB PERRY BULDING, 2ND FLOOR|40 CHURCH STREET|HAMILTON  HM12|BERMUDA|P.O. BOX 2741||HAMILTON  HM LX|BERMUDA|CRAIG ECKMAN|441-296-5888|Corporation|Selection of other advisers, Other|APPROVED|04/28/2003|0|0|0|0|0|0
Headquarters| 126396|801-61972|AIC INVESTMENT SERVICES INC.|AIC INVESTMENT SERVICES INC.|1375 KERNS ROAD||BURLINGTON, ONTARIO  L7R 4X8|CANADA|||  ||VICKY EDWARDS|905-331-4250 EXT 4634|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|04/21/2003|0|1|8|0|0|0
Headquarters| 126536|801-61995|BROOKFIELD SOUNDVEST CAPITAL MANAGEMENT LTD.|BROOKFIELD SOUNDVEST CAPITAL MANAGEMENT LTD.|100 SPARKS STREET|9TH FLOOR|OTTAWA, ONTARIO  KIP5B7|CANADA|||  ||ERNEST MESZAROS|(613) 236-7361|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/22/2003|0|0|0|0|0|0
Headquarters| 126572|801-62166|AIM TRIMARK INVESTMENTS|AIM FUNDS MANAGEMENT INC.|5140 YONGE STREET|SUITE 900|TORONTO, ONTARIO  M2N 6X7|CANADA|||  ||MELISSA SCHOFIELD|416-228-2785|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|06/20/2003|1|0|0|0|0|0
Headquarters| 126683|801-62108|ASSET MANAGEMENT|PICHARDO ASSET MANAGEMENT, S.A. DE C.V.|TEOPANZOLCO AVENUE # 408,|3RD. FLOOR REFORMA|CUERNAVACA  62260|MEXICO|||  ||LUIS MARTIN CALZADA TOLEDO|52(777)101 2010|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|05/30/2003|0|0|0|0|0|0
Headquarters| 126896|801-62173|MORGAN STANLEY INVESTMENT MANAGEMENT COMPANY|MORGAN STANLEY INVESTMENT MANAGEMENT COMPANY|23 CHURCH STREET|#16-01 CAPITAL SQUARE|SINGAPORE  049481|SINGAPORE|||  ||MADELINE BARKHORN|212-762-7206|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/24/2003|0|0|0|0|0|0
Headquarters| 127243|801-62414|SGCAG|SUISSE GLOBAL CONNECT AG|HAUPTSTRASSE 82||MUTTENZ  CH-4132|SWITZERLAND|||  ||OLIVER RUNTIC|+41 61 463 16 45|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters, Market timing services|APPROVED|10/15/2003|0|0|0|0|0|0
Headquarters| 127600|801-62408|ASPECT CAPITAL LIMITED|ASPECT CAPITAL LIMITED|NATIONS HOUSE|103 WIGMORE STREET|LONDON  W1U1QS|UK|||  ||KARINA RYAN|011442071709700|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/01/2003|0|0|0|0|0|0
Headquarters| 128022|801-62322|CIMB-GK SECURITIES (UK) LTD|CIMB-GK SECURITIES (UK) LTD|27 KNIGHTSBRIDGE||LONDON  SW1X 7YB|ENGLAND|||  ||JOANNE ATKINS|44 20 7201-2199|Limited Liability Company|Other|APPROVED|09/24/2003|0|0|0|0|0|0
Headquarters| 128130|801-62394|KV SERVICES LIMITED|KV SERVICES LIMITED|UGLAND HOUSE SOUTH CHURCH STREET||GEORGE TOWN  |GRAND CAYMAN|KV SERVICES (USA), INC.|489 FIFTH AVENUE|NEW YORK NY 10017-6100|USA|PATRICIA BURGESS|916-934-0417|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/16/2003|0|0|0|0|0|0
Headquarters| 128166|801-62415|GARY KLEIN CONSULTING|1062611 ONTARIO LIMITED|37 HEATHDALE ROAD||TORONTO  M6C 1M7|CANADA|||  ||GARY A. KLEIN|416-781-6163|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|10/06/2003|0|0|0|0|0|0
Headquarters| 128221|801-62340|VAN BERKOM AND ASSOCIATES INC.|VAN BERKOM AND ASSOCIATES INC.|1130 SHERBROOKE STREET WEST|SUITE 1005|MONTREAL, QUEBEC  H3A 2M8|CANADA|||  ||ELISABETH PILON|(514) 985-5759 X222|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/04/2003|0|0|0|0|0|0
Headquarters| 128324|801-62380|MACDOUGALL INVESTMENT COUNSEL, INC.|MACDOUGALL INVESTMENT COUNSEL, INC.|1010 DE LA GAUCHETIERE W.,|SUITE 2000|MONTREAL  H3B 4J1|CANADA|||  ||THOMAS G. AIKEN|(514) 394-2777|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/06/2003|0|3|0|0|0|0
Headquarters| 128504|801-62435|HIM MONEGY, INC.|HIM MONEGY, INC.|302 BAY STREET, 12TH FLOOR||TORONTO  M5X 1A1|CANADA|||  ||BRIAN MEIKEL|312-461-7616|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/22/2003|0|0|0|0|0|0
Headquarters| 128649|801-62473|SLOAN ASSET MANAGEMENT AG|SLOAN ASSET MANAGEMENT AG|AUGUSTINERGASSE 52||ZURICH  CH-8001|SZ|||  ||PAUL DENNISON|41-43-244-7554|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|11/06/2003|0|0|0|0|0|0
Headquarters| 128945|801-62570|LANSDOWNE PARTNERS LIMITED|LANSDOWNE PARTNERS LIMITED|15 DAVIES STREET||LONDON  W1K 3AG|UNITED KINGDOM|||  ||YOK WAH TAI|44-20-7290-5512|Corporation|Other|APPROVED|01/02/2004|0|0|0|0|0|0
Headquarters| 129202|801-64869|KARMA CAPITAL MANAGEMENT, L.L.C.|KARMA CAPITAL MANAGEMENT, L.L.C.|7 SILVER OAKS AVE|WESTEND GREENS|NEW DELHI  110038|INDIA|8 PLEASANT VIEW PLACE||OLD GREENWICH CT 06870||DOUGLAS PARKER|+91 981841-9460|Limited Liability Company|Other|APPROVED|03/17/2006|0|0|0|0|0|0
Headquarters| 129558|801-62711|DBS ASSET MANAGEMENT (UNITED STATES) PTE LTD|DBS ASSET MANAGEMENT (UNITED STATES)PTE LTD|8 CROSS STREET|#08-01 PWC BUILDING|SINGAPORE  048424|SINGAPORE|||  ||KEVIN WONG KA WAI|65-6878-7827|Corporation|Portfolio management for investment companies|APPROVED|01/26/2004|0|0|0|0|0|0
Headquarters| 129765|801-62952|SEAMARK ASSET MANAGEMENT LTD.|SEAMARK ASSET MANAGEMENT LTD.|310 - 1801 HOLLIS STREET||HALIFAX  B3J 3N4|CANADA|||  ||JILL MCKIM|902-423-0623|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|04/08/2004|0|0|1|0|0|0
Headquarters| 129836|801-62665|SHAUNESSY INVESTMENT COUNSEL|SHAUNESSY INVESTMENT COUNSEL INC.|933 17TH AVENUE SW|SUITE 504|CALGARY  T2T 5R6|CANADA|||  ||TERENCE SHAUNESSY|403 802 3108|Corporation|Portfolio management for individuals and/or small businesses, Other|APPROVED|01/23/2004|0|0|0|0|0|0
Headquarters| 130528|801-62782|CREDIT SUISSE HEDGING-GRIFFO SERVIOS INTERNACIONAIS S.A.|CREDIT SUISSE HEDGING-GRIFFO SERVIOS INTERNACIONAIS S.A.|AV. PRES. JUSCELINO KUBITSCHEK,|1830 TORRE III 7 AND VILA NOVA CONCEICAO|SAO PAVLO  04543900|BRAZIL|||  ||TALITA FITTIPALDI|551137048623|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/01/2004|0|0|0|0|0|0
Headquarters| 130640|801-62943|GIVERNY CAPITAL|GIVERNY CAPITAL INC.|118 RUE ST-PIERRE||MONTREAL  H2Y 2L7|CANADA|||  ||FRANCOIS ROCHON|514-842-5589|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|04/06/2004|0|0|0|0|0|0
Headquarters| 130668|801-63660|UBS SWISS FINANCIAL ADVISERS|UBS SWISS FINANCIAL ADVISERS AG|LOEWENSTRASSE 49||ZURICH  8001|SWITZERLAND|P.O. BOX||ZURICH  8098|SWITZERLAND|RENE BETTSCHEN|+41 44 237 8791|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|12/03/2004|0|5|0|0|0|0
Headquarters| 130751|801-62853|CLAYVARD FUND MANAGEMENT USA, INC.|CLAYVARD FUND MANAGEMENT USA, INC.|C/O CLAYVARD, LTD.|59-60 CORNHILL, 1ST FLOOR|LONDON  EC3V 3PD|UK|||  ||LAWRENCE DENEAULT, JR.|44 207 283 2481|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/11/2004|0|0|0|0|0|0
Headquarters| 130824|801-65723|ECOFIN LIMITED|ECOFIN LIMITED|15 BUCKINGHAM STREET||LONDON  WC2N 6DU|UNITED KINGDOM|||  ||JOHN H. MURRAY|44 207 451 2929|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/27/2005|0|0|0|0|0|0
Headquarters| 130949|801-63018|GENESIS INVESTMENT MANAGEMENT, LLP|GENESIS INVESTMENT MANAGEMENT, LLP|21 KNIGHTSBRIDGE||LONDON  SW1X 7LY|UK|||  ||MARGUERITE MILLS|+44 20 7201 7200|Limited Liability Partnership|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/27/2004|0|0|0|0|0|0
Headquarters| 130958|801-62972|LANSDOWNE PARTNERS LIMITED PARTNERSHIP|LANSDOWNE PARTNERS LIMITED PARTNERSHIP|15 DAVIES STREET||LONDON  W1K 3AG|UNITED KINGDOM|||  ||YOK WAH TAI|44-20-7290-5512|Other (specify)|Other|APPROVED|04/24/2004|0|0|0|0|0|0
Headquarters| 131106|801-63020|GENESIS ASSET MANAGERS, LLP|GENESIS ASSET MANAGERS, LLP|POLYGON HALL, LE MARCHANT STREET|ST. PETER PORT|GUERNSEY, CHANNEL ISLANDS  GY1 4HY|UNITED KINGDOM|P.O. BOX 225|ST. PETER PORT|GUERNSEY, CHANNEL ISLANDS  GY1 4HY|UNITED KINGDOM|MARGUERITE MILLS|+44 0 20 7201 7200|Limited Liability Partnership|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/27/2004|0|0|0|0|0|0
Headquarters| 131113|801-63103|OAK TREE GLOBAL FINANCIAL SERVICES LLP|OAK TREE GLOBAL FINANCIAL SERVICES LLP|BOSQUE DE DURAZNOS OF 602||MEXICO DF  11700|MEXICO|||  ||ARTURO DUBSON|(555) 596-2382|Limited Liability Partnership|Portfolio management for individuals and/or small businesses|APPROVED|05/07/2004|0|0|0|0|0|0
Headquarters| 131168|801-63196|THREADNEEDLE|THREADNEEDLE INTERNATIONAL LTD.|60 ST. MARY AXE||LONDON  EC3A 8JQ|UK|||  ||MARK COOPER|011-44-20-7464-5095|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|06/04/2004|0|23|0|0|0|0
Headquarters| 131437|801-63089|AUGUSTUS ASSET MANAGERS LIMITED|AUGUSTUS ASSET MANAGERS LIMITED|24 BEVIS MARKS||LONDON  EC3A 7NE|UNITED KINGDOM|||  ||BARRIE DAVEY|+44 (0)20 7711 6696|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|05/14/2004|0|0|0|0|0|0
Headquarters| 131799|801-63376|HEXAVEST INC.|HEXAVEST INC.|1100 RENE-LEVESQUE WEST|SUITE 1340|MONTREAL, PROVINCE QUEBEC  H3B 4N4|CANADA|||  ||LAJOIE MICHEL|(514) 390-7642|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/24/2004|0|0|1|0|0|0
Headquarters| 132018|801-63314|ICS TRADING, LTD.|ICS TRADING, LTD.|AUGUSTIN AHUMADA #347 COL. LOMAS DE CHAPULTEPEC||MEXICO CITY  11000|MEXICO D.F.|P.O. BOX 132878||DALLAS TX 75313|U.S.|ROBERT MIGHELL|214-953-0353|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/18/2004|0|0|0|0|0|0
Headquarters| 132028|801-63536|GEMS MANAGEMENT|GEMS MANAGEMENT LIMITED|NORFOLK HOUSE, 1ST FLOOR|FREDERICK STREET|NASSAU  |BAHAMAS|NORFOLK HOUSE, FREDERICK STREET|P.O. BOX CB-12809|NASSAU  |BAHAMAS|CEDRIC CARROLL|(242) 326-1904|Other (specify)|Other|APPROVED|10/06/2004|0|0|0|0|0|0
Headquarters| 132199|801-64229|KBC ALTERNATIVE INVESTMENT MANAGEMENT LTD.|KBC ALTERNATIVE INVESTMENT MANAGEMENT LIMITED|111 OLD BROAD STREET|6TH FLOOR|LONDON  EC2N 1AL|UK|||  ||STEPHEN KING|212-845-2617|Other (specify)|Other|APPROVED|09/15/2005|0|0|0|0|0|0
Headquarters| 132242|801-63386|ODLUM BROWN USA INVESTMENT MANAGEMENT LIMITED|ODLUM BROWN USA INVESTMENT MANAGEMENT LIMITED|1100-250 HOWE STREET||VANCOUVER, BRITISH COLUMBIA  V6C 3S9|CANADA|||  ||MARY BECK|604-844-5301|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/20/2004|0|0|0|0|0|0
Headquarters| 132377|801-63516|EUROPEAN CREDIT MANAGEMENT LIMITED|EUROPEAN CREDIT MANAGEMENT LIMITED|34 GROSVENOR STREET||LONDON  W1K 4QU|UNITED KINGDOM|||  ||MR JULIAN CAMPBELL|44 20 7529 7465|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/28/2004|0|0|1|0|0|0
Headquarters| 132391|801-63397|MARATHON-LONDON|MARATHON ASSET MANAGEMENT LLP|ORION HOUSE,|5 UPPER ST. MARTINS LANE|LONDON  WC2H 9EA|UNITED KINGDOM|||  ||SIMON DAVIES|44 20 7497 2211|Limited Liability Partnership|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/09/2004|0|0|0|0|0|0
Headquarters| 132400|801-63412|KINGWEST ADVISORS INC.|KINGWEST ADVISORS INC.|86 AVENUE ROAD||TORONTO, ONTARIO  M5R 2H2|CANADA|||  ||RICHARD LYONS FOGLER|416-927-7700|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/13/2004|0|0|0|0|0|0
Headquarters| 132420|801-63694|CORIOLIS CAPITAL LIMITED|CORIOLIS CAPITAL LIMITED|27 AUSTIN FRIARS||LONDON  EC2N 2QP|UNITED KINGDOM|||  ||KRISTY MCMILLAN|+44 20 7614 3485|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/29/2004|0|0|0|0|0|0
Headquarters| 132490|801-63442|EVEREST CAPITAL LIMITED|EVEREST CAPITAL LIMITED|THE BANK OF BUTTERFIELD BUILDING|65 FRONT STREET, 6TH FLOOR|HAMILTON  HM12|BERMUDA|||  ||DAMIAN RESNIK|441.296.0222|Other (specify)|Other|APPROVED|08/23/2004|0|0|0|0|0|0
Headquarters| 132780|801-63514|NEPHILA CAPITAL LTD.|NEPHILA CAPITAL LTD.|3 BURNABY STREET||HAMILTON  HM 12|BERMUDA|||  ||LAURA TAYLOR|441-296-4684|Corporation|Other|APPROVED|09/24/2004|0|0|0|0|0|0
Headquarters| 132796|801-63714|EDINBURGH PARTNERS LIMITED|EDINBURGH PARTNERS LIMITED|12 CHARLOTTE SQUARE||EDINBURGH, MIDLOTHIAN  EH2 4DJ|UNITED KINGDOM|||  ||E BALLANTINE|(44) 131 270 3800|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/03/2005|0|0|0|0|0|0
Headquarters| 132802|801-63523|FORE ASIA LIMITED|FORE ASIA LIMITED|3404-3405 ALEXANDRIA HOUSE|16-20 CHATER ROAD, CENTRAL|HONG KONG SAR  |HONG KONG|||  ||DANIEL AGRANOFF|212 984 3864|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/29/2004|0|0|0|0|0|0
Headquarters| 132905|801-63679|MARITIME INVESTMENT MANAGEMENT INC.|MARITIME INVESTMENT MANAGEMENT INC.|310 1801 HOLLIS STREET||HALIFAX NS  B3J 3N4|CANADA|||  ||JILL MCKIM|902-425-3551|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/09/2004|0|0|1|0|0|0
Headquarters| 133066|801-63600|SKY INVESTMENT COUNSEL INC.|SKY INVESTMENT COUNSEL INC.|1 ADELAIDE STREET EAST|SUITE 2310|TORONTO, ON  M5C 2V9|CANADA|||  ||MOYA MURRAY|4166237502|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/29/2004|0|0|0|0|0|0
Headquarters| 133221|801-64074|LETKO BROSSEAU INVESTMENT MANAGEMENT|LETKO BROSSEAU INVESTMENT MANAGEMENT INC|1800 MCGILL COLLEGE AVENUE, SUITE 2510||MONTREAL, QUEBEC  H3A 3J6|CANADA|||  ||ISABELLE GODIN|514-499-1200|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/10/2005|0|0|0|0|0|0
Headquarters| 133359|801-63682|TRACKBULL INTERNATIONAL LLC|TRACKBULL INTERNATIONAL LLC|32, HAVAZELET HASHARON STREET||HERZLIYA  46747|ISRAEL|P.O.BOX 536||HERZLIYA  46105|ISRAEL|ALBERT LEVY|8666200059|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|01/03/2005|0|0|0|0|0|0
Headquarters| 133461|801-63739|CONCORDIA ADVISORS LLP|CONCORDIA ADVISORS LLP|UNIT 112 HARBOUR YARD|CHELSEA HARBOUR|LONDON  SW10 OXD|UK|||  ||LAWRENCE STOBBS|44 207 352 3131|Limited Liability Partnership|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/14/2005|0|0|0|0|0|0
Headquarters| 133543|801-64050|RAIFFEISEN KAPITALANLAGE-GESELLSCHAFT M.B.H.|RAIFFEISEN KAPITALANLAGE-GESELLSCHAFT M.B.H.|AM STADTPARK 9||VIENNA  1030|AUSTRIA|||  ||CHRISTOPH PLFFY|+43 171707 2970|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Other|APPROVED|08/12/2005|0|0|0|0|0|0
Headquarters| 133621|801-63781|CIBC GLOBAL ASSET MANAGEMENT (USA) LTD.|CIBC GLOBAL ASSET MANAGEMENT (USA) LTD.|1000 DE LA GAUCHETIERE ST WEST|SUITE 3200|MONTREAL, QUEBEC  H3B 4W5|CANADA|||  ||JEAN-PIERRE NADEAU|(514) 875-7045 EXT. 3339|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|01/03/2005|0|0|1|0|0|0
Headquarters| 133662|801-63772|OLYMPIA CAPITAL MANAGEMENT S.A.|OLYMPIA CAPITAL MANAGEMENT S.A.|25 RUE BALZAC||PARIS  75008|FRANCE|||  ||NICOLAS GILBERT|331 4953 7368|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/16/2004|0|0|0|0|0|0
Headquarters| 133670|801-63814|NEWSMITH ASSET MANAGEMENT LLP|NEWSMITH ASSET MANAGEMENT LLP|LANSDOWNE HOUSE|57 BERKELEY SQUARE|LONDON  W1J 6ER|UNITED KINGDOM|||  ||SUSANNE BREACH|+4420 7518 3734|Limited Liability Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/25/2005|0|0|0|0|0|0
Headquarters| 133770|801-63996|SAAM INVESTMENTS|SAAM INVESTMENTS, INC.|AVE. FEDERICO BOYD, EDIFICIO SCOTIA PLAZA|11TH FLOOR|PANAMA CITY  0816-03356|REPUBLIC OF PANAMA|P.O. BOX 0816-03356||PANAMA CITY  5|REPUBLIC FO PANAMA|CRISTINA SAIZ|(507) 672-2606|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|05/06/2005|0|0|0|0|0|0
Headquarters| 133988|801-63889|OPTIMA FUND MANAGEMENT LIMITED PARTNERSHIP|OPTIMA FUND MANAGEMENT LIMITED PARTNERSHIP|73 FRONT STREET||HAMILTON HM12  |BERMUDA|||  ||GEOFFREY M. LEWIS|(212)484-3040|Partnership|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/04/2005|0|0|0|0|0|0
Headquarters| 134064|801-63915|CLAYVARD LTD.|CLAYVARD LTD.|59-60 CORNHILL|1ST FLOOR|LONDON  EC3V 3PD|UK|||  ||LAWRENCE DENEAULT, JR.|44 207 283 2481|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/24/2005|0|0|0|0|0|0
Headquarters| 134229|801-64478|SOLENT CAPITAL PARTNERS LLP|SOLENT CAPITAL PARTNERS LLP|NORFOLK HOUSE, 4TH FLOOR|30 CHARLES II STREET|LONDON  SW1Y 4AE|UNITED KINGDOM|||  ||RAYMOND O'LEARY|+44 207024 4880|Limited Liability Partnership|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|09/27/2005|0|0|0|0|0|0
Headquarters| 134254|801-64215|CLAYMORE INVESTMENTS, INC.|CLAYMORE INVESTMENTS, INC.|200 UNIVERSITY AVE.|13TH FLOOR|TORONTO  M5H 3C6|CANADA|200 UNIVERSITY AVE.|13TH FLOOR|TORONTO  M5H 3C6|CANADA|BRUCE SAXON|630/577-2269|Corporation|Portfolio management for investment companies, Selection of other advisers, Other|APPROVED|05/05/2005|0|0|0|0|0|0
Headquarters| 134430|801-64003|INVESTCORP INVESTMENT ADVISERS LIMITED|INVESTCORP INVESTMENT ADVISERS LIMITED|INVESTCORP HOUSE, BLDG 499|ROAD 1706, BLOCK 317|MANAMA  |KINGDOM OF BAHRAIN|INVESTCORP HOUSE, P.O. BOX 5340||MANAMA  |KINGDOM OF BAHRAIN|BRIAN MURPHY|1-917-332-5719|Corporation|Other|APPROVED|03/15/2005|0|0|0|0|0|0
Headquarters| 134531|801-64022|ACCESS CAPITAL ADVISORS (GUERNSEY)LTD|ACCESS CAPITAL ADVISORS (GUERNSEY)LTD|13-15 VICTORIA ROAD||ST PETER PORT  GY1 3ZD|GUERNSEY|||  ||KAREN HAITH|+44(0)1481-713-843|Corporation|Other|APPROVED|03/07/2005|0|0|0|0|0|0
Headquarters| 134747|801-64550|SPARX ASSET MANAGEMENT CO., LTD.|SPARX ASSET MANAGEMENT CO., LTD.|GATE CITY OHSAKI, EAST TOWER 16TH FLOOR,|1-11-2,OHSAKI, SHINAGAWA-KU|TOKYO  141-0032|JAPAN|||  ||AKIHITO AKASHI|03-5435-8265|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/16/2005|0|0|0|0|0|0
Headquarters| 134876|801-64314|HALBIS CAPITAL MANAGEMENT (UK) LIMITED|HALBIS CAPITAL MANAGEMENT (UK) LIMITED|78 ST. JAMES'S STREET||LONDON, ENGLAND  SW1A 1EJ|UK|||  ||ALEX BRATT|44 207 024 1034|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|08/01/2005|0|0|0|0|0|0
Headquarters| 135238|801-64613|NEWHAVEN ASSET MANAGEMENT INC.|NEWHAVEN ASSET MANAGEMENT INC.|155 UNIVERSITY AVENUE|SUITE 1900|TORONTO, ONTARIO  M5H 3B7|CANADA|||  ||STEPHEN T. MOORE|416-815-2278|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|08/25/2005|0|0|0|0|0|0
Headquarters| 135347|801-67306|UNITED BROKERS CORP. S.A.|UNITED BROKERS CORP. S.A.|RUTA 8 KM 17.500 PREDIO NRO 33|ZONA AMERICA|MONTEVIDEO  |URUGUAY|||  ||CHRISTINA CORRIT|5982 916 4135|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|12/06/2006|0|0|0|0|0|0
Headquarters| 135378|801-65136|AURIEL CAPITAL MANAGEMENT LLP|AURIEL CAPITAL MANAGEMENT LLP|22 CROSS KEYS CLOSE||LONDON  W1U 2DW|UNITED KINGDOM|||  ||LARRY ABELE|+44-207-258-8850|Limited Liability Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/26/2006|0|0|0|0|0|0
Headquarters| 135441|801-64296|TETREM CAPITAL MANAGEMENT LTD.|TETREM CAPITAL MANAGEMENT LTD.|1450 - 201 PORTAGE AVENUE||WINNIPEG, MANITOBA CANADA  R3B 3K6|CANADA|||  ||DONALD I. CAMPBELL|1-204-975-2883|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/06/2005|0|0|0|0|0|0
Headquarters| 135517|801-64746|PI INVESTMENT MANAGEMENT LIMITED|PI INVESTMENT MANAGEMENT LIMITED|LEVEL 5 ALEXANDRA HOUSE|THE SWEEPSTAKES BALLSBRIDGE|DUBLIN  4|IRELAND|||  ||MS. PATTI H. EYERS|353 1 669 9220|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/30/2005|0|0|0|0|0|0
Headquarters| 135539|801-64639|BI ASSET MANAGEMENT FONDSMAEGLERSELSKAB A/S|BI ASSET MANAGEMENT FONDSMAEGLERSELSKAB A/S|SUNDKROGSGADE 7||COPENHAGEN  2100|DENMARK|||  ||VIVIAN LUND|+45 77 30 90 59|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|09/19/2005|0|0|0|0|0|0
Headquarters| 135661|801-66371|COHEN & STEERS ASIA LIMITED|COHEN & STEERS ASIA LIMITED|1202, CITIBANK TOWER, CITIBANK PLAZA|3 GARDEN ROAD|CENTRAL  |HONG KONG|||  ||LISA PHELAN|212-446-9160|Other (specify)|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/17/2006|0|1|0|0|0|0
Headquarters| 135829|801-64420|BEUTEL, GOODMAN & COMPANY LTD.|BEUTEL, GOODMAN & COMPANY LTD.|20 EGLINTON AVENUE WEST|SUITE 2000|TORONTO, ONTARIO  M4R 1K8|CANADA|||  ||CYNTHIA ROGERS|416-480-6487|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|06/14/2005|0|0|0|0|0|0
Headquarters| 135878|801-65880|INVICTA|INVICTA INVESTMENT MANAGEMENT LLP|32 CURZON STREET||LONDON ENGLAND  W1J 7TS|UK|||  ||SANJAI DHAR|44-20-7518-1490|Limited Liability Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/25/2006|0|0|0|0|0|0
Headquarters| 135915|801-64505|ATLANTIC EQUITIES LLP|ATLANTIC EQUITIES LLP|15 ST. HELEN'S PLACE||LONDON  EC3A 6DE|UNITED KINGDOM|||  ||HAMILTON FABER|011-44-207-382-2904|Limited Liability Partnership|Other|APPROVED|07/19/2005|0|0|0|0|0|0
Headquarters| 135960|801-64725|JPMORGAN ASSET MANAGEMENT|JPMORGAN ASSET MANAGEMENT (UK) LIMITED|125 LONDON WALL||LONDON  EC2Y 5AJ|ENGLAND, UK|245 PARK AVENUE||NEW YORK NY 10167|USA|CATHIE TEDDER|44-207-742-4963|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/29/2005|0|3|5|0|0|0
Headquarters| 135963|801-64760|ARETHUSA ASSET MANAGEMENT LLP|ARETHUSA ASSET MANAGEMENT LLP|BERKELEY SQUARE HOUSE, 4TH FLOOR, SUITE 2|BERKLEY SQUARE|LONDON  W1J 6BL|UNITED KINGDOM|||  ||PEDRO BARREDA|512 565 8342|Limited Liability Partnership|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/05/2005|0|0|0|0|0|0
Headquarters| 136016|801-64490|ING INVESTMENT MANAGEMENT ASIA/PACIFIC (HONG KONG) LTD.|ING INVESTMENT MANAGEMENT ASIA/PACIFIC (HONG KONG) LTD.|39/F, ONE INTERNATIONAL FINANCE CENTRE|NO 1 HARBOUR VIEW STREET, CENTRAL|HONG KONG  |CHINA|||  ||DUNCAN JEPSON|852 3762 8389|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/20/2005|0|29|1|0|0|0
Headquarters| 136017|801-64484|GSI (BERMUDA) LTD.|GSI (BERMUDA) LTD.|CLARENDON HOUSE|2 CHURCH STREET|BERMUDA  HM11|USA|C/O GSI MANAGEMENT LTD.|909 LIPPO CENTER; TOWER II|ADMIRALTY  |HONG KONG|BENSON FUNG|852 28684880|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|07/25/2005|0|0|0|0|0|0
Headquarters| 136133|801-64644|POLAR CAPITAL|POLAR CAPITAL LLP|4 MATTHEW PARKER STREET||LONDON  SW1H 9NP|UNITED KINGDOM|||  ||BOURA TOMLINSON|00 44 207 227 2758|Limited Liability Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/19/2005|0|0|0|0|0|0
Headquarters| 136174|801-64510|OFFSHORE INVESTMENT ADVISOR|BRIDGEWATER, JAMES, LIONEL|THE TERRACES|BELMONT PARK|TORTOLA  VG1130|BRITISH VIRGIN ISLANDS|PO BOX 3838|SEA COWS BAY|TORTOLA  N/A|BRITISH VIRGIN ISLANDS|JAMES BRIDGEWATER|1 284 495 4179|Sole Proprietorship|Portfolio management for individuals and/or small businesses, Pension consulting services, Publication of periodicals or newsletters|APPROVED|07/27/2005|0|0|0|0|0|0
Headquarters| 136225|801-64630|FAXTOR|FAXTOR SECURITIES B.V.|STRAWINSKYLAAN 361||AMSTERDAM  1077 XX|THE NETHERLANDS|||  ||F.H. WESSELING|31-20-3050611|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/13/2005|0|0|0|0|0|0
Headquarters| 136315|801-64643|ENR ASSET MANAGEMENT, INCORPORATED|ENR ASSET MANAGEMENT, INCORPORATED|1 WESTMOUNT SQUARE|SUITE 1125|WESTMOUNT, QUEBEC  H3Z 2P9|CANADA|||  ||ERIC ROSEMAN|514 989 8027|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|09/19/2005|0|0|0|0|0|0
Headquarters| 136438|801-65898|NEW FINANCE CAPITAL LLP|NEW FINANCE CAPITAL LLP|20 NORTH AUDLEY STREET, 3RD FLOOR||LONDON  W1K 6WE|UNITED KINGDOM|||  ||ALAN THOMAS|+44 207 529 6700|Limited Liability Partnership|Selection of other advisers|APPROVED|02/01/2006|0|0|0|0|0|0
Headquarters| 136500|801-65711|WESSEX ASSET MANAGEMENT LIMITED|WESSEX ASSET MANAGEMENT LIMITED|LORNE PARK HOUSE, LORNE PARK ROAD||BOURNEMOUTH, DORSET  BH1 1JJ|UK|||  ||PETER CHESTERFIELD|44-1202-200930|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/27/2006|0|0|0|0|0|0
Headquarters| 136522|801-65366|CAMBRIDGE PLACE INVESTMENT MANAGEMENT LLP|CAMBRIDGE PLACE INVESTMENT MANAGEMENT LLP|LEXICON HOUSE|17 OLD COURT PLACE|LONDON  W8 4PL|UK|||  ||NICHOLAS ASPINALL|+44-207-938-5700|Limited Liability Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/27/2006|0|0|0|0|0|0
Headquarters| 136573|801-65405|WATERFALL INVESTMENTS INC.|WATERFALL INVESTMENTS INC.|10 KING ST. E., SUITE 701||TORONTO, ONTARIO  M5C 1C3|CANADA|||  ||ANDREW MCCREATH|416-504-6829|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/24/2006|0|0|0|0|0|0
Headquarters| 136615|801-65939|MT THALER INVESTMENT MANAGEMENT LLP|MT THALER INVESTMENT MANAGEMENT LLP|8 FREDERICK'S PLACE||LONDON  EC2R 8HY|ENGLAND|||  ||DAVID ASERKOFF|+44 20 7796 2462|Limited Liability Partnership|Other|APPROVED|01/27/2006|0|0|0|0|0|0
Headquarters| 136823|801-65456|DEUTSCHE ASSET MANAGEMENT (UK) LIMITED|DEUTSCHE ASSET MANAGEMENT (UK) LIMITED|ONE APPOLD STREET||LONDON  EC2A 2UU|ENGLAND|||  ||ISOBEL A. M. SWANSON|44 207-545-8291|Other (specify)|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|01/27/2006|1|5|0|0|0|0
Headquarters| 136937|801-65987|THE OXFORD ASSET MANAGEMENTCOMPANY LIMITED|OXFORD ASSET MANAGEMENT LLP|BROAD STREET||OXFORD  OX1 3BP|UNITED KINGDOM|||  ||STEPHEN HUYTON|+44 1865 248 248|Limited Liability Partnership|Other|APPROVED|02/01/2006|0|0|0|0|0|0
Headquarters| 136973|801-65222|DALTON STRATEGIC PARTNERSHIP LLP|DALTON STRATEGIC PARTNERSHIP LLP|3RD FLOOR PRINCES COURT|PRINCES STREET|LONDON  EC2R8AQ|UK|||  ||GEMMA BAINBRIDGE|0207 367 5411|Limited Liability Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/30/2006|0|0|0|0|0|0
Headquarters| 137030|801-64839|ENDEAVOUR CAPITAL LLP|ENDEAVOUR CAPITAL LLP|103 MOUNT STREET||LONDON  W1K 2TJ|UNITED KINGDOM|||  ||STEPHEN G. RICE|44 207 758 9427|Limited Liability Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/03/2006|0|0|0|0|0|0
Headquarters| 137034|801-64799|ADDENDA CAPITAL|ADDENDA CAPITAL INC.|800 RENE-LEVESQUE BLVD. WEST|SUITE 2750|MONTREAL, QUEBEC  H3B 1X9|CANADA|||  ||MYRIAM LARCHER|(514) 287-7373 EXT. 227|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|10/21/2005|0|0|0|0|0|0
Headquarters| 137066|801-64772|CONCENTRIC CAPITAL ASA|CONCENTRIC CAPITAL ASA|OLAV V'S GT 5||OSLO  N-0161|NORWAY|||  ||TORBJORN ALBUM|+4722013908|Other (specify)|Other|APPROVED|10/14/2005|0|0|0|0|0|0
Headquarters| 137086|801-64703|AMBER PARTNERS LTD.|AMBER PARTNERS LTD.|SUITE 306, COMMERCE BUILDING|1 CHANCERY LANE|HAMILTON  HM 12|BERMUDA|P.O. BOX HM 1889||HAMILTON  HM HX|BERMUDA|JAMIE JARED DONNELLY|441-296-8777|Corporation|Other|APPROVED|09/19/2005|0|0|0|0|0|0
Headquarters| 137109|801-64984|THE SUMITOMO TRUST FINANCE (HK) LIMITED|THE SUMITOMO TRUST FINANCE (HK) LIMITED|704-706, 7/F THREE EXCHANGE SQUARE|8 CONNAUGHT PLACE, CENTRAL|HONG KONG  |CHINA|||  ||MR. ELLICK CHENG|(852) 2801 8885|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/05/2006|0|0|0|0|0|0
Headquarters| 137158|801-65792|VR ADVISORY SERVICES LTD.|VR ADVISORY SERVICES LTD.|AVRORA BUSINESS PARK|77 SADOVNICHESKAYA NAB., BLDG 1|MOSCOW  115035|RUSSIA|US MAILING ADDRESS: VRG 855, FLIP-POST, PO BOX 372|1461 FIRST AVENUE|NEW YORK NY 10021|USA|JEFFREY JOHNSON|+7 495 787 8181|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/27/2006|0|0|0|0|0|0
Headquarters| 137245|801-65129|BLUECREST CAPITAL MANAGEMENT LIMITED|BLUECREST CAPITAL MANAGEMENT LIMITED|40 GROSVENOR PLACE||LONDON  SW1X 7AW|ENGLAND|||  ||CHARLES OLVER|+44 20 3180 3040|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/12/2006|0|0|0|0|0|0
Headquarters| 137267|801-64916|BAILLIE GIFFORD INTERNATIONAL LLC|BAILLIE GIFFORD INTERNATIONAL LLC|CALTON SQUARE|1 GREENSIDE ROW|EDINBURGH  EH1 3AN|SCOTLAND|||  ||GILLIAN WRIGHT|44 131 275 3041|Limited Liability Company|Other|APPROVED|12/06/2005|0|0|0|0|0|0
Headquarters| 137291|801-65190|TACONIC CAPITAL ADVISORS UK LLP|TACONIC CAPITAL ADVISORS UK LLP|55 GROSVENOR STREET|5TH FLOOR|LONDON  W1K 3HY|UNITED KINGDOM|||  ||ELIZABETH KEELEY|(212) 209-3119|Limited Liability Partnership|Other|APPROVED|01/23/2006|0|0|0|0|0|0
Headquarters| 137320|801-65376|DICKSON CAPITAL MANAGEMENT LLP|DICKSON CAPITAL MANAGEMENT LLP|105 PICCADILLY||LONDON  W1J 7NJ|UNITED KINGDOM|||  ||ANDREW DICKSON|011-44-20-7647-1755|Limited Liability Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/31/2006|0|0|0|0|0|0
Headquarters| 137444|801-64861|ENHANCED INVESTMENT PRODUCTS LIMITED|ENHANCED INVESTMENT PRODUCTS LIMITED|1601, 1 EXCHANGE SQUARE, CENTRAL||HONG KONG  |CHINA|||  ||RORY MACDIARMID|+852 21161226|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|05/20/2006|0|0|0|0|0|0
Headquarters| 137452|801-64892|ENHANCED INVESTMENT PRODUCTS LIMITED|ENHANCED INVESTMENT PRODUCTS ( CAYMAN) LIMITED|C/O WALKERS SPV LIMITED|87 MARY STREET|GEORGE TOWN, GRAND CAYMAN  |CAYMAN ISLANDS|1601 ONE EXCHANGE SQUARE, CENTRAL||HONG KONG S.A.R.  |CHINA|RORY MACDIARMID|852 2116 1226|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|05/20/2006|0|0|0|0|0|0
Headquarters| 137520|801-65621|MILLER & JACOBS CAPITAL, LLC|MILLER & JACOBS CAPITAL, LLC|5013 CHANDLER'S WHARF SUITE 2||CHRISTIANSTED  00820|US, VIRGIN ISLANDS|P.O. BOX 26039||CHRISTIANSTED  00824|US. VIRGIN ISLANDS|AMY HARRIS|340-773-1300|Limited Liability Company|Portfolio management for investment companies, Other|APPROVED|01/23/2006|0|0|0|0|0|0
Headquarters| 137605|801-65894|MASTERS CAPITAL MANAGEMENT, L.L.C.|MASTERS CAPITAL MANAGEMENT, L.L.C.|17 CHURCH STREET 3RD FLOOR||CHRISTIANSTED  00820|VIRGIN ISLANDS|P.O. BOX 224229||CHRISTIANSTED  00822|VIRGIN ISLANDS|MICHELLE DOBBINS|340.692.5102|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/26/2006|0|0|0|0|0|0
Headquarters| 137609|801-66243|AVATAR INVESTMENT MANAGEMENT LIMITED|AVATAR INVESTMENT MANAGEMENT LIMITED|C/O INTERNATIONAL MANAGEMENT (MAURITIUS) LIMITED|4TH FLR., LES CASCADES BUILDING, EDITH CAVELL STRE|PORT-LOUIS  |MAURITIUS|||  ||JANAK JETHMALANI|+230 212 9800|Other (specify)|Other|APPROVED|04/25/2006|0|0|0|0|0|0
Headquarters| 137637|801-64878|CHARLEMAGNE CAPITAL (UK) LIMITED|CHARLEMAGNE CAPITAL (UK) LIMITED|39 ST JAMES'S STREET||LONDON  SW1A 1JD|UNITED KINGDOM|ST MARY'S COURT|20 HILL STREET|DOUGLAS  IM1 1EU|ISLE OF MAN, BRITISH ISLES|ALISON BURGESS|01624 640221|Other (specify)|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/14/2005|0|0|0|0|0|0
Headquarters| 137672|801-65661|ZEBEDEE CAPITAL PARTNERS LLP|ZEBEDEE CAPITAL PARTNERS LLP|67-68 LONG ACRE||LONDON  WC2E 9JH|ENGLAND|||  ||STEPHEN GRANT|020-7836-1995|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/25/2006|0|0|0|0|0|0
Headquarters| 137701|801-65956|VISION INVESTMENT MANAGEMENT (ASIA) LIMITED|VISION INVESTMENT MANAGEMENT (ASIA) LIMITED|29TH FLOOR|100 QUEEN'S ROAD CENTRAL|HONG KONG SAR  |CHINA|||  ||LOUIE CLIFFORD KENNETH|+852 2878 3639|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/01/2006|0|0|0|0|0|0
Headquarters| 137703|801-65955|VISION INVESTMENT MANAGEMENT (BVI) LIMITED|VISION INVESTMENT MANAGEMENT (BVI) LIMITED|CRAIGMUIR CHAMBERS|PO BOX 71|ROAD TOWN, TORTOLA  |BRITISH VIRGIN ISLANDS|29TH FLOOR|100 QUEEN'S ROAD CENTRAL,|HONG KONG SAR  |CHINA|CLIFFORD KENNETH LOUIE|+852 2878 3639|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/01/2006|0|0|0|0|0|0
Headquarters| 137709|801-64894|FRONT STREET INVESTMENT MANAGEMENT INC.|FRONT STREET INVESTMENT MANAGEMENT INC.|33 YONGE STREET|SUITE 600|TORONTO, ONTARIO  M5E 1G4|CANADA|||  ||TRACEY PATEL|416-597-9595|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/15/2005|0|1|0|0|0|0
Headquarters| 137749|801-65219|PELOTON PARTNERS LLP|PELOTON PARTNERS LLP|6 BROOK STREET||LONDON  W1S 1BB|UK|||  ||CONRAD LEVY|+44 20 7629 2466|Limited Liability Partnership|Other|APPROVED|01/10/2006|0|0|0|0|0|0
Headquarters| 137759|801-65166|PARK PLACE CAPITAL LIMITED|PARK PLACE CAPITAL LIMITED|17C CURZON STREET|MAYFAIR|LONDON  W1J 5HU|UNITED KINGDOM|||  ||JOHN DONACHIE|+44 2074084816|Corporation|Other|APPROVED|01/31/2006|0|0|0|0|0|0
Headquarters| 137779|801-65228|ASSET VALUE INVESTORS LIMITED|ASSET VALUE INVESTORS LIMITED|54 ST. JAMES'S STREET||LONDON  SW1A 1JT|UNITED KINGDOM|||  ||DAVID MILLER|+44 20 7647 2900|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/19/2006|0|0|0|0|0|0
Headquarters| 137841|801-65237|HENDERSON ALTERNATIVE INVESTMENT ADVISOR LIMITED|HENDERSON ALTERNATIVE INVESTMENT ADVISOR LIMITED|4 BROADGATE||LONDON  EC2M 2DA|UNITED KINGDOM|||  ||BRIAN ROWE|+44(0)20 7818 4776|Corporation|Other|APPROVED|01/19/2006|0|0|0|0|0|0
Headquarters| 137848|801-65577|ACP PARTNERS LLP|ACP PARTNERS LLP|21 KNIGHTSBRIDGE||LONDON  SW1X 7LY|UNITED KINGDOM|||  ||MARCO DI PALMA|+ 44 207 838 7224|Limited Liability Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/08/2006|0|0|0|0|0|0
Headquarters| 137855|801-64967|UFG ADVISORS LIMITED|UFG ADVISORS LIMITED|CHANCERY HALL, 52 REID STREET||HAMILTON  HM12|BERMUDA|||  ||ALEXEEV BORIS|+74957211212|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/04/2006|0|0|0|0|0|0
Headquarters| 137860|801-64919|BLACKSTONE FUND SERVICES INDIA PRIVATE LIMITED|BLACKSTONE FUND SERVICES INDIA PRIVATE LIMITED|EXPRESS TOWERS, 5TH FLOOR|NARIMAN POINT|MUMBAI  400021|INDIA|||  ||ROBERT L. FRIEDMAN|212-583-5268|Other (specify)|Portfolio management for investment companies, Other|APPROVED|11/28/2005|0|0|0|0|0|0
Headquarters| 137883|801-65665|HILLSDALE INVESTMENT MANAGEMENT INC.|HILLSDALE INVESTMENT MANAGEMENT INC.|100 WELLINGTON STREET W., SUITE 2100|TD CENTRE|TORONTO  M5K 1J3|CANADA|||  ||IAN PEMBER|(416) 913-3920|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/27/2006|0|0|0|0|0|0
Headquarters| 137891|801-66247|ELMWOOD ADVISORS PTE. LTD.|ELMWOOD ADVISORS PTE. LTD.|PRUDENTIAL TOWER, LEVEL 14|30 CECIL STREET|SINGAPORE  049712|SINGAPORE|||  ||CHRISTOPHER J. WHITE|+81-3-5408-5874|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/24/2006|0|0|0|0|0|0
Headquarters| 137926|801-65982|OVERLOOK INVESTMENTS LIMITED|OVERLOOK INVESTMENTS LIMITED|1702 DINA HOUSE|11 DUDDELL STREET, CENTRAL|HONG KONG  |HONG KONG|||  ||MICHAEL LONERGAN|852 - 28015740|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/27/2006|0|0|0|0|0|0
Headquarters| 137929|801-64998|FM CAPITAL MANAGEMENT|SWIFTSURE CAPITAL LIMITED|20 NEW BOND STREET||LONDON  W1S 2RD|ENGLAND|||  ||JEREMY LYTLE|+020 7 355 9998|Corporation|Other|APPROVED|01/25/2006|0|0|0|0|0|0
Headquarters| 137931|801-65983|OVERLOOK INVESTMENTS L.P.|OVERLOOK INVESTMENTS L.P.|CAMPBELL CORPORATE SERVICES LIMITED, THE BANK OF|NOVA SCOTIA BANK CENTER, P.O. BOX884, CARDINAL AVE|GEORGE TOWN  |GRAND CAYMAN|1702, DINA HOUSE|11 DUDDELL STREET|HONG KONG  |HONG KONG|MICHAEL LONERGAN|852 - 2801 5740|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/10/2006|0|0|0|0|0|0
Headquarters| 137935|801-65249|RUBICON ASSET MANAGEMENT LIMITED|RUBICON ASSET MANAGEMENT LIMITED|LEVEL 2, 287-289|NEW SOUTH HEAD ROAD|EDGECLIFF  2027|AUSTRALIA|||  ||MIRANDA WONG|+61 2 9302 2100|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/20/2006|0|0|0|0|0|0
Headquarters| 137942|801-64901|BOUSSARD & GAVAUDAN ASSET MANAGEMENT LP|BOUSSARD & GAVAUDAN ASSET MANAGEMENT LP|1 DOVER STREET||LONDON  W1S 4LA|UNITED KINGDOM|||  ||PASCAL GILLOT|(44) 207 514 0700|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/22/2005|0|0|0|0|0|0
Headquarters| 137976|801-65692|FOUNDATION CAPITAL STRATEGIES LTD.|FOUNDATION CAPITAL STRATEGIES LTD.|32 PARLIAMENT STREET||HAMILTON  HM11|BERMUDA|SUITE 157 -  48 PAR LA VILLE ROAD||HAMILTON  HM 11|BERMUDA|KIRK CAZA|441-295-5600|Corporation|Other|APPROVED|01/27/2006|0|0|0|0|0|0
Headquarters| 137990|801-64983|ASIA DEBT MANAGEMENT HONG KONG LIMITED|ASIA DEBT MANAGEMENT HONG KONG LIMITED|1008 ICBC TOWER, 3 GARDEN ROAD||HONG KONG  |HONG KONG|||  ||ALEXANDER SHAIK|852-2536-4567|Corporation|Other|APPROVED|12/06/2005|0|0|0|0|0|0
Headquarters| 137992|801-65047|PCE INVESTORS LIMITED|PCE INVESTORS LIMITED|5-11 REGENT STREET||LONDON  SW1Y 4LR|UNITED KINGDOM|||  ||MEHUL BHUDIA|+44(0)2076644727|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/25/2006|0|0|0|0|0|0
Headquarters| 138025|801-64951|LODH PRIVATE EQUITY AG|LODH PRIVATE EQUITY AG|SIHLSTRASSE 20||ZURICH  8021|SWITZERLAND|||  ||GREGORY BALITSOS|212-295-6200|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|11/29/2005|0|0|0|0|0|0
Headquarters| 138079|801-65230|SECTOR OMEGA ASA|SECTOR OMEGA ASA|FILIPSTAD BRYGGE 2||OSLO  0125|NORWAY|||  ||GUDRID EIDE|47 2301 2903|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/20/2006|0|0|0|0|0|0
Headquarters| 138110|801-65071|HORIZON CAPITAL|HORIZON CAPITAL MANAGEMENT AND RESEARCH LIMITED|ETON TOWER, SUITE 1601|8 HYSAN AVENUE, CAUSEWAY BAY|HONG KONG  00000|CHINA|||  ||BO HONG|852 2241 4961|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/17/2006|0|0|0|0|0|0
Headquarters| 138149|801-65627|GDG ASSET MANAGEMENT LIMITED|GDG ASSET MANAGEMENT LIMITED|FITZWILLIAM HALL|FITZWILLIAM PLACE|DUBLIN 2  |IRELAND|||  ||LOUISE MCKENNA|011-353-1-669-1900|Corporation|Other|APPROVED|01/27/2006|0|0|0|0|0|0
Headquarters| 138166|801-65445|CHEYNE CAPITAL INTERNATIONAL LIMITED|CHEYNE CAPITAL INTERNATIONAL LIMITED|MERCURY HOUSE|101 FRONT STREET|HAMILTON  HM12|BERMUDA|||  ||CHERYLLE SWAN-SIMONS|1 441 296 3891|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/01/2006|0|0|0|0|0|0
Headquarters| 138189|801-65797|MORANT WRIGHT MANAGEMENT LIMITED|MORANT WRIGHT MANAGEMENT LIMITED|43 ST. JAMES'S PLACE||LONDON  SW1A 1NS|ENGLAND|||  ||ALASDAIR MCKERRELL|011-44-20-7499-9980|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/24/2006|0|0|0|0|0|0
Headquarters| 138190|801-66878|STOCK MARKETS INSTITUTE|STOCK MARKETS INSTITUTE|NAHIMOVSKY PROSPEKT 47|SUITE 914|MOSCOW  117418|RUSSIA|||  ||SERGEY PERMINOV|7-903-2754217|Corporation|Publication of periodicals or newsletters|APPROVED|06/16/2006|0|0|0|0|0|0
Headquarters| 138199|801-65433|CHEYNE CAPITAL MANAGEMENT (UK) LLP|CHEYNE CAPITAL MANAGEMENT (UK) LLP|13 CLEVELAND ROW, STORNOWAY HOUSE||LONDON  SW1A 1DH|UNITED KINGDOM|||  ||SIMON JAMES|44 (0) 207 031 7560|Limited Liability Partnership|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/01/2006|0|0|0|0|0|0
Headquarters| 138230|801-65518|VEGAPLUS CAPITAL PARTNERS (EUROPE) LLP|PROXIMA ALFA INVESTMENTS (UK) LLP|103 MOUNT STREET||LONDON  W1K 2TJ|ENGLAND|||  ||ALBERTO ALVAREZ|+44 207 182 1917|Limited Liability Partnership|Other|APPROVED|01/27/2006|0|0|0|0|0|0
Headquarters| 138245|801-66129|GOTTEX FUND MANAGEMENT SARL|GOTTEX FUND MANAGEMENT SARL|48 AVENUE DE RHODANIE||LAUSANNE 1007  |SWITZERLAND|||  ||WADE C. BOYLAN|617 532 0205|Other (specify)|Other|APPROVED|01/31/2006|0|0|0|0|0|0
Headquarters| 138273|801-66035|RED STAR ASSET MANAGEMENT|RED STAR ASSET MANAGEMENT, L.P.|CANON'S COURT|22 VICTORIA STREET|HAMILTON  HM 12|BERMUDA|1133 BROADWAY|SUITE 706|NEW YORK NY 10010|USA|KATHERINE ALEMAN|441-295-2244|Partnership|Other|APPROVED|02/01/2006|0|0|1|0|0|0
Headquarters| 138297|801-65843|PERMAL INVESTMENT MANAGEMENT SERVICES LIMITED|PERMAL INVESTMENT MANAGEMENT SERVICES LIMITED|12 ST. JAMES'S SQUARE||LONDON  SW1Y 4LB|UNITED KINGDOM|||  ||KAREN HAGER|212-418-6624|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|01/30/2006|0|0|0|0|0|0
Headquarters| 138319|801-66335|PM CAPITAL LIMITED|PM CAPITAL LIMITED|60 CARRINGTON STREET, LEVEL 13||SYDNEY, NSW  2000|AUSTRALIA|||  ||GRAHAM R. HOOK|61 2 8243 0888|Corporation|Other|APPROVED|02/27/2006|0|0|0|0|0|0
Headquarters| 138341|801-65055|HAWKESBURY ADVISORS PTY LTD|HAWKESBURY ADVISORS PTY LTD|LEVEL 27  GROSVENOR PLACE|225 GEORGE STREET|SYDNEY  2000|AUSTRALIA|PO BOX R1831|ROYAL EXCHANGE|SYDNEY  1255|AUSTRALIA|MARK HODGKIN|+44 207 4912515|Corporation|Other|APPROVED|04/19/2006|0|0|0|0|0|0
Headquarters| 138378|801-65623|PIONEER ALTERNATIVE INVESTMENTS|PIONEER ALTERNATIVE INVESTMENT MANAGEMENT LIMITED|6TH FLOOR, 1 GEORGE'S QUAY PLAZA, GEORGE'S QUAY||DUBLIN 2  |IRELAND|||  ||NEIL DONNELLY|+353 1 4802730|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/01/2006|0|3|0|0|0|0
Headquarters| 138392|801-65635|CLAIRVOYANCE CAPITAL ADVISORS INC.|CLAIRVOYANCE CAPITAL ADVISORS INC.|8F, 136 NANJING EAST ROAD|SECTION 3|TAIPEI  104|TAIWAN, R.O.C.|||  ||WILLIAM CHANG|886-2-2711-6800|Corporation|Other|APPROVED|01/25/2006|0|0|0|0|0|0
Headquarters| 138443|801-65556|PYRENEES INVESTMENT MANAGEMENT|PYRENEES INVESTMENT MANAGEMENT|QUEENSGATE HOUSE SOUTH CHURCH STREET||GEORGE TOWN  1234 GT|CAYMAN|GRAN VIA DE LES CORTS CATALANES|643,2|BARCELONA  08010|SPAIN|ALEX BENASULI|+34 93 4814611|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/01/2006|0|0|0|0|0|0
Headquarters| 138455|801-65626|NICHOLAS EDWARDS INVESTMENTS K.K.|NICHOLAS EDWARDS INVESTMENTS K.K.|HALIFAX ONARIMON BUILDING, 3-24-10,|NISHI-SHINBASHI, MINATO-KU,|TOKYO  105-0003|JAPAN|||  ||KIYOHARU INOUE|81-3-6402-2950|Corporation|Other|APPROVED|01/23/2006|0|0|0|0|0|0
Headquarters| 138466|801-65247|ERMITAGE ASSET MANAGEMENT JERSEY LIMITED|ERMITAGE ASSET MANAGEMENT JERSEY LIMITED|1ST FLOOR|47 THE ESPLANADE|ST HELIER  JE1 9LB|JERSEY|||  ||HANNAH LE RENDU|01534 615 548|Corporation|Selection of other advisers, Other|APPROVED|02/01/2006|1|0|0|0|0|0
Headquarters| 138498|801-65202|CARRIGAHOLT HOLDINGS LTD|CARRIGAHOLT HOLDINGS LTD|73 FRONT STREET||HAMILTON  HM 12|BERMUDA|||  ||HENRY COX|441-292-9718|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/18/2006|0|0|0|0|0|0
Headquarters| 138513|801-65203|ARGENT FINANCIAL GROUP (BERMUDA) LTD|ARGENT FINANCIAL GROUP (BERMUDA) LTD|73 FRONT STREET||HAMILTON  HM 12|BERMUDA|||  ||HENRY COX|441-292-9718|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/18/2006|0|0|0|0|0|0
Headquarters| 138595|801-65078|GARTMORE INVESTMENT LIMITED|GARTMORE INVESTMENT LIMITED|8 FENCHURCH PLACE||LONDON  EC3M 4PB|UNITED KINGDOM|||  ||STEPHEN PERRY|44-207-782-2741|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/03/2006|0|1|0|0|0|0
Headquarters| 138603|801-65342|ASTER-X CAPITAL MANAGEMENT|ASTER-X CAPITAL MANAGEMENT B.V.|HAAKSBERGWEG 75||AMSTERDAM  1101BR|HOLLAND|||  ||STAM|0031207517091|Other (specify)|Other|APPROVED|02/03/2006|0|0|0|0|0|0
Headquarters| 138629|801-65434|VEGAPLUS CAPITAL PARTNERS LIMITED|VEGAPLUS CAPITAL PARTNERS LIMITED|PICCADILLY CENTRE|2ND FLOOR, 28 ELGIN AVENUE, P O BOX 697 GT|GEORGE TOWN, GRAND CAYMAN  KY1-1107|CAYMAN ISLANDS|P.O. BOX 697|GRAND CAYMAN|GEORGE TOWN  KY1-1107|CAYMAN ISLANDS|KATRINA FOSTER|+345 946 2022|Corporation|Selection of other advisers|APPROVED|04/18/2006|0|0|0|0|0|0
Headquarters| 138630|801-65435|VEGA ASSET MANAGEMENT PARTNERS LIMITED|VEGA ASSET MANAGEMENT PARTNERS LIMITED|PICCADILY CENTRE|2ND FLOOR, 28 ELGIN AVENUE, P O BOX 697 GT|GEORGE TOWN, GRAND CAYMAN  KY1-1107|CAYMAN ISLANDS|P.O. BOX 697|GRAND CAYMAN|GEORGE TOWN  KY1-1107|CAYMAN ISLANDS|KATRINA FOSTER|+345 946 2022|Corporation|Selection of other advisers|APPROVED|04/18/2006|0|0|0|0|0|0
Headquarters| 138648|801-65253|TANTALLON CAPITAL ADVISORS PTE LTD|TANTALLON CAPITAL ADVISORS PTE LTD|137 TELOK AYER STREET, #03-05||SINGAPORE  068602|SINGAPORE|||  ||ALEXANDER HILL|+65 6327 3920|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/20/2006|0|0|0|0|0|0
Headquarters| 138713|801-65852|NOONDAY ASSET MANAGEMENT LLP|NOONDAY ASSET MANAGEMENT LLP|BURDETT HOUSE 15-16 BUCKINGHAM STREET||LONDON  WC2N6DU|UK|||  ||NICOLAS GIAUQUE|011-44-207-747-8800|Limited Liability Partnership|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/01/2006|0|0|0|0|0|0
Headquarters| 138723|801-65350|NEW STAR ASSET MANAGEMENT LTD|NEW STAR ASSET MANAGEMENT LTD|1 KNIGHTSBRIDGE GREEN||LONDON  SW1X 7NE|UNITED KINGDOM|||  ||SALLY WINSTANLEY|+44 207 225 9586|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/19/2006|0|0|0|0|0|0
Headquarters| 138749|801-65254|TANTALLON CAPITAL LIMITED|TANTALLON CAPITAL LIMITED|137 TELOK AYER STREET|#03-05|SINGAPORE  068602|SINGAPORE|||  ||ALEXANDER HILL|+65 6327 3920|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/20/2006|0|0|0|0|0|0
Headquarters| 138759|801-66228|COLONIAL FIRST STATE GLOBAL ASSET MANAGEMENT|COLONIAL FIRST STATE ASSET MANAGEMENT (AUSTRALIA) LIMITED|LEVEL 30 COLONIAL CENTRE|52 MARTIN PLACE|SYDNEY NSW  2000|AUSTRALIA|||  ||MICHAEL HILL|+612 9303 7729|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/02/2006|0|0|0|0|0|0
Headquarters| 138761|801-66091|HANOVER|HANOVER INVESTORS MANAGEMENT LLP|THE ECONOMIST PLAZA|26 ST JAMES STREET|LONDON  SW1A 1HA|UNITED KINGDOM|||  ||SARAH KINSELLA|44 (0) 207 766 8408|Limited Liability Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/03/2006|0|0|0|0|0|0
Headquarters| 138772|801-66818|SOLID ROCK MANAGEMENT LIMITED|SOLID ROCK MANAGEMENT LIMITED|NERINE CHAMBERS|QUASTISKY BUILDING, 3RD FLOOR|ROAD TOWN, TORTOLA  |BRITISH VIRGIN ISLANDS|||  ||KEVIN MCAULIFFE|+44 1481 727272|Corporation|Other|APPROVED|06/22/2006|0|0|0|0|0|0
Headquarters| 138777|801-65529|NOVATERA CAPITAL PTE. LTD.|NOVATERA CAPITAL PTE. LTD.|11 STAMFORD ROAD #04-10|CAPITOL BUILDING|SINGAPORE  178884|SINGAPORE|||  ||ROBERT ANDREW LEWIS|+65 8133 9578|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/23/2005|0|0|0|0|0|0
Headquarters| 138779|801-65410|COPENHAGEN CAPITAL LLP|COPENHAGEN CAPITAL LLP|FOXGLOVE HOUSE|166 PICCADILLY|LONDON  W1J 9EF|UNITED KINGDOM|||  ||GRAEME WHITE|+44 20 7399 2924|Limited Liability Partnership|Portfolio management for investment companies|APPROVED|02/01/2006|0|0|0|0|0|0
Headquarters| 138781|801-65259|SOFAER CAPITAL INC.|SOFAER CAPITAL INC.|GRAIGMUIR CHAMBERS|ROAD TOWN|TORTOLA  |BRITISH VIRGIN ISLANDS|SOFAER ADMINISTRATION, 16TH FLOOR|16 ICE HOUSE STREET, CENTRAL|HONG KONG  |CHINA|WINNIE LEUNG|852-2521-8882|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/01/2006|0|0|0|0|0|0
Headquarters| 138783|801-66817|EDEN ROCK CAPITAL MANAGEMENT|EDEN ROCK CAPITAL MANAGEMENT LLP|50 CURZON STREET||LONDON  W1J 7UW|UNITED KINGDOM|||  ||NICOLA CORRIN|+44 207 079 1600|Limited Liability Partnership|Other|APPROVED|06/22/2006|0|0|0|0|0|0
Headquarters| 138786|801-65545|OMG CAPITAL|OMG CAPITAL LLP|DUDLEY HOUSE|169 PICCADILY|LONDON  W1J 9EH|UNITED KINGDOM|||  ||NICK GAZE|0207 495 4488|Limited Liability Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/27/2006|0|0|0|0|0|0
Headquarters| 138788|801-65516|SOFAER GLOBAL RESEARCH|SOFAER GLOBAL RESEARCH (UK) LIMITED|9 UPPER BELGRAVE STREET||LONDON  SW1X 8BD|UNITED KINGDOM|||  ||RAY ATKINSON|44-(0)20-7259-4462|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/27/2006|0|0|0|0|0|0
Headquarters| 138799|801-65519|VEGA FUND HOLDINGS, AGENCIA DE VALORES, S.A.|VEGA FUND HOLDINGS, AGENCIA DE VALORES, S.A.|PLAZA MANUEL GOMEZ MORENO, 2|EDIFICIO ALFREDO MAHOU|MADRID  28020|SPAIN|||  ||MANUEL ALVAREZ MARTIN|+34 91 4184511|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/18/2006|0|0|0|0|0|0
Headquarters| 138805|801-65491|GSA CAPITAL PARTNERS LLP|GSA CAPITAL PARTNERS LLP|11 BERKELEY STREET|1ST FLOOR|LONDON  W1J 8DS|UNITED KINGDOM|||  ||MELANIE FIRTH|00-44-20-7959-8816|Limited Liability Partnership|Other|APPROVED|01/25/2006|0|0|0|0|0|0
Headquarters| 138839|801-66029|IKOS CIF LIMITED|IKOS CIF LIMITED|1 IACOVOU TOMBAZI STREET|201 VASHIOTIS BUSINESS CENTRE|LIMASSOL  3107|CYPRUS|||  ||ELENA AMBROSIADOU|+357-2581-4714|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/31/2006|0|1|0|0|0|0
Headquarters| 138865|801-65517|FGS CAPITAL LLP|FGS CAPITAL LLP|20 ST. JAMES'S STREET||LONDON  SW1A 1ES|UK|||  ||FREDERIC SIPIERE|00 44 207 451 2108|Limited Liability Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/12/2006|0|0|0|0|0|0
Headquarters| 138876|801-65326|ACRU ASSET MANAGEMENT LIMITED|ACRU ASSET MANAGEMENT LIMITED|3 GARDEN ROAD|UNIT 3209, CITIBANK TOWER, CITIBANK PLAZA|CENTRAL  |HONG KONG|||  ||SEETOH LIN YOKE|852-2878-8081|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/30/2006|0|0|0|0|0|0
Headquarters| 138880|801-65964|MILLENNIUM GLOBAL INVESTMENTS LIMITED|MILLENNIUM GLOBAL INVESTMENTS LIMITED|57-59 ST. JAMES'S STREET||LONDON  SW1A 1LD|ENGLAND|||  ||KATHLEEN MARIA GIBSON-STARK|44 207 663 8914|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/27/2006|0|0|0|0|0|0
Headquarters| 138885|801-65802|KOTAK MAHINDRA (UK) LIMITED|KOTAK MAHINDRA (UK) LIMITED|PORTSOKEN HOUSE|155-157 MINORIES|LONDON  EC3N 1LS|UNITED KINGDOM|||  ||VISWANATHAN VARADARAJAN|+44 20 7977 6912|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/30/2006|0|0|0|0|0|0
Headquarters| 138900|801-65407|DENEB ASSET MANAGEMENT LIMITED|DENEB ASSET MANAGEMENT LIMITED|421 THE KINGSWAY||TORONTO  M9A 1W3|CANADA|||  ||JON RUBENOK|416 234-8659|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/24/2006|0|0|0|0|0|0
Headquarters| 138921|801-65699|BINJAI HILL ASSET MANAGEMENT PTE LTD.|BINJAI HILL ASSET MANAGEMENT PTE LTD.|78 AMOY STREET #02-01||SINGAPORE  069897|REPUBLIC OF SINGAPORE|||  ||STEVEN JAN WONG|(65) 6438-4158|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/01/2006|0|0|0|0|0|0
Headquarters| 138933|801-66071|ALLARD PARTNERS LIMITED|ALLARD PARTNERS LIMITED|3106, 31/F ALEXANDER HOUSE|18 CHATER ROAD|CENTRAL  |HONG KONG|||  ||NORA NG|852-2526 9168|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/30/2006|0|0|0|0|0|0
Headquarters| 138953|801-66184|BROOKE CAPITAL LIMITED|BROOKE CAPITAL LIMITED|19/F THE WORKSTATION|43 LYNDHURST TERRACE|CENTRAL  |HONG KONG|||  ||TOM ROYDS|+852 2258 2345|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/30/2006|0|0|0|0|0|0
Headquarters| 138954|801-65813|SHELL COVE CAPITAL MANAGEMENT LTD|SHELL COVE CAPITAL MANAGEMENT LTD|KING STREET WHARF|15 LIME STREET, SUITE 411|SYDNEY, NSW  2000|AUSTRALIA|GPO BOX 7038||SYDNEY,  NSW  2001|AUSTRALIA|PAUL BRECH|+61 2 9299 3366|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/24/2006|0|0|0|0|0|0
Headquarters| 138956|801-65343|ELGIN CAPITAL LLP|ELGIN CAPITAL LLP|21 PALMER STREET||LONDON  SW1H 0AD|UNITED KINGDOM|||  ||KELLY ELMS|+44 (0) 207 340 9007|Limited Liability Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/01/2006|0|0|0|0|0|0
Headquarters| 138987|801-66222|PRIME CAPITAL MANAGEMENT COMPANY LIMITED|PRIME CAPITAL MANAGEMENT COMPANY LIMITED|181 QUEEN'S ROAD CENTRAL|UNIT 2303, LOW BLOCK, GRAND MILLENNIUM PLAZA|HONG KONG  |HONG KONG|||  ||IRENE NG|852-36025138|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|03/02/2006|0|1|0|0|0|0
Headquarters| 139002|801-66176|GOODWOOD INC.|GOODWOOD INC.|212 KING STREET WEST|SUITE 201|TORONTO  M5H 1K5|CANADA|||  ||CURT S. CUMMING|416-203-2022|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/30/2006|0|0|0|0|0|0
Headquarters| 139003|801-66130|RP CAPITAL PARTNERS CAYMAN ISLANDS LIMITED|RP CAPITAL PARTNERS CAYMAN ISLANDS LIMITED|UGLAND HOUSE, SOUTH GEORGE ST|GRAND CAYMAN|GEORGETOWN  POBOX309GT|CAYMAN ISLANDS|33 CHESTER STREET||LONDON  SW1X 7XD|UNITED KINGDOM|ZACH CHAUDHRY|+44 207 245 4483|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/08/2006|0|0|0|0|0|0
Headquarters| 139012|801-65715|MARTIN CURRIE INVESTMENT MANAGEMENT LIMITED|MARTIN CURRIE INVESTMENT MANAGEMENT LIMITED|SALTIRE COURT, 20 CASTLE TERRACE||EDINBURGH  EH1 2ES|UNITED KINGDOM|||  ||JACQUI HUGHES|44 131 479 4785|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/27/2006|0|0|0|0|0|0
Headquarters| 139014|801-65563|COREVEST MANAGEMENT LIMITED|COREVEST MANAGEMENT LIMITED|803 WEST BAY ROAD|GRAND PAVILLION COMMERCIAL CENTRE, PO. BOX 2003 GT|GRAND CAYMAN  |CAYMAN ISLAND, BWI|||  ||RACHEL KIM|822-784-4910|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/13/2006|0|0|0|0|0|0
Headquarters| 139036|801-65925|MARCO POLO PURE ASSET MANAGEMENT (CAYMAN ISLANDS) LIMITED|MARCO POLO PURE ASSET MANAGEMENT (CAYMAN ISLANDS) LIMITED|2202 TOWER TWO, LIPPO CENTRE|89 QUEENSWAY|HONG KONG SAR  |CHINA|||  ||ALAN LANDAU|852-3426-8803|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/21/2006|0|0|0|0|0|0
Headquarters| 139037|801-66379|CYPRESS CAPITAL MANAGEMENT US LIMITED|CYPRESS CAPITAL MANAGEMENT US LIMITED|66 WELLINGTON ST.|W. TD BANK TOWER 31ST FLOOR|TORONTO  M5K 1E9|CANADA|||  ||TIM LOGAN|416-815-6215|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/06/2006|0|0|0|0|0|0
Headquarters| 139055|801-66162|NORTH OF SOUTH|NORTH OF SOUTH CAPITAL LLP|1 GROSVENOR CRESENT||LONDON, ENGLAND  SW1X 1RF|UNITED KINGDOM|||  ||CHIVVIS-SHAHNAZAROV, ANDREI|44 207 753 7638|Limited Liability Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/01/2006|0|0|0|0|0|0
Headquarters| 139109|801-66148|FARNAM STREET FUND MANAGEMENT (CAYMAN) LIMITED|FARNAM STREET FUND MANAGEMENT (CAYMAN) LIMITED|4TH FLOOR BUCKINGHAM HOUSE|6 BUCKINGHAM STREET|LONDON  WC2N 6BU|UNITED KINGDOM|||  ||GREGORY MACKAY|44 20 7321 0888|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/13/2006|0|0|0|0|0|0
Headquarters| 139115|801-66099|ARGO CAPITAL MANAGEMENT (CYPRUS) LTD|ARGO CAPITAL MANAGEMENT (CYPRUS) LTD|10 VASILISSIS FREDERIKIS STREET|SUITE 401|NICOSIA  1066|CYPRUS|||  ||KYRIAKOS RIALAS|0035722668900|Corporation|Other|APPROVED|02/01/2006|0|0|0|0|0|0
Headquarters| 139120|801-66135|UMJ (SINGAPORE) PTE. LTD.|UMJ (SINGAPORE) PTE. LTD.|20 HAVELOCK ROAD #02-19/20||CENTRAL SQUARE  059765|SINGAPORE|||  ||ANNIE CHU|65 6428 8330|Corporation|Other|APPROVED|02/08/2006|0|0|0|0|0|0
Headquarters| 139128|801-65979|TUFTON OCEANIC (ISLE OF MAN) LIMITED|TUFTON OCEANIC (ISLE OF MAN) LIMITED|ST. GEORGE'S COURT|UPPER CHURCH STREET|DOUGLAS  IM1  1EE|ISLE OF MAN|||  ||MICHAEL RODGERS|+44 1624 643156|Corporation|Other|APPROVED|01/31/2006|0|0|0|0|0|0
Headquarters| 139138|801-66019|CAIRN FINANCIAL PRODUCTS LIMITED|CAIRN FINANCIAL PRODUCTS LIMITED|27 KNIGHTSBRIDGE||LONDON  SW1X 7LY|UNITED KINGDOM|||  ||JAMES STARKY|+44 20 7259 4814|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/31/2006|0|0|0|0|0|0
Headquarters| 139151|801-65967|OCEANIC ENERGY MANAGEMENT LIMITED|OCEANIC ENERGY MANAGEMENT LIMITED|ST. GEORGE COURT, UPPER CHURCH STREET||DOUGLAS  IM1 1EE|ISLE OF MAN|||  ||MICHAEL RODGERS|+44-1624-643-156|Corporation|Other|APPROVED|02/09/2006|0|0|0|0|0|0
Headquarters| 139164|801-66120|HELIOS CAPITAL MANAGEMENT PTE. LTD|HELIOS CAPITAL MANAGEMENT PTE. LTD|6 BATTERY ROAD|#26-03, SINGAPORE|SINGAPORE  049909|SINGAPORE|||  ||MR. SAMIR ARORA|65 6227 0776|Corporation|Other|APPROVED|04/24/2006|0|1|1|0|0|0
Headquarters| 139166|801-65974|OCEANIC FUND MANAGEMENT LIMITED|OCEANIC INVESTMENT MANAGEMENT LIMITED|ST. GEORGE'S COURT|UPPER CHURCH STREET|DOUGLAS  IM1 1EE|ISLE OF MAN|||  ||MICHAEL RODGERS|+44 1624 643156|Corporation|Other|APPROVED|02/09/2006|0|0|0|0|0|0
Headquarters| 139172|801-66037|PMA INVESTMENT ADVISORS LIMITED|PMA INVESTMENT ADVISORS LIMITED|6TH FLR, ICBC TOWER, CITIBANK PLAZA|3 GARDEN ROAD|CENTRAL  |HONG KONG|||  ||RAYMOND WONG|852 3102 7538|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/17/2006|0|0|0|0|0|0
Headquarters| 139173|801-66008|WARD FERRY MANAGEMENT (BVI) LIMITED|WARD FERRY MANAGEMENT (BVI) LIMITED|2906-07, 29TH FLOOR, ONE EXCHANGE SQUARE|8 CONNAUGHT ROAD, CENTRAL|HONG KONG  |HONG KONG|||  ||ANNIE LAI|852-2581-2500|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/01/2006|0|0|0|0|0|0
Headquarters| 139179|801-66109|COSMO INVESTMENT MANAGEMENT CO., LTD.|COSMO INVESTMENT MANAGEMENT CO., LTD.|7TH FLOOR, EAST WING, POSCO CENTER|892, DAECHI 4-DONG, GANGNAM-GU|SEOUL  135-777|KOREA|||  ||HEEKU BYUN|82-2-570-1660|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/23/2006|0|0|0|0|0|0
Headquarters| 139184|801-66072|WARD FERRY MANAGEMENT LIMITED|WARD FERRY MANAGEMENT LIMITED|2906-2907,29TH FLOOR,ONE EXCHANGE SQUARE|8 CONNAUGHT ROAD,CENTRAL|HONG KONG  |HONG KONG|||  ||ANNIE LAI|852-2581-2500|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/01/2006|0|0|0|0|0|0
Headquarters| 139197|801-66039|PMA (EUROPE) LLP|PMA (EUROPE) LLP|52-54 GRACECHURCH STREET||LONDON  EC3V 0EH|ENGLAND|||  ||RAY KWOK|44-207-648-2120|Limited Liability Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/27/2006|0|0|0|0|0|0
Headquarters| 139199|801-66038|PMA CAPITAL MANAGEMENT LIMITED|PMA CAPITAL MANAGEMENT LIMITED|HARBOUR PLACE, 103 SOUTH CHURCH STREET||GRAND CAYMAN  |CAYMAN ISLANDS|HARBOUR PLACE, 103 SOUTH CHURCH STREET|P.O. BOX 1034GT|GRAND CAYMAN  |CAYMAN ISLANDS|RAYMOND WONG|852 3102 7538|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/27/2006|0|0|0|0|0|0
Headquarters| 139201|801-66041|EXPLORA CAPITAL MANAGEMENT ASA|EXPLORA CAPITAL MANAGEMENT ASA|DRONNING MAUDSGT 1||OSLO  N-0250|NORWAY|||  ||ALEXANDER|+4723308330|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/01/2006|0|0|0|0|0|0
Headquarters| 139204|801-66442|TY ADVISERS|TY ADVISERS|15TH FLOOR, CERULEAN TOWER, 26-1 SAKURAGAOKA-CHO,|SHIBUYA-KU|TOKYO  150-8512|JAPAN|||  ||MR. TORU UEDA|813-5456-5143|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/05/2006|0|0|0|0|0|0
Headquarters| 139217|801-66016|EMSO PARTNERS LIMITED|EMSO PARTNERS LIMITED|41 BERKELEY SQUARE||LONDON  W1J 5AN|UNITED KINGDOM|||  ||DANIEL JOHNSON|44 207 500-0430|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/01/2006|0|1|0|0|0|0
Headquarters| 139221|801-66366|MATTERHORN INVESTMENT MANAGEMENT LLP|MATTERHORN INVESTMENT MANAGEMENT LLP|29 QUEEN ANNE'S GATE, 1ST FLOOR||LONDON  SW1H 9BU|UNITED KINGDOM|||  ||EWAN CHRISTIAN|44-20-7340-2800|Limited Liability Partnership|Portfolio management for individuals and/or small businesses|APPROVED|03/27/2006|0|0|0|0|0|0
Headquarters| 139254|801-67672|MGH ASSET MANAGEMENT|MGH ASSET MANAGEMENT LTD|11-14 ALPHA STREET||WELLINGTON  6011|NEW ZEALAND|LEVEL 2, 44 HAY STREET, ORIENTAL BAY||WELLINGTON  6001|NEW ZEALAND|VIVIENNE WALLACE|6443845271|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/23/2007|0|0|0|0|0|0
Headquarters| 139267|801-67011|MILLENNIA INVESTMENT MANAGEMENT PTE LTD|MILLENNIA INVESTMENT MANAGEMENT PTE LTD|50 RAFFLES PLACE|#38-05A SINGAPORE LAND TOWER|SINGAPORE  048623|SINGAPORE|||  ||JOON-HIN OOI|65-6327 8229|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/14/2006|0|0|0|0|0|0
Headquarters| 139303|801-66104|CANTILLON CAPITAL MANAGEMENT LLP|CANTILLON CAPITAL MANAGEMENT LLP|103-105 JERMYN STREET||LONDON  SW1 Y6EE|UNITED KINGDOM|||  ||JAMES R. O'BRIEN|212-603-3310|Limited Liability Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/31/2006|0|0|0|0|0|0
Headquarters| 139345|801-66160|MACQUARIE FUNDS MANAGEMENT|MACQUARIE INVESTMENT MANAGEMENT LIMITED|20 BOND STREET|LEVEL 22|SYDNEY  2000|AUSTRALIA|||  ||JOE FLEX|612 823 26031|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/01/2006|1|12|0|0|0|0
Headquarters| 139346|801-66603|FOREIGN TRADE BANK JAMAICA LIMITED|FOREIGN TRADE BANK JAMAICA LIMITED|18 BARNETT STREET||MONTEGO BAY  |JAMAICA|110 PINE AVENUE|SUITE 1070|LONG BEACH CA 90802-4418|U.S.A.|WILLIAM B. WASSINK|(562) 435-0131|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|10/13/2006|0|0|0|0|0|0
Headquarters| 139361|801-66174|OTTOMAN CAPITAL|OTTOMAN CAPITAL|7F ASHEITZ-TOMIGAYA 1-10-2||SHIBUYA-KU  151-0063|TOKYO|||  ||JOSEPH SCHMELZEIS|81-3-5790-5703|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/01/2006|0|0|0|0|0|0
Headquarters| 139362|801-66124|GANDHARA ADVISORS ASIA LIMITED|GANDHARA ADVISORS ASIA LIMITED|21ST FLOOR, HENLEY BUILDING|5 QUEENS ROAD CENTRAL|HONG KONG  |CHINA|||  ||ANITA WEBBON|442074916181|Corporation|Other|APPROVED|03/06/2006|0|0|0|0|0|0
Headquarters| 139384|801-66125|GANDHARA ADVISORS EUROPE LLP|GANDHARA ADVISORS EUROPE LLP|6TH FLOOR 65 CURZON STREET||LONDON  W1J 8PE|ENGLAND, UNITED KINGDOM|||  ||ANITA WEBBON|44-207-491-6181|Limited Liability Partnership|Other|APPROVED|03/06/2006|0|0|0|0|0|0
Headquarters| 139390|801-66273|LONGVIEW PARTNERS L.P.|LONGVIEW PARTNERS L.P.|THAMES COURT|1 QUEENHITHE|LONDON  EC4V 3RL|UNITED KINGDOM|||  ||DANIEL LANGAN|+44 (0) 207 809 4119|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/24/2006|0|0|0|0|0|0
Headquarters| 139484|801-66341|CHIRIN CAPITAL LLP|CHIRIN CAPITAL LLP|30 WATLING STREET||LONDON  EC4M 9BR|ENGLAND|||  ||NOEL VELLA|44-20-7653-6182|Limited Liability Partnership|Other|APPROVED|03/13/2006|0|0|0|0|0|0
Headquarters| 139485|801-66340|CHIRIN CAPITAL LIMITED|CHIRIN CAPITAL LIMITED|P.O. BOX 309||GEORGE TOWN  |CAYMAN ISLANDS|30 WATLING STREET||LONDON  EC4M 9BR|UK|NOEL VELLA|+44-20-7653-6182|Corporation|Other|APPROVED|03/14/2006|0|0|0|0|0|0
Headquarters| 139504|801-66267|PACIFIC SUN INVESTMENT MANAGEMENT (HK) LTD|PACIFIC SUN INVESTMENT MANAGEMENT (HK) LTD.|SUITE 2412 TWO PACIFIC PLACE|88 QUEENSWAY|ADMIRALTY HONG KONG  |HONG KONG|||  ||CANDY TSE|852-2525-2010|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies|APPROVED|04/03/2006|0|2|0|0|0|0
Headquarters| 139526|801-66274|RREEF GLOBAL ADVISERS LIMITED|RREEF GLOBAL ADVISERS LIMITED|WINCHESTER HOUSE|1 GREAT WINCHESTER STREET|LONDON  EC2N 2DB|UNITED KINGDOM|||  ||ISOBEL A. M. SWANSON|00442075458291|Other (specify)|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|03/02/2006|1|5|0|0|0|0
Headquarters| 139554|801-66215|TRIDENT PACIFIC CAPITAL|TRIDENT PACIFIC CAPITAL PTY LTD.|66 HUNTER STREET, LEVEL 9,SUITE 1||SYDNEY  2000|AUSTRALIA|||  ||MICHAEL PERRY CLEMONS|61-2-8231-0168|Limited Liability Company|Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|02/03/2006|0|0|0|0|0|0
Headquarters| 139556|801-66350|LION RESOURCE ADVISORS LIMITED|LION RESOURCE ADVISORS LIMITED|24 IVES STREET||LONDON  SW3 2ND|UNITED KINGDOM|||  ||K. THYGESEN|442070520011|Corporation|Portfolio management for investment companies|APPROVED|06/02/2006|0|0|0|0|0|0
Headquarters| 139565|801-67006|ACT CURRENCY PARTNER AG|ACT CURRENCY PARTNER AG|SEEFELDSTRASSE 94|ZURICH|ZURICH  8008|SWITZERLAND|||  ||FELIX ADAM|+414-3499- 0640|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/10/2006|0|0|0|0|0|0
Headquarters| 139596|801-66266|NATURAL SELECTION INVESTORS CANADA CORPORATION|NATURAL SELECTION INVESTORS CANADA CORPORATION|148 YORKVILLE AVENUE, 2ND FLOOR|YORK SQUARE, SUITE 5|TORONTO, ONTARIO  M 5R 1C2|CANADA|||  ||JOSEPH SCHMELZEIS|81-3-5790-5701|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/23/2006|0|0|0|0|0|0
Headquarters| 139639|801-66237|BUCEPHALE ASSET MANAGEMENT, LTD|BUCEPHALE ASSET MANAGEMENT, LTD|35 RUE DES BAINS||CH-1205 GENEVA  |SWITZERLAND|||  ||WAYNE MORRISON|(610) 955-5686|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/23/2006|0|0|0|0|0|0
Headquarters| 139647|801-66679|TOZAI INVESTMENT ADVISORY|TOZAI INVESTMENT ADVISORY|C/O WALKERS SPV LIMITED, WALKER HOUSE|MARY STREET|GEORGE TOWN, GRAND CAYMAN  |CAYMAN ISLANDS|||  ||MICHAEL PERRY CLEMONS|61-2-82310168|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Publication of periodicals or newsletters|APPROVED|05/19/2006|0|0|0|0|0|0
Headquarters| 139659|801-66410|HACHIMAN CAPITAL MANAGEMENT PTE LTD|HACHIMAN CAPITAL MANAGEMENT PTE LTD|14TH FLOOR, PRUDENTIAL TOWER, 30 CECIL STREET||SINGAPORE  049712|SINGAPORE|||  ||JASON ALAN JONES|65-6232-2372|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/31/2006|0|0|0|0|0|0
Headquarters| 139666|801-66285|DEUTSCHE ASSET MANAGEMENT (HONG KONG) LIMITED|DEUTSCHE ASSET MANAGEMENT (HONG KONG) LIMITED|48/F CHEUNG KONG CENTRE|2 QUEEN'S ROAD CENTRAL|HONG KONG  |CHINA|||  ||PATRICIA TIN|85222038146|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/08/2006|1|5|0|0|0|0
Headquarters| 139680|801-66469|DGAM|DIVERSIFIED GLOBAL ASSET MANAGEMENT CORPORATION|77 KING STREET WEST|SUITE 4310|TORONTO  M5K 1J5|CANADA|||  ||JEFF LUCASSEN|416-644-7594|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/06/2006|0|0|0|0|0|0
Headquarters| 139685|801-66332|CONCORDIA ADVISORS (SINGAPORE) PTE, LTD|CONCORDIA ADVISORS (SINGAPORE) PTE, LTD|6 BATTERY ROAD|#18-05/06|SINGAPORE  049909|SINGAPORE|||  ||KENNETH W. TONKINSON|65 6827 0682|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|03/27/2006|0|0|0|0|0|0
Headquarters| 139705|801-66323|NATURAL SELECTION INVESTORS|NATURAL SELECTION INVESTORS|C/O NATURAL SELECTION INVESTORS CANADA CORPORATION|148 YORKVILLE AVENUE, 2ND FLOOR, YORK SQUARE, SUIT|TORONTO  M5R 1C2|CANADA|||  ||JOSEPH SCHMELZEIS|011-81-3-5790-5701|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/24/2006|0|0|0|0|0|0
Headquarters| 139734|801-66662|ARNOTT CAPITAL PTY LTD|ARNOTT CAPITAL PTY LTD|SUITE 4, LEVEL 10|1 ALFRED STREET|SYDNEY  2000|AUSTRALIA|||  ||BENJAMIN STEWART PARKER|+61292227109|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|05/03/2006|0|0|0|0|0|0
Headquarters| 139751|801-66306|CZ CAPITAL LLP|CZ CAPITAL LLP|18B CHARLES STREET||LONDON  W1J 5DU|UK|||  ||CHARLES ZACHARY CURTIS|+44- 20 7667 6586|Limited Liability Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/06/2006|0|0|0|0|0|0
Headquarters| 139756|801-66408|VERTEX ONE ASSET MANAGEMENT INC.|VERTEX ONE ASSET MANAGEMENT INC.|1920 - 1177 WEST HASTINGS STREET||VANCOUVER, BRITISH COLUMBIA  V6E 2K3|CANADA|||  ||JEANNETTE GIBAULT|(604) 681-5787|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/12/2006|0|0|0|0|0|0
Headquarters| 139777|801-66392|NAFTILIA ASSET MANAGEMENT LIMITED|NAFTILIA ASSET MANAGEMENT LIMITED|KIFFISIAS AVENUE 36|MAROUSI|ATHENS  15125|GREECE|||  ||GEORGE ELLIOTT|003-0210-684-6943|Other (specify)|Other|APPROVED|03/06/2006|0|0|0|0|0|0
Headquarters| 139835|801-66734|KEYLEVELS.COM; INVEST4PROFIT.COM|DCB NOMINEES PTY LTD|28 ORLANDO STREET|SUITE 5|COFFS HARBOUR, NSW  2450|AUSTRALIA|||  ||PAUL NOJIN|61266519577|Corporation|Other|APPROVED|05/10/2006|0|0|0|0|0|0
Headquarters| 139877|801-66388|MACARTHURCOOK INVESTMENT MANAGERS LIMITED|MACARTHURCOOK INVESTMENT MANAGERS LIMITED|LEVEL 4, 30 COLLINS STREET||MELBOURNE, VICTORIA  3000|AUSTRALIA|||  ||VICKI SMITH|61 3 9660 4504|Corporation|Portfolio management for investment companies|APPROVED|03/06/2006|0|0|0|0|0|0
Headquarters| 139882|801-66439|FAIRFIELD GREENWICH (BERMUDA) LTD.|FAIRFIELD GREENWICH (BERMUDA) LTD.|131 FRONT STREET|1ST FLOOR|HAMILTON  HM 11|BERMUDA|12 CHURCH STREET, SUITE 606||HAMILTON HM 11  |BERMUDA|ANTHONY DELL'ARENA|212-991-5282|Other (specify)|Other|APPROVED|04/20/2006|0|0|0|0|0|0
Headquarters| 139897|801-67539|ORIGIN ASSET MANAGEMENT LLP|ORIGIN ASSET MANAGEMENT LLP|ONE CAREY LANE||LONDON  EC2V 8AE|UNITED KINGDOM|||  ||LINDSAY JAMES JOHNSTON|+442078128505|Limited Liability Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/12/2007|0|0|0|0|0|0
Headquarters| 139929|801-66455|FWS CAPITAL LTD.|FWS CAPITAL LTD.|14 PAR-LA-VILLE ROAD|3RD FLOOR|HAMILTON  HM08|BERMUDA|||  ||KENNETH HOLZ|201-802-9496|Other (specify)|Other|APPROVED|04/21/2006|0|0|0|0|0|0
Headquarters| 139932|801-66494|TRIBECA GLOBAL MANAGEMENT (ASIA) PTE. LTD.|TRIBECA GLOBAL MANAGEMENT (ASIA) PTE. LTD.|3 TEMASEK AVENUE|#14-00 CENTENNIAL TOWER|SINGAPORE  039190|SINGAPORE|||  ||JACQUELINE TAN|852 3551 5355|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/02/2006|0|1|0|0|0|0
Headquarters| 139944|801-66507|MIR INVESTMENT MANAGEMENT LTD.|MIR INVESTMENT MANAGEMENT LTD.|50 BRIDGE STREET|LEVEL 40|SYDNEY  NSW 2000|AUSTRALIA|||  ||MARIAN K. CARR|+61 2 8222 0800|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/31/2006|0|0|0|0|0|0
Headquarters| 139961|801-66448|CAPVEST LIMITED|CAPVEST LIMITED|4TH FLOOR, 100 PALL MALL||LONDON  SW14 5NQ|UNITED KINGDOM|||  ||TINA PAGE|44-207-389-7940|Other (specify)|Other|APPROVED|04/12/2006|0|0|0|0|0|0
Headquarters| 139968|801-66687|COREVEST CAPITAL MANAGEMENT PTE. LTD.|COREVEST CAPITAL MANAGEMENT PTE. LTD.|50 RAFFLES PLACE #35-06|SINGAPORE LAND TOWER|SINGAPORE  048623|SINGAPORE|||  ||RACHEL KIM|822-784-4910|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/05/2006|0|0|0|0|0|0
Headquarters| 140023|801-66637|BLUMONT CAPITAL CORPORTION|BLUMONT CAPITAL CORPORTION|220 BAY STREET|SUITE 1500|TORONTO, ONTARIO  M5J 2W4|CANADA|||  ||DONNA BEASANT|416-360-1220|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/12/2006|0|2|0|0|0|0
Headquarters| 140053|801-66456|ROSEBRIDGE HOLDINGS INC|ROSEBRIDGE HOLDINGS INC|33 PRINCE ARTHUR AVENUE||TORONTO, ONTARIO  M5R1B2|CANADA|||  ||KENNETH HOLZ|201-802-9496|Corporation|Other|APPROVED|04/14/2006|0|0|0|0|0|0
Headquarters| 140074|801-66760|PICTET ASSET MANANGEMENT SA.|PICTET ASSET MANANGEMENT SA.|60 ROUTE DES ACACIAS||GENEVA  1211 - 73|SWITZERLAND|||  ||MARC TONNERRE|0041 22 58 323 20 53|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/13/2006|0|3|0|0|0|0
Headquarters| 140086|801-66599|PRESIMA INC.|PRESIMA INC.|1000, PLACE JEAN-PAUL-RIOPELLE|MONTREAL HERALD BUILDING, SUITE 400|MONTREAL, QUEBEC  H2Z 2B6|CANADA|||  ||LIWA BELKEZIZ|514-673-1455|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/03/2006|0|0|0|0|0|0
Headquarters| 140137|801-66688|KEMPEN CAPITAL MANAGEMENT N.V.|KEMPEN CAPITAL MANAGEMENT N.V.|BEETHOVENSTRAAT 300||AMSTERDAM  1077 WZ|THE NETHERLANDS|||  ||PAUL VERMEIJ|01131203488919|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/17/2006|0|0|1|0|0|0
Headquarters| 140138|801-66677|TDAM (CYPRUS) LIMITED|TDAM (CYPRUS) LIMITED|2-4 ARCH. MAKARIOU III AVENUE|CAPITAL CENTER, 9TH FLOOR|NICOSIA  P.C. 1505|CYPRUS|||  ||MARIA VIKTOROVNA ZAOSTROVTSEVA|+7495 2580534|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/02/2006|0|0|0|0|0|0
Headquarters| 140183|801-66911|VICTORIA CAPITAL (UK) LTD|VICTORIA CAPITAL (UK) LTD|SUITE 401|107 FLEET STREET|LONDON  EC4A 2AB|UNITED KINGDOM|||  ||PHILLIP RUSSELL|+44 20 7936 9440|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/26/2006|0|0|0|0|0|0
Headquarters| 140261|801-66796|GAVIN MANAGEMENT GROUP, INC.|GAVIN MANAGEMENT GROUP, INC.|50 BAY STREET|SUITE 1444|TORONTO, ONTARIO  M5J 2X3|CANADA|||  ||MATTHEW T. BACCHIOCHI|416-861-1998|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|06/28/2006|0|0|0|0|0|0
Headquarters| 140268|801-66646|BRIDGE CAPITAL INVESTMENTS PTE LTD.|BRIDGE CAPITAL INVESTMENTS PTE LTD.|10 HOE CHIANG ROAD|15-07 KEPPEL TOWERS|SINGAPORE  089315|SINGAPORE|||  ||GLENDON GOLAMCO|65 6220 7594|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/09/2006|0|0|0|0|0|0
Headquarters| 140324|801-66822|PICUS CAPITAL MANAGEMENT LLP|PICUS CAPITAL MANAGEMENT LLP|18B CHARLES STREET||LONDON  W1J 5DU|UK|||  ||WILLIAM T. HEALEY|+44 20 7667 6595|Limited Liability Partnership|Other|APPROVED|06/09/2006|0|0|0|0|0|0
Headquarters| 140354|801-67041|BEDLAM ASSET MANAGEMENT PLC|BEDLAM ASSET MANAGEMENT PLC|20 ABCHURCH LANE||LONDON  EC4N 7BB|UK|||  ||MICHAEL COMRAS|011442076484300|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/04/2006|0|0|0|0|0|0
Headquarters| 140362|801-66627|LYFORD GROUP ASSET MANAGEMENT LTD.|LYFORD GROUP ASSET MANAGEMENT LTD.|LYFORD MANOR, WEST BAY STREET|P.O. BOX N-7776 (SLOT 193)|NASSAU  |BAHAMAS|P.O. BOX N-7776 (SLOT 193)||NASSAU  |BAHAMAS|GREG DJEREJIAN|212 500-1600|Corporation|Other|APPROVED|04/20/2006|0|0|0|0|0|0
Headquarters| 140373|801-66802|CREVELING & CREVELING FINANCIAL PLANNING LIMITED|CREVELING & CREVELING FINANCIAL PLANNING LIMITED|TBI TOWER #7A|3 SUKHUMVIT SOI 30|KHLONG TOEY, WATTANA, BANGKOK  10110|THAILAND|||  ||PEGGY CREVELING|+66 2 661-2716|Other (specify)|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/05/2006|0|0|0|0|0|0
Headquarters| 140380|801-66718|HIGHCLERE INTERNATIONAL INVESTORS|HIGHCLERE INTERNATIONAL INVESTORS LIMITED|2 MANCHESTER SQUARE||LONDON  W1U 3PA|UNITED KINGDOM|||  ||FERGUS GILMOUR|+44 207-258-9830|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|06/06/2006|0|0|0|0|0|0
Headquarters| 140415|801-66722|CSO PARTNERS LIMITED|CSO PARTNERS LIMITED|41 BERKELEY SQUARE|3RD FLOOR|LONDON  W1J 5AN|UNITED KINGDOM|||  ||DANIEL JOHNSON|44 20 7500 0430|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/18/2006|0|1|0|0|0|0
Headquarters| 140462|801-66884|K.K. JERMYN CAPITAL|K.K. JERMYN CAPITAL|1-4-2 KASUMIGASEKI|CHIYODA-KU|TOKYO  100-0013|JAPAN|||  ||MAKOTO TANAKA|+81-3-5511-2702|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/13/2006|0|0|0|0|0|0
Headquarters| 140500|801-66876|NIPPON VALUE INVESTORS|NIPPON VALUE INVESTORS KK|3RD FLOOR, OMORI-BULIDING|2-2-2 KANDA TSUKASAMACHI CHIYODA-KU|TOKYO  101-0048|JAPAN|||  ||TAKASHI NAGAURA|011-813-5289-0993|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|06/22/2006|0|0|0|0|0|0
Headquarters| 140538|801-66895|JERMYN CAPITAL (SINGAPORE) PTE. LTD.|JERMYN CAPITAL (SINGAPORE) PTE. LTD.|#28-00|ONE MARINA BOULEVARD|SINGAPORE  018989|SINGAPORE|#23-04 SINGAPORE LAND TOWER|50 RAFFLES PLACE|SINGAPORE  048623|SINGAPORE|JUNSUKE HONDA|+65-6535-1312|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|06/13/2006|0|0|0|0|0|0
Headquarters| 140584|801-66695|COASTAL PARTNERS LTD.|COASTAL PARTNERS LTD.|ANSBACHER HOUSE, 2ND FLOOR|SHIRLEY EAST ST. NORTH|NASSAU  N-4244|BAHAMAS|2003 PICCARD DRIVE||ROCKVILLE MD 20850|USA|ROBERT J. HENRICH|301-926-7457|Corporation|Selection of other advisers|APPROVED|05/03/2006|0|0|0|0|0|0
Headquarters| 140619|801-66719|SEABANK CAPITAL MANAGEMENT, INC.|SEABANK CAPITAL MANAGEMENT, INC.|301-1959-152ND STREET||WHITE ROCK  V4A9E3|CANADA|||  ||DANIEL G. WALKOW|604-541-9952|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/23/2006|0|0|0|0|0|0
Headquarters| 140642|801-66742|DUET ASSET MANAGEMENT LTD.|DUET ASSET MANAGEMENT LTD.|27 HILL STREET||LONDON  W1J 5LP|UNITED KINGDOM|||  ||HENRY GABAY|44-20-7290-9801|Other (specify)|Other|APPROVED|05/15/2006|0|0|0|0|0|0
Headquarters| 140645|801-66875|OCEAN ASSET MANAGEMENT CO., LTD.|OCEAN ASSET MANAGEMENT CO.,LTD.|8F PACIFIC CITY SHIBA|2-29-10 SHIBA, MINATO-KU|TOKYO  105-0014|JAPAN|||  ||TETSUYA HISATOMI|81-3-5439-5280|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/22/2006|0|0|0|0|0|0
Headquarters| 140648|801-66781|TREE LINE MANAGEMENT|TREE LINE ADVISORS (HONG KONG) LTD|SUITE 1707, TWO EXCHANGE SQUARE, CENTRAL||HONG KONG  |HONG KONG SAR|||  ||ROBERT YOUNG HERRIES|852-9094-9778|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/01/2006|0|0|0|0|0|0
Headquarters| 140659|801-66793|CEVIAN CAPITAL II GP LIMITED|CEVIAN CAPITAL II GP LIMITED|LA MOTTE CHAMBERS||ST. HELIER  JE1 1BJ|JERSEY CHANNEL ISLANDS|||  ||DENZIL BOSCHAT|+44 1534 602 509|Other (specify)|Other|APPROVED|05/24/2006|0|0|0|0|0|0
Headquarters| 140839|801-66835|HAWKESBURY CAPITAL MANAGEMENT PTE LTD|HAWKESBURY CAPITAL MANAGEMENT PTE LTD|6 BATTERY ROAD #29-04||SINGAPORE  049909|SINGAPORE|||  ||MARK HODGKIN|+442074912515|Corporation|Other|APPROVED|07/08/2006|0|0|0|0|0|0
Headquarters| 140844|801-67148|TITANIUM CAPITAL|TITANIUM CAPITAL PARTNERS LLP|38 BERKELEY SQUARE||LONDON  W1J 5AE|UNITED KINGDOM|||  ||JOHN DONACHIE|+44207 808 3900|Limited Liability Partnership|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/13/2006|0|0|0|0|0|0
Headquarters| 140849|801-67263|JUTLAND CAPITAL MANAGEMENT LTD|JUTLAND CAPITAL MANAGEMENT LIMITED|236-470 GRANVILLE ST||VANCOUVER  V6C 1V5|CANADA|||  ||FRED JONES|+1 604 727 5677|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/20/2006|0|0|0|0|0|0
Headquarters| 140986|801-66925|NPJ ASSET MANAGEMENT LLP|NPJ ASSET MANAGEMENT LLP|11-12 TOKENHOUSE YARD||LONDON  EC2R 7AS|UNITED KINGDOM|||  ||PETER JOHNSON|44 2070732821|Limited Liability Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/30/2006|0|0|0|0|0|0
Headquarters| 140987|801-67110|HALBIS CAPITAL MANAGEMENT (HONG KONG) LIMITED|HALBIS CAPITAL MANAGEMENT (HONG KONG) LIMITED|LEVEL 22, HSBC MAIN BUILDING|1 QUEEN'S ROAD CENTRAL|HONG KONG  |HONG KONG SAR|||  ||FUNG WAI TAT DEREK|852-2284-1279|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/23/2006|0|0|0|0|0|0
Headquarters| 141020|801-66956|AMOEBA CAPITAL PARTNERS PTE. LTD.|AMOEBA CAPITAL PARTNERS PTE. LTD.|20 RAFFLES PLACE|#13-08 OCEAN TOWERS|SINGAPORE  048620|SINGAPORE|||  ||ASHUTOSH SINHA|(65) 68776901|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/27/2006|0|0|0|0|0|0
Headquarters| 141063|801-66942|CREDIT SUISSE INTERNATIONAL INVESTMENT ADVISORS|CREDIT SUISSE INTERNATIONAL INVESTMENT ADVISORS|KALANDERGASSE 4||ZURICH  8070|SWITZERLAND|||  ||MARKUS R. MUELLER|+41 44 334 48 53|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|07/05/2006|0|10|1|0|0|0
Headquarters| 141114|801-66986|RUBICON ASSET MANAGEMENT(SINGAPORE) PTE. LTD.|RUBICON ASSET MANAGEMENT(SINGAPORE) PTE. LTD.|LEVEL 25, NORTH TOWER|ONE RAFFLES QUAY|SINGAPORE  048583|SINGAPORE|||  ||MIRANDA WONG|+61 2 9302 2100|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|07/14/2006|0|0|0|0|0|0
Headquarters| 141259|801-67073|LONDINIUM ASSET MANAGEMENT LTD.|LONDINIUM ASSET MANAGEMENT LTD.|COLUMBIA PALACE|11 AVENUE PRINCESSE GRACE|98000 PRINCIPALITY OF MONACO  |MONACO|||  ||PRAVIN KHATAU|377-9770-3581|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|08/23/2006|0|0|0|0|0|0
Headquarters| 141308|801-67137|CYCLES RESEARCH INVESTMENTS LLC|CYCLES RESEARCH INVESTMENTS LLC|HUTTENGASSE 11/RH1||VIENNA 1140  |AUSTRIA|||  ||WILLIAM P. SARUBBI|431-892-2830|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Market timing services|APPROVED|09/13/2006|0|0|0|0|0|0
Headquarters| 141349|801-67206|ALLIANZ GLOBAL INVESTORS ADVISORY GMBH|ALLIANZ GLOBAL INVESTORS ADVISORY GMBH|MAINZER LANDSTRASSE 11-13||FRANKFURT AM MAIN  60329|GERMANY|||  ||GERD DAUFENBACH|+496926315363|Other (specify)|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/12/2006|0|0|0|0|0|0
Headquarters| 141408|801-67383|SIEBELS ASSET MANAGEMENT, LTD|SIEBELS ASSET MANAGEMENT, LTD|LYFORD CAY CENTRE, LYFORD CAY||NASSAU  N-7776|BAHAMAS|||  ||JOE BYRNE|242-362-6400 EXT: 25|Corporation|Other|APPROVED|02/27/2007|0|0|0|0|0|0
Headquarters| 141608|801-67304|CHALLENGER MANAGED INVESTMENTS (INTERNATIONAL) PTY LIMITED|CHALLENGER MANAGED INVESTMENTS (INTERNATIONAL) PTY LIMITED|LEVEL 15|255 PITT STREET|SYDNEY  2000|AUSTRALIA|||  ||ANDREW BROWN|011 61 2 9994 7268|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/08/2006|0|0|0|0|0|0
Headquarters| 141765|801-67478|MONTPELIER CAPITAL ADVISORS LTD.|MONTPELIER CAPITAL ADVISORS LTD.|94 PITTS BAY ROAD||PEMBROKE  HM08|BERMUDA|P.O. BOX HM 2079||HAMILTON  HMHX|BERMUDA|JONATHAN B. KIM|441-297-9595|Corporation|Portfolio management for investment companies|APPROVED|02/07/2007|0|0|0|0|0|0
Headquarters| 141855|801-67210|TRADING CENTRAL|TRADING CENTRAL AMERICAS, INC|11 BIS RUE SCRIBE||PARIS  75009|FRANCE|||  ||ALAIN JC PELLIER|+331 5528 8040|Corporation|Publication of periodicals or newsletters, Market timing services|APPROVED|11/01/2006|0|0|0|0|0|0
Headquarters| 142150|801-67297|COHEN & STEERS UK LIMITED|COHEN & STEERS UK LIMITED|21 SACKVILLE STREET|FOURTH FLOOR|LONDON  W1|UNITED KINGDOM|||  ||BENEDICTE PASSAGEZ|(32) 2 679 0660|Other (specify)|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|11/27/2006|0|1|0|0|0|0
Headquarters| 142188|801-67298|WESTERN ASSET MANAGEMENT COMPNAY PTE LTD|WESTERN ASSET MANAGEMENT COMPANY PTE LTD|1 GEORGE STREET #23-01||SINGAPORE  049145|SINGAPORE|||  ||IAN TAN|65-64283854|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/17/2006|0|0|0|0|0|0
Headquarters| 142299|801-67358|ERAAM|EUROPANEL RESEARCH & ALTERNATIVE ASSET MANAGEMENT|49-51 AVENUE GEORGE V||PARIS  75008|FRANCE|||  ||OLIVIER KINTGEN|33 1 53432088|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/18/2007|0|0|0|0|0|0
Headquarters| 142389|801-67367|LAJU|LAJU (CAYMAN) LIMITED|STOCKERSTRASSE 23||ZURICH  8002|SWITZERLAND|||  ||CSERTAN GABOR|+41 44 224 44 16|Limited Liability Company|Other|APPROVED|03/09/2007|0|0|0|0|0|0
Headquarters| 142409|801-67600|RESOLUTION CAPITAL LIMITED|RESOLUTION CAPITAL LIMITED|LEVEL 38, AUSTRALIA SQUARE|264 GEORGE STREET|SYDNEY, NSW  2000|AUSTRALIA|GPO BOX 553||SYDNEY, NSW  2001|AUSTRALIA|BRIDGET HILL|+61 2 8258 9119|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/07/2007|0|0|0|0|0|0
Headquarters| 142490|801-67355|HOLTER, WILLIAM LATIMER|HOLTER, WILLIAM LATIMER|700 OESTE LAS CARRERAS STREET||CIUDAD COLON  6100|COSTA RICA|SJ08886 P.O. BOX 025331||MIAMI FL 33102-5331|USA|WILLIAM HOLTER|361-571-1914|Sole Proprietorship|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/04/2006|0|0|0|0|0|0
Headquarters| 142512|801-67491|PICTET NORTH AMERICA ADVISORS SA|PICTET NORTH AMERICA ADVISORS SA|60, RTE DES ACACIAS||GENEVA  1211GENEVA|SWITZERLAND|||  ||ERIKA BEAUMIER|0041.58.323.1580|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|02/13/2007|0|2|0|0|0|0
Headquarters| 142567|801-67446|RCM ASIA PACIFIC LIMITED|RCM ASIA PACIFIC LIMITED|21ST FLR., CHEUNG KONG CTR, 2 QUEEN'S ROAD CENTRAL||HONG KONG  0000|CHINA|||  ||MONICA POON|852 2238 8901|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/16/2007|0|0|0|0|0|0
Headquarters| 142604|801-67444|CAMLIN ASSET MANAGEMENT, INC|CAMLIN ASSET MANAGEMENT, INC|700 WEST GEORGIA STREET|SUITE 1770, PO BOX 10077|VANCOUVER  V7Y 1B6|CANADA|||  ||JOHN CAMPBELL|604.646.8281|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/11/2007|0|0|0|0|0|0
Headquarters| 142872|801-67694|TUBE ASSET MANAGEMENT CO., LTD.|TUBE ASSET MANAGEMENT CO., LTD.|28-1 YEOUIDO-DONG, YEONGDEUNGPO-GU|5TH FLOOR, FKI BUILBING|SEOUL  150-756|KOREA|||  ||KIM    HAE YOUNG|82-2-785-9084|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/09/2007|0|0|0|0|0|0
Headquarters| 142923|801-67574|INTERNATIONAL STOCK REPORT LTD.|INTERNATIONAL STOCK REPORT LTD.|3705 BANK OF AMERICA TOWER, 12 HARCOURT RD CENTRAL|SUITE 725|HONG KONG  |HONG KONG|||  ||DANIEL LEESONG|852-8198-0062|Other (specify)|Publication of periodicals or newsletters|APPROVED|02/16/2007|0|0|0|0|0|0
Headquarters| 142968|801-67514|SBI FUNDS MANAGEMENT PRIVATE LIMITED|SBI FUNDS MANAGEMENT PRIVATE LIMITED|SBIMF INVESTORS SERVICE CENTRE, IIACO|2ND FLOOR, P M ROAD FORT|MUMBAI  400 023|INDIA|C/O THOMPSON HINE LLP|335 MADISON AVENUE, 12TH FLOOR|NEW YORK NY 10022|USA|R.S. SRINIVAS JAIN|9122-2218-0221|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/09/2007|0|1|0|0|0|0
Headquarters| 143017|801-67684|NEPTUNE INVESTMENT MANAGEMENT LIMITED|NEPTUNE INVESTMENT MANAGEMENT LIMITED|1 HAMMERSMITH GROVE||LONDON  W6 ONB|UK|||  ||IAIN JEE|02030088028|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/23/2007|0|0|0|0|0|0
Headquarters| 143117|801-67901|SOURCECAP INTL LLP|SOURCECAP INTERNATIONAL LLP|EXECUTION BUILDING, THE OLD T RUMAN BREWERY|91 BRICK LANE|LONDON  E1 6QL|UNITED KINGDOM|||  ||ANDREW PARRY|+44 207-426-4229|Limited Liability Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/15/2007|0|0|0|0|0|0
Headquarters| 143156|801-67576|FOREIGN TRADE BANK SECURITIES, INC.|FOREIGN TRADE BANK SECURITIES, INC.|18 BARNETT STREET||MONTEGO BAY  |JAMAICA|110 PINE AVENUE|SUITE 1070|LONG BEACH CA 90802|U.S.A.|WILLIAM B. WASSINK|(562) 435-0131|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/22/2007|0|0|0|0|0|0
Headquarters| 143177|801-67557|VALUE PARTNERS LIMITED|VALUE PARTNERS LIMITED|LEVEL 14, THREE PACIFIC PLACE|1 QUEEN'S ROAD EAST|HONG KONG  |HONG KONG|||  ||MS. REBECCA WOO|852-2143-0358|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/09/2007|1|1|0|0|0|0
Headquarters| 143231|801-67562|METACORTEX SERVICES CORPORATION|METACORTEX SERVICES CORPORATION|4E LEASIDE PARK DRIVE||TORONTO, ONTARIO  M4H 1R3|CANADA|||  ||JIMMY TALBOT|416-565-3377|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|03/05/2007|0|0|0|0|0|0
Headquarters| 143238|801-67712|INVESCO ASSET MANAGEMENT DEUTSCHLAND GMBH|INVESCO ASSET MANAGEMENT DEUTSCHLAND GMBH|BLEICHSTRASSE 60-62||FRANKFURT  60313|GERMANY|||  ||PAUL DUMITRESCU|49 69 29807 224|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/23/2007|0|0|0|0|0|0
Headquarters| 143244|801-67871|ABSOLUTE ASIA ASSET MANAGEMENT LIMITED (F/K/A IXIS AM ASIA LTD)|ABSOLUTE ASIA ASSET MANAGEMENT LIMITED (F/K/A IXIS AM ASIA LTD)|NO. 1 GRANGE ROAD|#06-05 ORCHARD BUILDING|SINGAPORE  239693|SINGAPORE|||  ||YEONG FAI KEOW|011-65-65000753|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/31/2007|0|6|0|0|0|0
Headquarters| 143247|801-67631|IMPAX ASSET MANAGEMENT, LTD.|IMPAX ASSET MANAGEMENT, LTD.|BROUGHTON HOUSE, 6-8 SACKVILLE STREET||LONDON  WIS 3DG|UK|||  ||JACQUELINE BROWN|020 7434 1122|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/07/2008|0|0|0|0|0|0
Headquarters| 143388|801-68224|WESTERN ASSET MANAGEMENT COMPANY LTD.|WESTERN ASSET MANAGEMENT COMPANY LTD|5-1 MARUNOUCHI 1-CHOME||CHIYODA-KU, TOKYO  100-6536|JAPAN|||  ||TAKASHI KOMATSU|011-81-3-4520-4370|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/16/2007|0|1|0|0|0|0
Headquarters| 143464|801-67697|47 DEGREES NORTH CAPITAL MANAGEMENT LTD|47 DEGREES NORTH CAPITAL MANAGEMENT LTD|CHURERSTRASSE 77||PFAEFFIKON  8808|SWITZERLAND|||  ||DENISE DOBLER|41 55 645 0000|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/16/2007|0|0|0|0|0|0
Headquarters| 143681|801-67904|HEITMAN INTERNATIONAL REAL ESTATE SECURITIES GMBH|HEITMAN INTERNATIONAL REAL ESTATE SECURITIES GMBH|ROSSMARKT 14D - 60311||FRANKFURT AM MAIN  |GERMANY|||  ||LYNN, NANCY B|312-849-4153|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/30/2007|0|0|0|0|0|0
Headquarters| 143875|801-68536|LONGVIEW PARTNERS (GUERNSEY) LIMITED|LONGVIEW PARTNERS (GUERNSEY) LIMITED|SARNIA HOUSE|LE TRUCHOT|ST. PETER PORT  GY1 6JG|GUERNSEY, CHANNEL ISLANDS|||  ||PHIL CORBET|+ 44 1481 712414|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|12/13/2007|0|0|0|0|0|0
Headquarters| 143883|801-68002|SANTANDER ASSET MANAGEMENT SA SGIIC|SANTANDER ASSET MANAGEMENT SA SGIIC|CGS. AVENIDA DE CANTABRIA S/N EDIFICIO PINAR||BOADILLA DEL MONTE, MADRID  28660|SPAIN|||  ||MARGARITA BUSTOS|34 91 289 06 38|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|07/05/2007|0|0|0|0|0|0
Headquarters| 143897|801-67925|WAKE ASSET MANAGEMENT S.A.|WAKE ASSET MANAGEMENT S.A.|RUE DU MONT-BLANC 3||GENEVA  1201|SWITZERLAND|||  ||DEREK WATSON|0041 22 317 7800|Limited Liability Company|Portfolio management for investment companies, Other|APPROVED|06/11/2007|0|0|0|0|0|0
Headquarters| 143999|801-67923|WMG ASIA LIMITED|WMG ASIA LIMITED|UNIT 2605, 26TH FLOOR|9 QUEEN'S ROAD CENTRAL|HONG KONG  |HONG KONG|||  ||WENDY LANGRIDGE|+44 20 7154 8312|Corporation|Other|APPROVED|05/25/2007|0|0|0|0|0|0
Headquarters| 144092|801-67981|MIDDLEFIELD FINANCIAL SERVICES, INC.|MIDDLEFIELD FINANCIAL SERVICES, INC.|#5855, 1 FIRST CANADIAN PLACE||TORONTO, ONTARIO  M5X 1A6|CANADA|||  ||RICHARD L. FAIELLA|(416)847-5348|Corporation|Portfolio management for investment companies|APPROVED|06/12/2007|0|0|0|0|0|0
Headquarters| 144093|801-68014|NETDAYTRADE KFT.|NETDAYTRADE INVESTMENT ADVISORS KFT.|19 MOLNAR UTCA SUITE 204||BUDAPEST  1056|HUNGARY|||  ||PETER SZOLDAN|1-646-290-8166|Limited Liability Company|Publication of periodicals or newsletters, Security ratings or pricing services|APPROVED|07/05/2007|0|0|0|0|0|0
Headquarters| 144324|801-68275|HSBC GLOBAL ASSET MANAGEMENT (SINGAPORE) LIMITED|HSBC GLOBAL ASSET MANAGEMENT (SINGAPORE) LIMITED|21 COLLYER QUAY|#15-02 HSBC BUILDING|SINGAPORE  049320|SINGAPORE|||  ||DANIEL CHIA|65 65302831|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/18/2007|0|0|0|0|0|0
Headquarters| 144376|801-68209|MCI SERVICES LIMITED|MCI SERVICES LIMITED|ABERCORN HOUSE, SHARDELOW AVENUE, CAVENDISH PLACE||CHELMSFORD  CM1 6BG|UNITED KINGDOM|||  ||GARY N. WAYNE|11-44-207-655-4872|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/14/2007|0|0|0|0|0|0
Headquarters| 144463|801-68305|LEGG MASON INTERNATIONAL EQUITIES (SINGAPORE) PTE. LIMITED|LEGG MASON INTERNATIONAL EQUITIES (SINGAPORE) PTE. LIMITED|1 GEORGE STREET||#23-02  049145|SINGAPORE|||  ||VALERIE FOO|6563178939|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/19/2007|0|0|0|0|0|0
Headquarters| 144548|801-68159|LUSIGHT RESEARCH|LUSIGHT LIMITED|175 BLOOR STREET E|SUITE 606|TORONTO  M5R1M7|CANADA|||  ||PAUL WARME|416 934-1436|Corporation|Other|APPROVED|07/16/2007|0|0|0|0|0|0
Headquarters| 144603|801-68252|PRUDENTIAL ASSET MANAGEMENT (SINGAPORE) LIMITED|PRUDENTIAL ASSET MANAGEMENT (SINGAPORE) LIMITED|30 CECIL STREET|#20-01 PRUDENTIAL TOWER|SINGAPORE  049712|SINGAPORE|||  ||TIONG BENG YEO|65 63179707|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters, Other|APPROVED|08/17/2007|0|0|0|0|0|0
Headquarters| 144635|801-68308|SSP SERVICES LTD.|SSP SERVICES LTD.|UGLAND HOUSE|SOUTH CHURCH STREET|GEORGE TOWN  KY1-1104|GRAND CAYMAN|KV SERVICES (USA), INC.|489 FIFTH AVENUE|NEW YORK NY 10017|USA|PATRICIA BURGESS|916-934-0417 EXT 102|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/06/2007|0|0|0|0|0|0
Headquarters| 144651|801-68436|SL CAPITAL PARTNERS LLP|SL CAPITAL PARTNERS LLP|1 GEORGE STREET||EDINBURGH  EH2 2LL|SCOTLAND|||  ||MIKE EVERETT|011 44 131 245 7956|Limited Liability Partnership|Other|APPROVED|10/19/2007|0|0|0|0|0|0
Headquarters| 144928|801-68290|GLUSKIN SHEFF + ASSOCIATES INC|GLUSKIN SHEFF + ASSOCIATES INC|181 BAY STREET|SUITE 4600, BROOKFIELD PLACE|TORONTO  M5J2T3|CANADA|||  ||JAMES SIMMONDS|416-681-6077|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/15/2007|0|0|0|0|0|0
Headquarters| 145014|801-68391|TD CAPITAL PRIVATE EQUITY ADVISORS LTD.|TD CAPITAL PRIVATE EQUITY ADVISORS LTD.|79 WELLINGTON STREET W|6TH FLOOR|TORONTO, ONTARIO  M5K 1A2|CANADA|||  ||RICHARD H. GREENE|(416) 982-6639|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/05/2007|0|0|0|0|0|0
Headquarters| 145060|801-68378|NEW FRONTIERS WEALTH MANAGEMENT|NEW FRONTIERS WEALTH MANAGEMENT|89 DURBAN ROAD||CAPE TOWN  7800|SOUTH AFRICA|54 RUE LIOTARD||GENEVA  1202|SWITZERLAND|JAMES MORRIST|+41 (0) 22 735 01 03|Other (specify)|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|09/26/2007|0|0|0|0|0|0
Headquarters| 145194|801-69112|ADVEQ MANAGEMENT AG|ADVEQ MANAGEMENT AG|56 AFFOLTERNSTRASSE||ZURICH  CH-8050|SWITZERLAND|||  ||PHILIPPE BUCHER|+41 43 288 32 00|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|05/15/2008|0|0|0|0|0|0
Headquarters| 145207|801-68394|SOUTHEASTERN ASSET MANAGEMENT INTERNATIONAL (UK) LTD.|SOUTHEASTERN ASSET MANAGEMENT INTERNATIONAL (UK) LTD.|37 UPPER BROOK STREET||LONDON  W1K7QL|UNITED KINGDOM|C/O SOUTHEASTERN ASSET MANAGEMENT, INC.|6410 POPLAR AVENUE, SUITE 900|MEMPHIS TN 38119-4843|USA|ANDREW R. MCCARROLL|901-818-5185|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|09/27/2007|0|0|1|0|0|0
Headquarters| 145316|801-68472|STONEWORKS ASSET MANAGEMENT LLP|STONEWORKS ASSET MANAGEMENT LLP|25 SOUTHAMPTON BUILDINGS||LONDON  WC2A 1AL|UNITED KINGDOM|||  ||GARY LINK|+44 203 043 8887|Limited Liability Partnership|Other|APPROVED|11/16/2007|0|0|0|0|0|0
Headquarters| 145421|801-68606|FRANKLIN TEMPLETON ASSET MANAGEMENT (INDIA) PRIVATE LIMITED|FRANKLIN TEMPLETON ASSET MANAGEMENT (INDIA) PRIVATE LIMITED|WOCHARDT TOWER, LEVEL -4, BANDRA KURLA COMPLEX|BANDRA - EAST|MUMBAI  400051|INDIA|||  ||SHILPA P. SHETTY|(91-22) 67519100 X29179|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/03/2008|0|1|0|0|0|0
Headquarters| 145446|801-68541|DARIUS CAPITAL PARTNERS SAS|DARIUS CAPITAL PARTNERS SAS|24, AVENUE HOCHE||PARIS  75008|FRANCE|||  ||GARY WOLF|212 332 3443|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|11/13/2007|0|0|0|0|0|0
Headquarters| 145612|801-68627|ALLARIA LEDESMA & CIA|ALLARIA LEDESMA & CIA SOC. DE BOLSA SA|25 DE MAYO 359 PISO 12||BUENOS AIRES  1002|ARGENTINA|||  ||JOSE CRESPI|5411-4312-8801|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/02/2008|0|0|0|0|0|0
Headquarters| 145669|801-68681|AGF ASSET MANAGEMENT GROUP US LIMITED|AGF ASSET MANAGEMENT GROUP US LIMITED|66 WELLINGTON ST. W.|33RD FLOOR|TORONTO  M5K 1E9|CANADA|||  ||C-J CHANG|416-865-4307|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/02/2008|0|0|0|0|0|0
Headquarters| 145694|801-69224|COVESTOR LTD|COVESTOR LTD|1 HINDE STREET||LONDON  W1U 2AY|UNITED KINGDOM|||  ||RICHARD K. TAHTA|44 20 7486 4841|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|05/30/2008|0|0|0|0|0|0
Headquarters| 145813|801-68638|INVESCO AUSTRALIA LIMITED|INVESCO AUSTRALIA LIMITED|LEVEL 26, 333 COLLINS STREET||MELBOURNE  3000|(AUSTRALIA) MELBOURNE, VIC 3000|||  ||IAN COLTMAN|+61 3 9611 3428|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/10/2008|0|0|0|0|0|0
Headquarters| 146136|801-68761|GOVERNANCE FOR OWNERS LLP|GOVERNANCE FOR OWNERS LLP|26 THROGMORTON STREET||LONDON  EC2N 2AN|UNITED KINGDOM|||  ||MARTIN CONNELLY|+44(0)20 7614 4772|Limited Liability Partnership|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/30/2008|0|0|0|0|0|0
Headquarters| 146144|801-69384|KARARA CAPITAL LIMITED|KARARA CAPITAL LIMITED|LEVEL 20, 367 COLLINS STREET||MELBOURNE  3000|AUSTRALIA|||  ||LEE-ANNE CASHMAN|613 8612 7114|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/10/2008|0|0|0|0|0|0
Headquarters| 146326|801-69020|THADDEUS CAPITAL LIMITED|THADDEUS CAPITAL LIMITED|C/O THADDEUS CAPITAL MANAGEMENT (HK) LIMITED|1302 DINA HOUSE, 11 DUDDELL STREET, CENTRAL|HONG KONG  |HONG KONG SAR|||  ||PAUL SHEEHAN|+852 3716-5702|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/09/2008|0|0|0|0|0|0
Headquarters| 146411|801-68918|GML CAPITAL LLP|GML CAPITAL LLP|THE MET BUILDING|22 PERCY STREET|LONDON  W1T 2BU|UNITED KINGDOM|||  ||JOSEPH H. VITTORIA|+44 (20) 7580 8588|Limited Liability Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/20/2008|0|0|0|0|0|0
Headquarters| 146544|801-69002|KEYHAVEN CAPITAL PARTNERS LIMITED|KEYHAVEN CAPITAL PARTNERS LIMITED|1 RICHMOND MEWS||LONDON  W1D 3DA|UNITED KINGDOM|||  ||CLAUS STENBAEK|+44 20 7432 6200|Other (specify)|Other|APPROVED|04/15/2008|0|0|0|0|0|0
Headquarters| 146563|801-68969|PRINCIPLE CAPITAL GP LIMITED|PRINCIPLE CAPITAL GP LIMITED|14 QUAI DU GENERAL GUISAN||GENEVA  1204|SWITZERLAND|||  ||LEONARD JOSEPH O'BRIEN|4122 908 1190|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/26/2008|0|0|0|0|0|0
Headquarters| 146624|801-68908|JYSKE GLOBAL ASSET MANAGEMENT|JYSKE GLOBAL ASSET MANAGEMENT FONDSMAEGLERSELSKAB A/S|VESTERBROGADE 9||COPENHAGEN  DK-1780|DENMARK|||  ||LARS STOUGE|45 89 89 59 00|Limited Liability Company|Portfolio management for individuals and/or small businesses, Market timing services|APPROVED|03/24/2008|0|1|0|0|0|0
Headquarters| 146834|801-69117|SOMERSET CAPITAL MANAGEMENT LLP|SOMERSET CAPITAL MANAGEMENT LLP|33 DAVIES STREET||LONDON  W1K4LR|UNITED KINGDOM|||  ||ROBERT DIGGLE|4 207 499 1815|Limited Liability Partnership|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|06/05/2008|0|0|0|0|0|0
Headquarters| 146982|801-69192|GOODREID INVESTMENT COUNSEL CORP.|GOODREID INVESTMENT COUNSEL CORP.|47 COLBORNE STREET|SUITE 400|TORONTO  M5E 1P8|ONTARIO/CANADA|||  ||GORDON A. REID|(416) 364-0890|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/23/2008|0|0|0|0|0|0
Headquarters| 147161|801-69235|EVEREST ASSET MANAGEMENT|EVEREST ASSET MANAGEMENT AG|RAEMISTRASSE 8||ZURICH  CH-8024|SWITZERLAND|||  ||ANDREW COMSTOCK|913 499 6663|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/07/2008|0|0|0|0|0|0
Headquarters| 147220|801-69284|GLOBAL GURU CAPITAL LLC|GLOBAL GURU CAPITAL LLC|16 QUEENSGATE PLACE||LONDON  SW75NY|ENGLAND|||  ||NICHOLAS A. VARDY|+44(0)7780 677 360|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|06/18/2008|0|0|0|0|0|0
Headquarters| 147366|801-69228|THE CAMBRIDGE STRATEGY (ASSET MANAGEMENT) LIMITED|THE CAMBRIDGE STRATEGY (ASSET MANAGEMENT) LIMITED|1ST FLOOR 26 MOUNT ROW||LONDON  W1K 3SQ|UNITED KINGDOM|||  ||DAVID RUSSELL THOMPSON|44 207 290 3450|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/26/2008|0|0|0|0|0|0
Headquarters| 147513|801-69300|INTEREXXIM INC|INTEREXXIM INC|46 RUE DE LA MICHE||ST-JOACHIM-DE-MONTMORENCY  G0A-3X0|CANADA|||  ||RICHARD FISET|418-827-2241|Corporation|Portfolio management for individuals and/or small businesses, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|06/26/2008|0|0|0|0|0|0
Headquarters| 147535|801-69343|L&P FINANCIAL TRUSTEES LTD|L&P FINANCIAL TRUSTEES LTD|2/3 TERMINUS MILLS|CLONSKEAGH ROAD|DUBLIN 6  |IRELAND|||  ||MARTIN DUNNE|0035312838788|Limited Liability Company|Financial planning services, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/03/2008|0|0|0|0|0|0
Headquarters| 147830|801-69458|SWISS ASSET ADVISORS, A.G.|SWISS ASSET ADVISORS, A.G.|INDUSTRIESTRASSE 47||ZUG  6300|SWITZERLAND|||  ||DIMITRI PAPADOPOULOS|044 388 5555|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|07/31/2008|0|0|0|0|0|0
Headquarters| 147859|801-69416|CURRENCY INSIGHT LIMITED|CURRENCY INSIGHT LIMITED|16 CINNAMON ROW||LONDON  SW11 3TW|ENGLAND|||  ||JOHN DEAN|44 020 7223 1616|Other (specify)|Pension consulting services|APPROVED|07/14/2008|0|0|0|0|0|0
Los Angeles Regional Office|    193|801-67246|CROWELL, WEEDON & CO.|CROWELL, WEEDON & CO.|624 SO. GRAND AVE., SUITE 2510||LOS ANGELES CA 90017|USA|||  ||TONY KARANTONIS|(213) 620-1850|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|12/06/2006|0|17|0|0|0|0
Los Angeles Regional Office|    599|801-69259|WAMU INVESTMENTS, INC.|WAMU INVESTMENTS, INC.|17872 GILLETTE, 4TH FLOOR||IRVINE CA 92614|USA|||  ||DOUGLAS F. WILBURN|800-888-0055|Corporation|Other|APPROVED|06/26/2008|0|18|0|0|0|0
Los Angeles Regional Office|    877|801-6358|WEDBUSH MORGAN SECURITIES INC.|WEDBUSH MORGAN SECURITIES INC.|ATTN: BUSINESS CONDUCT|1000 WILSHIRE BLVD. SUITE 900|LOS ANGELES CA 90017|USA|P. O. BOX 30014||LOS ANGELES CA 90030-0014||VINCENT MOY|(213) 688-4528|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/27/1970|0|25|0|0|0|0
Los Angeles Regional Office|   2826|801-68720|EMPIRE SECURITIES CORPORATION|EMPIRE SECURITIES CORPORATION|10 UNIVERSAL CITY PLAZA,|20TH FLOOR|UNIVERSAL CITY CA 91608|USA|||  ||JAMIE BENNETT|818-753-2353|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|01/14/2008|0|0|0|0|0|0
Los Angeles Regional Office|   3600|801-56710|TRANSAMERICA FINANCIAL ADVISORS, INC.|TRANSAMERICA FINANCIAL ADVISORS, INC.|1150 S OLIVE ST|STE 25|LOS ANGELES CA 90015|USA|||  ||LISA GOK|213-741-7822|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/13/1999|1|22|0|0|0|0
Los Angeles Regional Office|   6210|801-36233|WILSHIRE ASSOCIATES INCORPORATED|WILSHIRE ASSOCIATES INCORPORATED|1299 OCEAN AVENUE SUITE 700||SANTA MONICA CA 90401-1085|USA|||  ||SAN SLAWSON|310-260-6629|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|03/16/1990|0|4|0|0|0|0
Los Angeles Regional Office|   6312|801-57663|CROWN CAPITAL SECURITIES, L.P.|CROWN CAPITAL SECURITIES, L.P.|725 TOWN & COUNTRY ROAD|SUITE 530|ORANGE CA 92868|USA|||  ||HENRIK SUNDSTEDT|714-547-9481|Partnership|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/05/2000|0|1|0|0|0|0
Los Angeles Regional Office|   6609|801-15260|FIRST WILSHIRE SECURITIES MANAGEMENT, INC.|FIRST WILSHIRE SECURITIES MANAGEMENT, INC.|1224 EAST GREEN STREET|SUITE 200|PASADENA CA 91106|USA|||  ||MITCHELL HOWARD|626 796-6622|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/27/1980|0|18|0|0|0|0
Los Angeles Regional Office|   6864|801-55780|CAMERON MURPHY & SPANGLER INC|CAMERON, MURPHY & SPANGLER, INC.|170 SOUTH OAKLAND AVENUE||PASADENA CA 91101|USA|||  ||FIONA CAMERON|626-449-1323|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|08/14/1998|0|4|0|0|0|0
Los Angeles Regional Office|   6911|801-11646|STOLPER & CO., INC.|STOLPER & CO., INC.|600 W. BROADWAY|SUITE 1225|SAN DIEGO CA 92101-3355|USA|||  ||CHRIS WONG|619-231-9102|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|05/27/1976|0|0|0|0|0|0
Los Angeles Regional Office|   6918|801-55544|MAXWELL NOLL INVESTMENT ADVISORS|MAXWELL NOLL INC|600 SOUTH LAKE AVENUE|SUITE 405|PASADENA CA 91106-3955|USA|||  ||PAUL ARTHUR|626-796-7133|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/29/1998|0|0|0|0|0|0
Los Angeles Regional Office|   7548|801-23506|SFE INVESTMENT COUNSEL|STERN FISHER EDWARDS INC|1000 WILSHIRE BLVD.|SUITE 1950|LOS ANGELES CA 90017|USA|||  ||JON MICHAEL KMETT|213-612-0220|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/15/1985|0|2|0|0|0|0
Los Angeles Regional Office|   7717|801-62667|INDEPENDENT FINANCIAL GROUP, LLC|INDEPENDENT FINANCIAL GROUP, LLC|12636 HIGH BLUFF DR #100||SAN DIEGO CA 92130|USA|||  ||MONA MYERS|858-436-3180|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|01/30/2004|0|3|0|0|0|0
Los Angeles Regional Office|   8327|801-61738|M. L. STERN & CO, LLC.|M.L. STERN & CO., LLC.|8350 WILSHIRE BLVD||BEVERLY HILLS CA 90211|USA|||  ||DAVID MAURER|323-658-4400|Limited Liability Company|Selection of other advisers, Other|APPROVED|02/05/2003|1|20|0|0|0|0
Los Angeles Regional Office|  10547|801-46287|PIM FINANCIAL SERVICES INC|PIM FINANCIAL SERVICES, INC.|365 S RANCHO SANTA FE RD #300||SAN MARCOS CA 92078|USA|||  ||MARY LIMOGES|760-471-8536|Corporation|Financial planning services|APPROVED|05/19/1994|0|2|1|0|0|0
Los Angeles Regional Office|  11869|801-39177|PLANMEMBER SECURITIES CORPORATION|PLANMEMBER SECURITIES CORPORATION|6187 CARPINTERIA AVENUE||CARPINTERIA CA 93013|USA|||  ||TRISH STONE-DAMEN|(805) 684-1199 EXT. 2540|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|06/27/1991|0|2|0|0|0|0
Los Angeles Regional Office|  12969|801-45849|ASSOCIATED SECURITIES CORP.|ASSOCIATED SECURITIES CORP.|PACIFIC CORPORATE TOWERS|222 N. SEPULVEDA BLVD. STE 1800|EL SEGUNDO CA 90245|USA|||  ||DENISE EVANS|(310) 670-0800|Corporation|Selection of other advisers|APPROVED|05/04/1994|1|3|0|0|0|0
Los Angeles Regional Office|  13024|801-68790|FIRST WALL STREET CORP.|FIRST WALL STREET CORP.|1200 PROSPECT|SUITE 350|LA JOLLA CA 92037|USA|||  ||CHARLES P. LAZZARO|858-454-3551|Corporation|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|02/08/2008|0|12|0|0|0|0
Los Angeles Regional Office|  13092|801-68443|MUTUAL SECURITIES, INC.|MUTUAL SECURITIES INC. OF CALIFORNIA|28632 ROADSIDE DRIVE|SUITE 200|AGOURA HILLS CA 91301|USA|P. O. BOX 2308||AGOURA HILLS, CA 91301|USA|MITCHELL CRAIG VOSS|818 706-8170|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|12/10/2007|0|1|0|0|0|0
Los Angeles Regional Office|  13101|801-55117|TRIEQUA CAPITAL CORP|TRIEQUA CAPITAL CORP|17501 E. 17TH STREET|SUITE 200|TUSTIN CA 92780|USA|||  ||JOANNE YOUNG|949-975-1990|Corporation|Portfolio management for individuals and/or small businesses, Other|APPROVED|12/09/1997|0|0|0|0|0|0
Los Angeles Regional Office|  13162|801-25803|DUNHAM AND ASSOCIATES INVESTMENT COUNSEL, INC.|DUNHAM AND ASSOCIATES INVESTMENT COUNSEL, INC.|10251 VISTA SORRENTO PKY|SUITE 200|SAN DIEGO CA 92121|USA|P.O. BOX 910309||SAN DIEGO CA 92191|USA|JEFFREY DUNHAM|858-964-0505|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|11/29/1985|0|3|0|0|0|0
Los Angeles Regional Office|  13572|801-47342|FINANCIAL NETWORK INVESTMENT CORPORATION|FINANCIAL NETWORK INVESTMENT CORPORATION|200 N. SEPULVEDA BLVD.|SUITE 1300|EL SEGUNDO CA 90245-5672|USA|||  ||JACK R. HANDY, JR.|310-326-3100|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Market timing services|APPROVED|08/29/1994|0|52|1|0|0|0
Los Angeles Regional Office|  13626|801-56474|AMERICAN GENERAL SECURITIES INCORPORATED|AMERICAN GENERAL SECURITIES INCORPORATED|2800 N. CENTRAL AVE|SUITE 2100|PHOENIX AZ 85004|USA|||  ||KAREN HUSTON|602-744-3217|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|04/26/1999|0|9|4|0|0|0
Los Angeles Regional Office|  14458|801-66105|INVESTMENT PLACEMENT GROUP|INVESTMENT PLACEMENT GROUP|350 10TH AVENUE|SUITE 1150|SAN DIEGO CA 92101|USA|350 10TH AVENUE|SUITE 1150|SAN DIEGO CA 92101|USA|MARIA LUISA BOYD|619-326-1249|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/01/2006|0|1|0|0|0|0
Los Angeles Regional Office|  14829|801-49374|FINANCIAL DESIGNS CORPORATION|FINANCIAL DESIGNS CORPORATION|540 W. BASELINE RD|#10|CLAREMONT CA 91711-5805|USA|||  ||SEAN BILECKI|909-626-1642|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Market timing services, Other|APPROVED|05/24/1995|0|0|0|0|0|0
Los Angeles Regional Office|  16507|801-63970|FIRST FINANCIAL EQUITY CORPORATION|FIRST FINANCIAL EQUITY CORPORATION|7373 N. SCOTTSDALE ROAD|D120|SCOTTSDALE AZ 85253|USA|||  ||MELISSA STROUSE|480-951-0079|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|02/18/2005|0|3|0|0|0|0
Los Angeles Regional Office|  16668|801-57393|FINANCIAL WEST GROUP|FINANCIAL WEST INVESTMENT GROUP, INC.|4510 E. THOUSAND OAKS BLVD.||WESTLAKE VILLAGE CA 91362|USA|P.O. BOX 5123||THOUSAND OAKS CA 91361|USA|JILL JAGLOWSKI|1-805-497-9222 X1117|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|03/16/2000|0|1|0|0|0|0
Los Angeles Regional Office|  16944|801-67802|GRANT BETTINGEN, INC.|GRANT BETTINGEN, INC.|4100 NEWPORT PLACE|SUITE 630|NEWPORT BEACH CA 92660|USA|||  ||RICH ENROTH|949-851-5830|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/04/2007|0|3|0|0|0|0
Los Angeles Regional Office|  18033|801-29011|ARMA FINANCIAL SERVICES, INC.|ARMA FINANCIAL SERVICES, INC.|8585 E. HARTFORD DRIVE|SUITE 118|SCOTTSDALE AZ 85255-5473|USA|||  ||MERRILL J. SAURIOL|480-505-4004|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/13/1987|0|0|0|0|0|0
Los Angeles Regional Office|  18464|801-68181|FORESTERS EQUITY SERVICES, INC.|FORESTERS EQUITY SERVICES, INC.|6640 LUSK BLVD.|#A202|SAN DIEGO CA 92121|USA|||  ||HEATHER RAY|858-550-4844|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|08/08/2007|0|0|0|0|0|0
Los Angeles Regional Office|  18697|801-61470|GIRARD SECURITIES, INC.|GIRARD SECURITIES, INC.|9560 WAPLES STREET|SUITE B|SAN DIEGO CA 92121|USA|9560 WAPLES STREET|SUITE B|SAN DIEGO CA 92121|USA|HOUSTON GODDARD|(858) 622-2140|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/27/2002|0|0|0|0|0|0
Los Angeles Regional Office|  18835|801-67105|ALLIANCE ADVISORY & SECURITIES, INC|ALLIANCE ADVISORY & SECURITIES, INC.|3390 AUTO MALL DRIVE||WESTLAKE VILLAGE CA 91362|USA|||  ||MICHAEL E. GARNER|805-371-8020|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|09/05/2006|0|1|1|0|0|0
Los Angeles Regional Office|  19608|801-32353|THE INVESTMENT COUNSEL COMPANY OF NEVADA|THE INVESTMENT COUNSEL COMPANY OF NEVADA|10000 W. CHARLESTON BOULEVARD|SUITE 280|LAS VEGAS NV 89135|USA|||  ||W. KATHLEEN PARKER|702-871-8510|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|08/05/1988|0|0|0|0|0|0
Los Angeles Regional Office|  20804|801-57198|UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER|UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER|7333 EAST DOUBLETREE RANCH RD, SUITE 120||SCOTTSDALE AZ 85258|USA|P.O. BOX 5750||SCOTTSDALE AZ 85261|USA|DOUG C. HALL|480-991-0225|Partnership|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|01/28/2000|0|5|0|0|0|0
Los Angeles Regional Office|  21033|801-66538|CUE FINANCIAL GROUP, INC.|CUE FINANCIAL GROUP, INC.|3200 N. CENTRAL AVENUE #200||PHOENIX AZ 85012|USA|||  ||VAUGHN S OLTHOUSE|602.252.0911|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|05/19/2006|2|3|0|0|0|0
Los Angeles Regional Office|  22090|801-42757|CHRISTOPHER WEIL & CO INC|THE WEIL COMPANY|12555 HIGH BLUFF DRIVE|SUITE 180|SAN DIEGO CA 92130|USA|||  ||JOHN V. WELLS|858-704-1444|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|11/25/1992|0|0|0|0|0|0
Los Angeles Regional Office|  22875|801-34756|CANTERBURY CONSULTING INCORPORATED|CANTERBURY CONSULTING INCORPORATED|660 NEWPORT CENTER DRIVE|SUITE 300|NEWPORT BEACH CA 92660-6404|USA|||  ||RICK BRUCE|949-718-2216|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|09/07/1989|0|0|1|0|0|0
Los Angeles Regional Office|  28937|801-67196|GREEN STREET ADVISORS, INC.|GREEN STREET ADVISORS, INC.|567 SAN NICOLAS DRIVE|SUITE 200|NEWPORT BEACH CA 92660|USA|||  ||S. WARNER GRISWOLD|(949) 640-8780|Corporation|Publication of periodicals or newsletters, Security ratings or pricing services|APPROVED|10/16/2006|0|1|1|0|0|0
Los Angeles Regional Office|  29604|801-41015|NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)|NATIONAL PLANNING CORPORATION|401 WILSHIRE BLVD STE 1100||SANTA MONICA CA 90401|USA|||  ||BRYAN JACOBSEN|310-899-7930|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters, Other|APPROVED|03/12/1992|5|26|0|0|0|0
Los Angeles Regional Office|  30172|801-41762|WACHOVIA GLOBAL SECURITIES LENDING|METROPOLITAN WEST SECURITIES, LLC|11440 SAN VICENTE BLVD, 3RD FLOOR||LOS ANGELES CA 90049|USA|||  ||DANIEL T. MURPHY|973.921-5000|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|07/09/1992|0|1|1|0|0|0
Los Angeles Regional Office|  30833|801-56882|CENTAURUS FINANCIAL, INC.|CENTAURUS FINANCIAL, INC.|333 CITY BLVD WEST|STE 2010|ORANGE CA 92868|USA|||  ||WESTLEY KING|714-456-1790|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Market timing services|APPROVED|10/08/1999|0|3|0|0|0|0
Los Angeles Regional Office|  32444|801-47805|FIRST ALLIED SECURITIES, INC.|FIRST ALLIED SECURITIES, INC.|655 W. BROADWAY|12TH FLOOR|SAN DIEGO CA 92101-8114|USA|P.O. BOX 85549||SAN DIEGO CA 92186-5549|USA|BOROWSKI, LUANNE|619-702-9600|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|12/01/1994|4|83|5|0|0|0
Los Angeles Regional Office|  35098|801-64673|WESTERN FINANCIAL ADVISORS|WFP SECURITIES CORPORATION|6020 CORNERSTONE COURT W|SUITE 240|SAN DIEGO CA 92121|USA|||  ||TOM HANSON|858-677-0377|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|08/26/2005|0|0|0|0|0|0
Los Angeles Regional Office|  36644|801-69346|PRIVATE PORTFOLIO OF SAN DIEGO, INC.|PRIVATE PORTFOLIO OF SAN DIEGO, INC.|7534 LA JOLLA BLVD||LA JOLLA CA 92037|USA|||  ||EDUARDO TOVAR|(858) 551-2071|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|07/02/2008|0|0|0|0|0|0
Los Angeles Regional Office|  38747|801-36988|GREENBERG FINANCIAL GROUP|GREENBERG FINANCIAL GROUP|4511 N CAMPBELL AVE #255||TUCSON AZ 85718|USA|||  ||GREENBERG, DEAN S|520-544-4909|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|08/27/1990|0|0|0|0|0|0
Los Angeles Regional Office|  39262|801-68953|WESTERN INTERNATIONAL SECURITIES|WESTERN INTERNATIONAL SECURITIES, INC.|70 S. LAKE AVE, SUITE 700||PASADENA CA 91101-9540|USA|||  ||ANDREW KUO|626 793-7717|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|03/31/2008|0|4|0|0|0|0
Los Angeles Regional Office|  42132|801-60300|CUSO FINANCIAL SERVICES, L.P.|CUSO FINANCIAL SERVICES, L.P.|10455 SORRENTO VALLEY ROAD|SUITE 210|SAN DIEGO CA 92121|USA|||  ||MARIA SEEDNER|858-530-4438|Partnership|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|05/31/2001|0|0|0|0|0|0
Los Angeles Regional Office|  42186|801-46883|SHERWOLD G W ASSOCIATES INC|SHERWOLD G W ASSOCIATES INC|22994 EL TORO RD||LAKE FOREST CA 92630|USA|||  ||GARY W. SHERWOLD|949 470-0700|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|06/30/1994|0|0|0|0|0|0
Los Angeles Regional Office|  43011|801-54589|MAIN STREET ADVISORS|MAIN STREET ADVISORS, INC.|3110 MAIN ST|STE 300|SANTA MONICA CA 90405|USA|||  ||CHRISTOPHER FILLO|310-392-7607|Corporation|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|07/08/1997|0|0|0|0|0|0
Los Angeles Regional Office|  46217|801-55904|HOLLENCREST SECURITIES, LLC|HOLLENCREST SECURITIES, LLC|100 BAYVIEW CIRCLE|SUITE 500|NEWPORT BEACH CA 92660-8903|USA|||  ||SUSAN MCGLYNN|(949) 823-7751|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|10/02/1998|0|1|0|0|0|0
Los Angeles Regional Office| 102420|801-60472|WESCORP INVESTMENT SERVICES, LLC|WESCORP INVESTMENT SERVICES, LLC|924 OVERLAND COURT||SAN DIMAS CA 91773-1750|USA|||  ||DIETMAR HUESCH|909-394-6578|Limited Liability Company|Portfolio management for investment companies|APPROVED|08/10/2001|0|1|0|0|0|0
Los Angeles Regional Office| 104536|801-46991|KAYNE ANDERSON CAPITAL ADVISORS LP|KAYNE ANDERSON CAPITAL ADVISORS LP|1800 AVENUE OF THE STARS|SECOND FLOOR|LOS ANGELES CA 90067|USA|||  ||JUDITH RIDDER|310-712-2909|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|08/15/1994|0|0|1|0|0|0
Los Angeles Regional Office| 104558|801-19737|SUMMIT GLOBAL MANAGEMENT INC.|SUMMIT GLOBAL MANAGEMENT INC.|9171 TOWNE CENTER DRIVE|SUITE 465|SAN DIEGO CA 92122|USA|||  ||JOHN I. DICKERSON|800-390-1424|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/06/1983|0|2|0|0|0|0
Los Angeles Regional Office| 104559|801-48187|PACIFIC INVESTMENT MANAGEMENT COMPANY LLC|PACIFIC INVESTMENT MANAGEMENT COMPANY LLC|840 NEWPORT CENTER DRIVE|SUITE 100|NEWPORT BEACH CA 92660|UNITED STATES|||  ||DAVID C. FLATTUM|(949) 720-6134|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|11/14/1994|0|1|2|0|0|0
Los Angeles Regional Office| 104569|801-35186|MERCER ADVISORS|OLD MGA INC.|7201 EAST PRINCESS BLVD.||SCOTTSDALE AZ 85255|USA|||  ||BARTON, DAVID|(480)588-9010|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Other|APPROVED|09/14/1989|2|0|0|0|0|0
Los Angeles Regional Office| 104571|801-53332|METROPOLITAN WEST ASSET MANAGEMENT LLC|METROPOLITAN WEST ASSET MANAGEMENT LLC|11766 WILSHIRE BLVD, SUITE 1580||LOS ANGELES CA 90025-6552|USA|||  ||DAVID LIPPMAN|310.966-8900|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|11/29/1996|0|0|0|0|0|0
Los Angeles Regional Office| 104580|801-55068|BEL AIR INVESTMENT ADVISORS LLC|BEL AIR  INVESTMENT ADVISORS LLC|1999 AVENUE OF THE STARS|SUITE 2800|LOS ANGELES CA 90067|USA|||  ||ANHUT, MATTHEW|310-229-1529|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|11/21/1997|0|1|0|0|0|0
Los Angeles Regional Office| 104583|801-56940|BERNZOTT  CAPITAL ADVISORS|BERNZOTT CAPITAL ADVISORS|888 W. VENTURA BLVD., SUITE B||CAMARILLO CA 93010-8383|USA|||  ||WALSH, HANS|805-389-9445|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/29/1999|0|0|0|0|0|0
Los Angeles Regional Office| 104599|801-24241|KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLC|KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLC|1800 AVENUE OF THE STARS|SECOND FLOOR|LOS ANGELES CA 90067|USA|||  ||RIDDER, JUDITH|310.712.2909|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/22/1985|0|0|2|0|0|0
Los Angeles Regional Office| 104606|801-21442|NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC|NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC|600 WEST BROADWAY|SUITE 2900|SAN DIEGO CA 92101|USA|||  ||CHARLES H. FIELD|(619)652-5422|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/31/1984|2|4|1|0|0|0
Los Angeles Regional Office| 104611|801-23421|OMICRON GROUP, LTD.|OMICRON GROUP LTD|1539 E BRIARWOOD TERRACE||PHOENIX AZ 85048-9412|USA|||  ||WILLIAMS, JEFF|480 460 1991|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|02/05/1985|0|0|0|0|0|0
Los Angeles Regional Office| 104617|801-22755|HOKANSON ASSOCIATES, INC.|HOKANSON ASSOCIATES, INC.|201 LOMAS SANTA FE DR, STE 360||SOLANA BEACH CA 92075|USA|||  ||DAVIS, HEATHER M|858-755-8899|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|11/30/1984|0|0|0|0|0|0
Los Angeles Regional Office| 104621|801-17500|JOHNSON FINANCIAL ADVISORS|PHILIP O. JOHNSON & COMPANY, LTD.|2001 W. CAMELBACK RD.|SUITE 420|PHOENIX AZ 85015-3484|USA|||  ||JOHNSON, PHILIP O.|602-242-4000|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|08/19/1982|0|0|0|0|0|0
Los Angeles Regional Office| 104630|801-30438|ROSENWALD CAPITAL MANAGEMENT INC|ROSENWALD CAPITAL MANAGEMENT INC|121 WEST TORRANCE BLVD|SUITE 100|REDONDO BEACH CA 90277|USA|||  ||ROSENWALD, JAMES B|310 318-9000|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/31/1987|0|1|0|0|0|0
Los Angeles Regional Office| 104665|801-36356|WESTMOUNT ASSET MANAGEMENT INC|WESTMOUNT ASSET MANAGEMENT INC|2049 CENTURY PARK EAST|SUITE 2280|LOS ANGELES CA 90067|USA|||  ||GREENSPAN, SUSAN D|310-556-2502|Corporation|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|04/13/1990|0|0|0|0|0|0
Los Angeles Regional Office| 104677|801-19093|WEST COAST FINANCIAL, LLC|WEST COAST FINANCIAL, LLC|1525 STATE ST., STE 104||SANTA BARBARA CA 93101|USA|||  ||YOSSEM, EUGENE DAVID|805.962.9131|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/17/1983|0|0|0|0|0|0
Los Angeles Regional Office| 104695|801-10139|ELIOT FINKEL INVESTMENT COUNSEL, LLC|FINKEL ELIOT MICHELOW|9100 WILSHIRE BOULEVARD|SUITE 503E|BEVERLY HILLS CA 90212|USA|||  ||FINKEL, ELIOT M|310-271-2521|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|08/28/1974|0|0|0|0|0|0
Los Angeles Regional Office| 104702|801-11916|WCM INVESTMENT MANAGEMENT|WCM INVESTMENT MANAGEMENT|281 BROOKS STREET||LAGUNA BEACH CA 92651-2974|USA|||  ||DAVID ANDREW BREWER|949-380-0200|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/12/1976|0|1|0|0|0|0
Los Angeles Regional Office| 104707|801-28023|PRIVATE MANAGEMENT GROUP INC|PRIVATE MANAGEMENT GROUP INC|20 CORPORATE PARK, SUITE 400||IRVINE CA 92606|USA|||  ||LUCIANO, JOHN MICHAEL|949-752-7500|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/26/1986|0|0|1|0|0|0
Los Angeles Regional Office| 104709|801-15184|BORRIS NII VALDEZ & CO INC|BORRIS HOWARD M & CO INC|8530 WILSHIRE BLVD STE 200||BEVERLY HILLS CA 90211-3113|USA|||  ||BORRIS, HOWARD MICHAEL|310-358-1800|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers, Other|APPROVED|05/08/1980|0|5|0|0|0|0
Los Angeles Regional Office| 104719|801-27828|PACIFIC INCOME ADVISERS INC|PACIFIC INCOME ADVISERS INC|1299 OCEAN AVE STE 210||SANTA MONICA CA 90401-1036|USA|||  ||THAD M. BROWN|(310) 393-1424|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/04/1986|0|1|0|0|0|0
Los Angeles Regional Office| 104759|801-32095|WESCAP MANAGEMENT GROUP INC|WESCAP MANAGEMENT GROUP INC|303 N. GLENOAKS BLVD STE 905||BURBANK CA 91502|USA|||  ||ERIC A. WEINLEIN|818-563-5170|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|05/20/1988|0|1|0|0|0|0
Los Angeles Regional Office| 104760|801-20139|TOP FUND MANAGEMENT INC|TOP FUND MANAGEMENT INC|1819 S DOBSON RD STE 207||MESA AZ 85202|USA|||  ||DAVID D. JONES|281-419-2140|Corporation|Portfolio management for investment companies|APPROVED|12/28/1983|0|0|0|0|0|0
Los Angeles Regional Office| 104777|801-22365|ALBITZ/MILOE AND ASSOCIATES, INC.|ALBITZ/MILOE AND ASSOCIATES, INC.|23133 HAWTHORNE BLVD., STE 305||TORRANCE CA 90505|USA|||  ||ALBITZ, PHILIP J|310-373-8861|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Market timing services|APPROVED|10/19/1984|0|0|0|0|0|0
Los Angeles Regional Office| 104779|801-11301|ZISKIN ASSET MANAGEMENT INC|ZISKIN ASSET MANAGEMENT INC|1819 S DOBSON RD STE 207||MESA AZ 85202|USA|||  ||DAVID D. JONES|281-419-2140|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/30/1976|0|0|0|0|0|0
Los Angeles Regional Office| 104781|801-33016|LEE FINANCIAL GROUP INC.|LEE FINANCIAL GROUP INC.|2756 WOODLAWN DRIVE|SUITE #6-201|HONOLULU HI 96822|USA|503 BLACKBIRD DRIVE||HOCKESSIN DE 19707|USA|SIMPSON NORA BRIDGET|(302) 897-6782|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/06/1988|1|0|0|0|0|0
Los Angeles Regional Office| 104790|801-23837|ASSOCIATED PLANNERS INVESTMENT ADVISORY INC|ASSOCIATED PLANNERS INVESTMENT ADVISORY INC|PACIFIC CORPORATE TOWERS|222 N. SEPULVEDA BLVD. STE 1800|EL SEGUNDO CA 90245|USA|||  ||DENISE EVANS|(310) 670-0800 X665|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/18/1985|1|3|0|0|0|0
Los Angeles Regional Office| 104795|801-35218|BLANKINSHIP & FOSTER, LLC|BLANKINSHIP & FOSTER, LLC|420 STEVENS AVENUE|SUITE 250|SOLANA BEACH CA 92075|USA|||  ||STEFAN PRVANOV|858.755.5166|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/01/1989|0|0|0|0|0|0
Los Angeles Regional Office| 104839|801-15482|CHARLESWORTH & RUGG INC|CHARLESWORTH & RUGG INC|20750 VENTURA BLVD STE 420||WOODLAND HILLS CA 91364|USA|||  ||RUGG, DONALD D|818-340-0157|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/31/1980|0|0|0|0|0|0
Los Angeles Regional Office| 104844|801-32958|BANKERS INVESTMENT COUNSELING CO INC|BANKERS INVESTMENT COUNSELING CO INC|134 DAVIS STREET||SANTA PAULA CA 93060|USA|P.O. BOX 151||SANTA PAULA CA 93060|USA|CARUSO, PHILLIP CHARLES|805-933-1620|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|10/27/1988|0|0|0|0|0|0
Los Angeles Regional Office| 104876|801-30807|CULLEN FORTIER ASSET MANAGEMENT|FORTIER PAUL ANTHONY|5655 LINDERO CANYON RD.|SUITE 521-11|WESTLAKE VILLAGE CA 91362|USA|||  ||FORTIER, PAUL ANTHONY|818 889-8319|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|11/05/1987|0|2|1|0|0|0
Los Angeles Regional Office| 104889|801-10544|SSI INVESTMENT MANAGEMENT, INC|SSI INVESTMENT MANAGEMENT INC.|9440 SANTA MONICA BLVD, 8TH FLOOR||BEVERLY HILLS CA 90210|USA|||  ||MEHDI, SYED FAZAL|310-595-2000|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/31/1975|0|0|0|0|0|0
Los Angeles Regional Office| 104915|801-30262|AARON FLECK & ASSOCIATES, LLC|AARON FLECK & ASSOCIATES LLC|3130 WISHIRE BLVD|SUITE 380|SANTA MONICA CA 91351|USA|1449 CRYSTAL LAKE ROAD||ASPEN CO 81611|USA|KURT BRENDLINGER|310-453-1111|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|09/11/1987|0|1|0|0|0|0
Los Angeles Regional Office| 104956|801-33631|BIDART & ROSS INC|BIDART & ROSS INC|10391 DOUBLE R BLVD||RENO NV 89521|USA|||  ||ROSS, PETER JAMES|775-826-6400|Corporation|Pension consulting services, Selection of other advisers|APPROVED|01/05/1989|0|0|0|0|0|0
Los Angeles Regional Office| 104963|801-7082|ANALYTIC INVESTORS, LLC|ANALYTIC INVESTORS, LLC|555 WEST FIFTH STREET|50TH FLOOR|LOS ANGELES CA 90013|USA|||  ||AMY CHRISTINE STUEVE|213.688.3015|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/16/1970|0|0|0|0|0|0
Los Angeles Regional Office| 104980|801-9166|JAMES F. MAINO, REGISTERED INVESTMENT COUNSELLOR, INC.|MAINO JAMES FREDERICK|6621 BAY LAUREL DRIVE||AVILA BEACH CA 93424|USA|P.O. BOX 489||AVILA BEACH CA 93424|USA|LISA, ERIN  KILBURN-MAINO|805-627-1600|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/25/1973|0|0|0|0|0|0
Los Angeles Regional Office| 104986|801-34774|FELL CAPITAL MANAGEMENT|FELL CAPITAL MANAGEMENT|1001 DOVE STREET, SUITE 230||NEWPORT BEACH CA 92660|USA|||  ||FELL, RICHARD MARK|(949) 476-5056|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|08/10/1989|0|0|0|0|0|0
Los Angeles Regional Office| 105015|801-19270|ALDRIDGE & CO|ALDRIDGE ROBERT JOHN|24012 CALLE DE LA PLATA,STE 440||LAGUNA HILLS CA 92653|USA|||  ||ALDRIDGE, ROBERT JOHN|949-859-1802|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|07/21/1983|0|0|0|0|0|0
Los Angeles Regional Office| 105022|801-21151|DELTA VENTURES FINANCIAL COUNSEL, INC.|DELTA VENTURES FINANCIAL COUNSEL INC|2855 EAST BROWN ROAD|SUITE 5|MESA AZ 85213|USA|||  ||CORNELIUS H. VAN ZUTPHEN, JR.|480 924-5613|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/18/1984|0|0|0|0|0|0
Los Angeles Regional Office| 105027|801-23661|WILKINSON OWEN T & ASSOCIATES INC|WILKINSON OWEN T & ASSOCIATES INC|333 SOUTH GRAND AVE|SUITE 4060|LOS ANGELES CA 90071|USA|||  ||HOBAN, DIANE RUTH|213-613-1920|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|03/12/1985|0|0|0|0|0|0
Los Angeles Regional Office| 105047|801-25980|RASKOB KAMBOURIAN FINANCIAL ADVISORS LTD|RASKOB KAMBOURIAN FINANCIAL ADVISORS LTD|4100 N FIRST AVENUE||TUCSON AZ 85719-1023|USA|||  ||KAMBOURIAN, PATRICIA W|520-690-1999|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|12/19/1985|0|0|0|0|0|0
Los Angeles Regional Office| 105070|801-10079|MET INVESTORS ADVISORY LLC|MET INVESTORS ADVISORY LLC|5 PARK PLACE|SUITE 1900|IRVINE CA 92614|USA|5 PARK PLAZA|SUITE 1900|IRVINE CA 92614||FELDMAN, JASON A.|212-578-7534|Limited Liability Company|Portfolio management for investment companies, Selection of other advisers, Other|APPROVED|07/12/1974|0|8|0|0|0|0
Los Angeles Regional Office| 105072|801-11714|THE CHARTIST|CHARTIST INC|5122 KATELLA AVE.  #200||LOS ALAMITOS CA 90740|USA|P.O. BOX 758||SEAL BEACH CA 90740||MAIS, STEVEN GERARD|562-596-2385|Corporation|Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|07/01/1976|0|1|0|0|0|0
Los Angeles Regional Office| 105130|801-35594|L. ROY PAPP & ASSOCIATES, LLP|L. ROY PAPP & ASSOCIATES, LLP|2201 E. CAMELBACK ROAD|SUITE 227B|PHOENIX AZ 85016|USA|||  ||HEIN, JULIE ANN|602-956-1115|Limited Liability Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/01/1989|0|0|0|0|0|0
Los Angeles Regional Office| 105144|801-19899|WESTRIDGE CAPITAL MANAGEMENT INC|WESTRIDGE CAPITAL MANAGEMENT INC|222 E CARRILLO ST., STE 300||SANTA BARBARA CA 93101|USA|||  ||CARDER, JAMES|(805) 564-3500|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/04/1983|0|0|1|0|0|0
Los Angeles Regional Office| 105148|801-35032|LACLA INVESTMENT ADVISERS|CLARK AARON COHEN|1901 AVE. OF THE STARS #610||LOS ANGELES CA 90067|USA|||  ||CLARK, DAVID L.|310-556-8336|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|08/07/1989|0|0|0|0|0|0
Los Angeles Regional Office| 105158|801-11586|ENGEMANN ASSET MANAGEMENT|ENGEMANN ASSET MANAGEMENT|600 N. ROSEMEAD BLVD||PASADENA CA 91107-2101|USA|||  ||LOUIS M. HOLTZ|626-351-6331|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/24/1976|0|2|5|0|0|0
Los Angeles Regional Office| 105169|801-15057|PACIFIC LIFE FUND ADVISORS LLC|PACIFIC LIFE FUND ADVISORS LLC|700 NEWPORT CENTER DRIVE||NEWPORT BEACH CA 92660-6397|USA|P.O. BOX 9000||NEWPORT BEACH CA 92658-9030|USA|SHARON A. CHEEVER|(949) 219-3852|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|02/08/1980|0|18|6|0|0|0
Los Angeles Regional Office| 105259|801-17864|FISCHER INVESTMENT ADVISORS INC|FISCHER INVESTMENT ADVISORS INC|7373 NORTH SCOTTSDALE  ROAD|SUITE D120|SCOTTSDALE AZ 85253|USA|||  ||STROUSE, MELISSA ANN|480-483-2222|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/29/1982|0|1|0|0|0|0
Los Angeles Regional Office| 105296|801-21205|PROFESSIONAL FINANCIAL ADVISORS INC|PROFESSIONAL FINANCIAL ADVISORS INC|30240 RANCHO VIEJO RD|SUITE A|SAN JUAN CAPISTRANO CA 92675-1515|USA|||  ||MANN, CHARLES|(949) 493 5900|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/01/1984|0|0|0|0|0|0
Los Angeles Regional Office| 105400|801-31227|ALLIANZ GLOBAL INVESTORS OF AMERICA L.P.|ALLIANZ GLOBAL INVESTORS OF AMERICA L.P.|680 NEWPORT CENTER DRIVE|SUITE 250|NEWPORT BEACH CA 92660|USA|||  ||KELLIE E. DAVIDSON|(949) 219-2621|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|12/23/1987|0|5|2|0|0|0
Los Angeles Regional Office| 105404|801-24896|BRANDES INVESTMENT PARTNERS, LP|BRANDES INVESTMENT PARTNERS, LP|11988 EL CAMINO REAL, SUITE 500||SAN DIEGO CA 92130|USA|||  ||ADELAIDE PUND|858-755-0239|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/08/1985|0|0|0|0|0|0
Los Angeles Regional Office| 105406|801-34425|CLELLAND & COMPANY INC|CLELLAND & CO INC|4225 EXECUTIVE SQ, STE 1050||LA JOLLA CA 92037-9210|USA|||  ||CLELLAND, ROBERT B.|858-587-8700|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|06/01/1989|0|0|0|0|0|0
Los Angeles Regional Office| 105415|801-15871|RS CRUM, INC.|RS CRUM, INC.|4 UPPER NEWPORT PLAZA DRIVE|SUITE 201|NEWPORT BEACH CA 92660|USA|||  ||SEXTON, DANIEL E|949-428-9696|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/30/1981|0|0|0|0|0|0
Los Angeles Regional Office| 105453|801-31487|MONARCH INVESTMENT ADVISORS, LLC|MONARCH INVESTMENT ADVISORS, LLC|812 NORTH LINDEN DRIVE||BEVERLY HILLS CA 90210|USA|||  ||JACK J. SINGER|(626) 447-4717|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/18/1988|0|1|1|0|0|0
Los Angeles Regional Office| 105473|801-15011|WESTLAKE CAPITAL INC|WESTLAKE CAPITAL INC|1800 BRIDGEGATE STREET|STE 106|WESTLAKE VILLAGE CA 91361|USA|||  ||VARING, JAMES H.|818-991-0278|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|01/25/1980|0|0|0|0|0|0
Los Angeles Regional Office| 105494|801-30019|WALL STREET ASSOCIATES|WALL STREET ASSOCIATES, LLC|1200 PROSPECT STREET|SUITE 100|LA JOLLA CA 92037|USA|P.O. BOX 8589||LA JOLLA CA 92038|USA|JEFFERY, WILLIAM III|858-551-2104|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/17/1987|0|0|0|0|0|0
Los Angeles Regional Office| 105499|801-19384|FLAHERTY & CRUMRINE INC|FLAHERTY & CRUMRINE INCORPORATED|301 E COLORADO BLVD|SUITE 720|PASADENA CA 91101|USA|||  ||CONWELL, CHAD C.|626-795-7300|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/21/1983|0|0|0|0|0|0
Los Angeles Regional Office| 105507|801-13828|THE PATTERSON CAPITAL CORPORATION|THE PATTERSON CAPITAL CORPORATION|2029 CENTURY PARK EAST, STE 2950||LOS ANGELES CA 90067|USA|||  ||GATES, HELEN PATRICIA|310-556-2496|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/26/1978|0|0|0|0|0|0
Los Angeles Regional Office| 105515|801-33048|HALBERT, HARGROVE/RUSSELL LLC|HALBERT, HARGROVE/RUSSELL LLC|111 W. OCEAN BLVD.|SUITE 2300|LONG BEACH CA 90802|USA|P.O. BOX 1070||LONG BEACH CA 90801|USA|RUSSELL T. HILL|562-435-5657|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|10/13/1988|0|0|0|0|0|0
Los Angeles Regional Office| 105516|801-19765|PRIMECAP MANAGEMENT CO|PRIMECAP MANAGEMENT CO|225 SOUTH LAKE AVE STE 400||PASADENA CA 91101-3005|USA|||  ||CHEN, KAREN|626/304-9222|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/14/1983|0|0|0|0|0|0
Los Angeles Regional Office| 105548|801-45517|ALPHA & OMEGA|ALPHA & OMEGA FINANCIAL MANAGEMENT CONSULTANTS, INC.|8580 LA MESA BLVD STE 100||LA MESA CA 91941|USA|P.O. BOX 2669||LA MESA CA 91943|USA|PREOVOLOS, THANASI K|619-696-0520|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|02/15/1994|0|0|0|0|0|0
Los Angeles Regional Office| 105569|801-11545|WESTON CAPITAL MANAGEMENT INC|WESTON CAPITAL MANAGEMENT INC|12424 WILSHIRE BLVD|SUITE 1115|LOS ANGELES CA 90025|USA|||  ||WESTON, ALAN E.|310-826-0811|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/14/1976|0|0|0|0|0|0
Los Angeles Regional Office| 105585|801-28362|MICHAEL J. BERGQUIST FINANCIAL & ESTATE PLANNING|BERGQUIST MICHAEL JOHN|1114 STATE STREET, SUITE 300||SANTA BARBARA CA 93101|USA|||  ||BERGQUIST, MICHAEL J.|805-568-5313|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|12/22/1986|0|0|0|0|0|0
Los Angeles Regional Office| 105614|801-16425|CRITICAL CAPITAL MANAGEMENT, INC.|CRITICAL CAPITAL MANAGEMENT, INC.|23564 CALABASAS RD 206||CALABASAS CA 91302-1339|USA|||  ||UNGAR, ALAN B|818-222-4773|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|09/24/1981|0|0|0|0|0|0
Los Angeles Regional Office| 105654|801-20778|BRADFORD & MARZEC, LLC|BRADFORD & MARZEC, LLC|333 SOUTH HOPE STREET|SUITE 4050|LOS ANGELES CA 90071|USA|||  ||JASON RALL|213-687-9170|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/05/1984|0|0|0|0|0|0
Los Angeles Regional Office| 105682|801-35519|LOMBARDIA CAPITAL PARTNERS, LLC|LOMBARDIA CAPITAL PARTNERS, LLC|55 SOUTH LAKE AVE, SUITE 750||PASADENA CA 91101|USA|||  ||CHAVEZ, ALBERT|626-568-2792|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/15/1989|0|0|0|0|0|0
Los Angeles Regional Office| 105715|801-19106|AMERVEST COMPANY, INC.|AMERVEST COMPANY, INC.|800 WEST 6TH STREET|STE 1220|LOS ANGELES CA 90017|USA|||  ||CHEUNG, PETER|213-627-3650|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/23/1983|0|1|0|0|0|0
Los Angeles Regional Office| 105736|801-17502|WHEELER FROST ASSOCIATES INC|WHEELER FROST ASSOCIATES INC|2665 FOURTH AVENUE||SAN DIEGO CA 92103-6514|USA|||  ||WHEELER, MARY MARGARET|619-491-0225|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|08/18/1982|0|0|0|0|0|0
Los Angeles Regional Office| 105737|801-35826|BENGEN FINANCIAL SERVICES, INC.|BENGEN FINANCIAL SERVICES, INC.|844 SINGING HEIGHTS DR||EL CAJON CA 92019-2750|USA|||  ||WILLIAM PAUL BENGEN|619-579-1444|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/11/1990|0|0|0|0|0|0
Los Angeles Regional Office| 105742|801-6642|TCW ASSET MANAGEMENT CO|TCW ASSET MANAGEMENT CO|865 S FIGUEROA ST|STE 1800|LOS ANGELES CA 90017|USA|||  ||HENRY SOLIS|213-244-0103|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/12/1970|1|0|1|0|0|0
Los Angeles Regional Office| 105765|801-35678|OCEAN PARK ASSET MANAGEMENT, INC.|OCEAN PARK ASSET MANAGEMENT, INC.|3420 OCEAN PARK BLVD|SUITE 3060|SANTA MONICA CA 90405|USA|||  ||SLEEPER, KENNETH L|310-452-1887|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Market timing services|APPROVED|12/14/1989|0|0|0|0|0|0
Los Angeles Regional Office| 105766|801-31188|ROWLAND CARMICHAEL ADVISORS INC|ROWLAND CARMICHAEL ADVISORS INC|7272 EAST INDIAN SCHOOL ROAD|SUITE 212|SCOTTSDALE AZ 85251-3970|USA|||  ||ORICK, JANICE LEE|480-421-2660|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|01/29/1988|0|0|0|0|0|0
Los Angeles Regional Office| 105771|801-15864|GENWORTH FINANCIAL ASSET MANAGEMENT, INC|GENWORTH FINANCIAL ASSET MANAGEMENT, INC|16501 VENTURA BLVD.|SUITE 201|ENCINO CA 91436-2007|USA|||  ||PHILIP MCKINLEY|818-528-3707|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/12/1981|2|0|0|0|0|0
Los Angeles Regional Office| 105883|801-25846|OAK TREE ADVISORY SERVICES INC|OAK TREE ADVISORY SERVICES INC|701 PALOMAR AIRPORT ROAD|SUITE 300|CARLSBAD CA 92011|USA|||  ||DALO, ROBBIN MARGUERITE|(760) 439-5616|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters, Other|APPROVED|12/31/1985|0|0|0|0|0|0
Los Angeles Regional Office| 105948|801-19257|KENSINGTON FINANCIAL|MICETICH JOHN JOSEPH|4241 CAMINITO PINTORESCO||SAN DIEGO CA 92108|USA|||  ||MICETICH, JOHN JOSEPH|619-269-1934|Sole Proprietorship|Financial planning services|APPROVED|07/28/1983|0|0|0|0|0|0
Los Angeles Regional Office| 105968|801-36027|LANE BROTHERS & CO INC|LANE BROTHERS & CO INC|1550 PLAZA WEST DRIVE||PRESCOTT AZ 86303|USA|||  ||BRIONES,PATRICIA LANE|928-776-8870|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/31/1990|0|0|0|0|0|0
Los Angeles Regional Office| 105972|801-27745|LOWDER BRIAN D INC|LOWDER BRIAN D INC|12780 HIGH BLUFF DRIVE, SUITE 100||SAN DIEGO CA 92130-2068|USA|||  ||LOWDER BRIAN DALE|858-794-6800|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/22/1986|0|0|0|0|0|0
Los Angeles Regional Office| 105986|801-25709|PLANNED ASSET MANAGEMENT|PLANNED ASSET MANAGEMENT INC|26637 W. AGOURA RD., SUITE 100||CALABASAS CA 91302|USA|||  ||OKAWA, PAUL|818-708-6888|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|11/15/1985|0|0|0|0|0|0
Los Angeles Regional Office| 106008|801-38579|IVES ASSET MANAGEMENT INC|IVES ASSET MANAGEMENT INC|4835 E. CACTUS ROAD|SUITE 255|SCOTTSDALE AZ 85254|USA|||  ||MACHIZ, IVES MARTIN|602-971-7545|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/25/1991|0|0|0|0|0|0
Los Angeles Regional Office| 106041|801-49465|STAMPER CAPITAL & INVESTMENTS, INC.|STAMPER CAPITAL & INVESTMENTS, INC.|2721 EAST COAST HIGHWAY|SUITE 205|CORONA DEL MAR CA 92625|USA|||  ||STAMPER, BRUCE CLARK|949-673-5787|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|06/21/1995|0|0|0|0|0|0
Los Angeles Regional Office| 106071|801-37370|MANCHESTER FINANCIAL INC|MANCHESTER FINANCIAL INC|2815 TOWNSGATE ROAD SUITE 100||WESTLAKE VILLAGE CA 91361|USA|||  ||KATCH, ROBERT J|805-495-4405|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|09/14/1990|0|0|0|0|0|0
Los Angeles Regional Office| 106073|801-5363|STONEBRIDGE CAPITAL MANAGEMENT INC|STONEBRIDGE CAPITAL MANAGEMENT INC|1801 CENTURY PARK EAST|SUITE 1800|LOS ANGELES CA 90067|USA|||  ||NEWMAN, DEBRA LYNN|(310) 277-1450|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/06/1969|0|0|0|0|0|0
Los Angeles Regional Office| 106075|801-35973|THE KELLER GROUP INVESTMENT MANAGEMENT, INC|THE KELLER GROUP INVESTMENT MANAGEMENT, INC|18101 VON KARMAN AVE|SUITE 700|IRVINE CA 92612-1051|USA|||  ||BRUCE, GREGORY S|949-476-0300|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|02/28/1990|0|1|0|0|0|0
Los Angeles Regional Office| 106076|801-13612|TOWNSEND GROUP INVESTMENTS|TOWNSEND GROUP INVESTMENTS|22601 PACIFIC COAST HWY|STE 200|MALIBU CA 90265|USA|||  ||MARSALIS, ELAINE|310-456-1645|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|12/29/1977|0|0|0|0|0|0
Los Angeles Regional Office| 106079|801-27225|THE TARBOX GROUP, INC.|THE TARBOX GROUP, INC.|500 NEWPORT CENTER DRIVE|STE 500|NEWPORT BEACH CA 92660|USA|||  ||LAURA TARBOX|(949) 721-2330|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|06/16/1986|0|0|0|0|0|0
Los Angeles Regional Office| 106137|801-51986|KDB CAPITAL MANAGEMENT|KDB CAPITAL MANAGEMENT|1713 BRIDGEHAMPTON PL.||EL CAJON CA 92019|USA|||  ||BRADLEY,KENNETH DALE|619-749-1981|Corporation|Market timing services|APPROVED|05/17/1996|0|0|0|0|0|0
Los Angeles Regional Office| 106176|801-45364|WEINBERGER ASSET MANAGEMENT, INC|WEINBERGER ASSET MANAGEMENT, INC|11661 SAN VICENTE BLVD, SUITE 820||LOS ANGELES CA 90049|USA|||  ||VERMUT, LESLIE FAYE|310-442-8472|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|12/10/1993|0|0|0|0|0|0
Los Angeles Regional Office| 106178|801-47749|PROSPECT ASSET MANAGEMENT INC|PROSPECT ASSET MANAGEMENT INC|6700 KALANIANAOLE HWY|STE 122|HONOLULU HI 96825|USA|||  ||CHERI NAKAMURA|808-395-6886|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|11/03/1994|0|0|0|0|0|0
Los Angeles Regional Office| 106200|801-44751|RULAPAUGH STANLEY E CFA|RULAPAUGH STANLEY EUGENE|7505 E 6TH AVENUE|SUITE 204|SCOTTSDALE AZ 85251|USA|||  ||RULAPAUGH, STANLEY E|4809410820|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/15/1993|0|0|0|0|0|0
Los Angeles Regional Office| 106268|801-28135|WALKER FINANCIAL ADVISORS INC|WALKER FINANCIAL ADVISORS INC|26691 PLAZA|SUITE 240|MISSION VIEJO CA 92691|USA|||  ||WARREN ISENBERG|949-367-1961|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|10/17/1986|0|0|0|0|0|0
Los Angeles Regional Office| 106296|801-41280|TAYLOR K A ASSOCIATES INC|TAYLOR K A ASSOCIATES INC|2140 SKYE STREET||CAMBRIA CA 93428|USA|||  ||TAYLOR,KATHRYN ANN|(619) 839-3189|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/15/1992|0|0|0|0|0|0
Los Angeles Regional Office| 106315|801-39846|WALSON & ASSOCIATES INC|WALSON & ASSOCIATES INC|575 ANTON BLVD. STE. 300||COSTA MESA CA 92626|USA|||  ||WALSON, FORREST GRAHAM|714-432-6510|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|09/16/1991|0|0|0|0|0|0
Los Angeles Regional Office| 106335|801-50509|INTEGRATED WEALTH MANAGEMENT, INC.|INTEGRATED WEALTH MANAGEMENT, INC.|742 WASHINGTON BLVD||MARINA DEL REY CA 90292|USA|742 WASHINGTON BLVD.||MARINA DEL REY CA 90292|USA|CASEY, JAMES MICHAEL|310-821-6563|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|11/03/1995|0|0|0|0|0|0
Los Angeles Regional Office| 106378|801-45935|AMERITRUST CAPITAL MANAGEMENT LTD|AMERITRUST CAPITAL MANAGEMENT LTD|3568 SAGUNTO ST, WEST WING||SANTA YNEZ CA 93460-1799|USA|P.O. BOX 1799||SANTA YNEZ CA 93460-1799|USA|KAVALOSKI, MARK JOSEPH|805-688-1001|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/28/1994|0|0|0|0|0|0
Los Angeles Regional Office| 106404|801-53568|BARATTA INVESTMENT GROUP TBIG FINANCIAL SERVICES|TBIG FINANCIAL SERVICES INC|756 LAKESHORE DRIVE||INCLINE VILLAGE NV 89451|USA|P.O. BOX 8746||INCLINE VILLAGE NV 89452|USA|BARATTA,SANDY E|650-823-6163|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|01/03/1997|0|0|0|0|0|0
Los Angeles Regional Office| 106417|801-45959|GLOBEFLEX CAPITAL LP|GLOBEFLEX CAPITAL LP|4365 EXECUTIVE DR. STE 720||SAN DIEGO CA 92121|USA|||  ||O'CONNELL, JENNIFER|858.658.9060|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/08/1994|0|0|0|0|0|0
Los Angeles Regional Office| 106434|801-43726|DOHENY ASSET MANAGEMENT, L.L.C.|DOHENY ASSET MANAGEMENT, L.L.C.|10877 WILSHIRE BLVD|SUITE 1406|LOS ANGELES CA 90024-4341|USA|||  ||HUMPHREY, TODD, M|310-824-6445|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/09/1993|0|0|0|0|0|0
Los Angeles Regional Office| 106448|801-37597|JOHN BOWEN INVESTMENT MANAGEMENT|BOWEN JOHN CHARLES|1330 ORANGE AVENUE STE 305||CORONADO CA 92118|USA|||  ||BOWEN, JOHN CHARLES|619-437-7224|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|09/28/1990|0|0|0|0|0|0
Los Angeles Regional Office| 106482|801-16283|DIMENSIONAL FUND ADVISORS LP|DIMENSIONAL FUND ADVISORS LP|1299 OCEAN AVENUE||SANTA MONICA CA 90401|USA|||  ||CATHERINE L. NEWELL|512-306-7412|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/26/1981|0|0|0|0|0|0
Los Angeles Regional Office| 106493|801-47434|PLANMEMBER ADVISORS CORPORATION|PLANMEMBER ADVISORS CORPORATION|6187 CARPINTERIA AVENUE||CARPINTERIA CA 93013|USA|||  ||TRISH STONE-DAMEN|(805)684-1199 EXT. 2540|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|09/26/1994|0|0|0|0|0|0
Los Angeles Regional Office| 106538|801-31791|SONORA INVESTMENT MANAGEMENT LLC|SONORA INVESTMENT MANAGEMENT LLC|2343 E BROADWAY|STE 116|TUCSON AZ 85719|USA|||  ||TOLAND, JR. H. BRADLEY|520-624-4554|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|02/02/1988|0|0|0|0|0|0
Los Angeles Regional Office| 106542|801-13100|ATHENA INVESTMENT MANAGEMENT|ATHENA INVESTMENT MANAGEMENT|180 S LAKE AVE|STE 610|PASADENA CA 91101-2619|USA|||  ||ANDREWS III, JACK EDWARD|626-449-2211|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/16/1977|0|0|0|0|0|0
Los Angeles Regional Office| 106545|801-32288|TCW SPECIAL CREDITS|TCW SPECIAL CREDITS|865 S FIGUEROA ST|STE 1800|LOS ANGELES CA 90017|USA|||  ||HENRY SOLIS|213-244-0103|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/25/1988|1|0|1|0|0|0
Los Angeles Regional Office| 106546|801-29075|TCW INVESTMENT MANAGEMENT CO|TCW INVESTMENT MANAGEMENT CO|865 S FIGUEROA ST|STE 1800|LOS ANGELES CA 90017|USA|||  ||HENRY SOLIS|213-244-0103|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/18/1987|1|0|1|0|0|0
Los Angeles Regional Office| 106564|801-23676|TCW CAPITAL|TCW CAPITAL|865 S FIGUEROA ST STE 1800||LOS ANGELES CA 90017|USA|||  ||HENRY SOLIS|213-244-0103|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/05/1985|1|0|1|0|0|0
Los Angeles Regional Office| 106598|801-42832|PRIVATE ASSET MANAGEMENT INC|PRIVATE ASSET MANAGEMENT INC|11995 EL CAMINO REAL STE 303||SAN DIEGO CA 92130|USA|||  ||BERLIN, MICHAEL D.|858-792-3800|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/03/1992|0|1|2|0|0|0
Los Angeles Regional Office| 106615|801-42954|SIERRA INVESTMENT MANAGEMENT INC|SIERRA INVESTMENT MANAGEMENT INC|3420 OCEAN PARK BLVD, STE 3060||SANTA MONICA CA 90405|USA|||  ||DAVID C. WRIGHT|310-452-1887|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/23/1992|0|0|0|0|0|0
Los Angeles Regional Office| 106635|801-24322|LAWRENCE W. KELLY & ASSOCIATES, INC|LAWRENCE W. KELLY & ASSOCIATES, INC.|199 SOUTH LOS ROBLES AVENUE|SUITE 850|PASADENA CA 91101-2461|USA|||  ||NICHOLAS J. WELSH, CFA|626/449-9500|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/16/1985|0|0|0|0|0|0
Los Angeles Regional Office| 106688|801-39695|R.H. DINEL INVESTMENT COUNSEL,INC.|R.H. DINEL INVESTMENT COUNSEL,INC.|11661 SAN VICENTE BLVD STE 400||LOS ANGELES CA 90049-5112|USA|||  ||DINEL, JOYCE K.|310-571-7171|Corporation|Portfolio management for individuals and/or small businesses, Other|APPROVED|08/20/1991|0|0|0|0|0|0
Los Angeles Regional Office| 106698|801-51748|FIRST QUADRANT|FIRST QUADRANT LP|800 EAST COLORADO BLVD|SUITE 900|PASADENA CA 91101|USA|||  ||KENNETH RICHARD FUNK|626-795-8220|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|03/25/1996|0|0|0|0|0|0
Los Angeles Regional Office| 106739|801-53717|HARRIGAN & HOWARD FINANCIAL ADVISORS LLC|HARRIGAN & HOWARD FINANCIAL ADVISORS LLC|4299 MACARTHUR BLVD., SUITE 100||NEWPORT BEACH CA 92660|USA|||  ||HOWARD, NANCY J|949-253-1510|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|01/28/1997|0|0|0|0|0|0
Los Angeles Regional Office| 106772|801-39398|CAMDEN ASSET MANAGEMENT|CAMDEN ASSET MANAGEMENT L P|2049 CENTURY PARK EAST|STE 330|LOS ANGELES CA 90067-4007|USA|||  ||OCAMPO, MAUREEN E|310-785-9755|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/08/1991|0|0|0|0|0|0
Los Angeles Regional Office| 106793|801-48923|OAKTREE CAPITAL MANAGEMENT, L.P.|OAKTREE CAPITAL MANAGEMENT, L.P.|333 SOUTH GRAND AVE|28TH FLOOR|LOS ANGELES CA 90071|USA|||  ||SCOTT, KRISTIN HARRISON|213-830-6225|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/07/1995|0|1|0|0|0|0
Los Angeles Regional Office| 106830|801-853|EVERETT HARRIS & CO|EVERETT HARRIS & CO|888 WEST 6TH ST|10TH FL|LOS ANGELES CA 90017|USA|||  ||FOUNDOS, MARK|213-625-2677|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/01/1940|0|0|0|0|0|0
Los Angeles Regional Office| 106851|801-43319|JOHNSON MARTIN ADVISORS, INC.|JOHNSON MARTIN ADVISORS INC|1161 ANGELO DRIVE||BEVERLY HILLS CA 90210-2703|USA|||  ||MARTIN, VICTORIA|310-275-5265|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/11/1993|0|0|0|0|0|0
Los Angeles Regional Office| 106870|801-50904|FINANCIAL MANAGEMENT ADVISORS INC|FINANCIAL MANAGEMENT ADVISORS, LLC|1900 AVENUE OF THE STARS|SUITE 900|LOS ANGELES CA 90067-4310|USA|||  ||HARKNESS, MARLA L|310-229-2940|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/22/1996|0|0|1|0|0|0
Los Angeles Regional Office| 106897|801-24292|FORTUNA ASSET MANAGEMENT LLC|FORTUNA ASSET MANAGEMENT LLC|1300 BRISTOL STREET NORTH|SUITE 100|NEWPORT BEACH CA 92660|USA|PO BOX 9109||NEWPORT BEACH CA 92658|USA|KAPLAN, LARRY M|949 476 2872|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/13/1985|0|0|0|0|0|0
Los Angeles Regional Office| 106902|801-33512|BENCHMARK FINANCIAL LTD|BENCHMARK FINANCIAL LTD|3636 NORTH CENTRAL AVE # 620||PHOENIX AZ 85012|USA|||  ||DENISE REED|602-222-4180|Corporation|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|12/23/1988|0|0|0|0|0|0
Los Angeles Regional Office| 106908|801-50819|WINDWARD CAPITAL MANAGEMENT CO|WINDWARD CAPITAL MANAGEMENT CO|11111 SANTA MONICA BOULEVARD|SUITE 1200|LOS ANGELES CA 90025|USA|||  ||PENE, STEPHAN|310-893-3006|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/14/1995|0|0|0|0|0|0
Los Angeles Regional Office| 106927|801-51504|THE QINSIGHT GROUP|COMPUTER HANDHOLDERS INC|5480 BALTIMORE DRIVE|SUITE 213|LA MESA CA 91942|USA|||  ||WILLIAM L. CARTER|(619)-460-0984|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|03/18/1996|0|0|0|0|0|0
Los Angeles Regional Office| 106935|801-48177|WEATHERLY ASSET MANAGEMENT|WEATHERLY ASSET MANAGEMENT LP|832 CAMINO DEL MAR, SUITE 4||DEL MAR CA 92014|USA|||  ||CAROLYN PERSON TAYLOR|858-259-4507|Other (specify)|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/10/1995|0|0|0|0|0|0
Los Angeles Regional Office| 106951|801-10188|HOWARD CAPITAL MANAGEMENT|HOWARD CAPITAL MANAGEMENT, INC.|11601 WILSHIRE BLVD|STE 2080|LOS ANGELES CA 90025-1766|USA|||  ||ROBIN KAMEDA|310-473-9100|Corporation|Portfolio management for individuals and/or small businesses, Other|APPROVED|08/27/1974|0|1|0|0|0|0
Los Angeles Regional Office| 106962|801-41668|PACIFIC GLOBAL INVESTMENT MANAGEMENT CO|PACIFIC GLOBAL INVESTMENT MANAGEMENT CO|101 N. BRAND BLVD|STE 1950|GLENDALE CA 91203|USA|||  ||HENNING, CATHERINE|818-245-7530|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/17/1992|0|0|0|0|0|0
Los Angeles Regional Office| 106969|801-50628|MOLER CAPITAL MANAGEMENT|MOLER RANDALL GENE|9070 IRVINE CENTER DRIVE|SUITE 240|IRVINE CA 92618|USA|||  ||MOLER, NANCY L|949-748-3993|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|11/28/1995|0|0|0|0|0|0
Los Angeles Regional Office| 107008|801-40025|MIKE PETTIT|PETTIT MICHAEL WILLIAM|1317 CALLE CECILIA||SAN DIMAS CA 91773|USA|||  ||PETTIT, MICHAEL W.|626-915-4820|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|10/18/1991|0|0|0|0|0|0
Los Angeles Regional Office| 107030|801-45821|KB  OPPORTUNITY INVESTORS|KB OPPORTUNITY INVESTORS|620 NEWPORT CENTER DR., SUITE 1300||NEWPORT BEACH CA 92660|USA|||  ||KROTINE,MARK A|(949) 417-6500|Partnership|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Other|APPROVED|02/22/1994|0|0|0|0|0|0
Los Angeles Regional Office| 107043|801-30985|STRATEGIC PROPERTY ADVISERS INC|STRATEGIC PROPERTY ADVISERS INC|3250 VISTA DIEGO ROAD||JAMUL CA 91935|USA|||  ||AYLWARD, ANN H.|619-669-6688|Corporation|Pension consulting services, Other|APPROVED|11/27/1987|0|0|0|0|0|0
Los Angeles Regional Office| 107053|801-46461|KURIYAMA & CO LLC|KURIYAMA & CO LLC|1440 KAPIOLANI BLVD.|SUITE 970|HONOLULU HI 96814|USA|||  ||KURIYAMA, STEVE T|(808)593-1600|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/11/1994|0|0|0|0|0|0
Los Angeles Regional Office| 107058|801-29001|CHECK CAPITAL MANAGEMENT INC|CHECK CAPITAL MANAGEMENT INC|575 ANTON BLVD|STE 500|COSTA MESA CA 92626-7685|USA|||  ||HELEN MYERS|714-641-3579|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|03/06/1987|0|0|0|0|0|0
Los Angeles Regional Office| 107069|801-26950|ROUND HILL ASSET MANAGEMENT INC|ROUND HILL ASSET MANAGEMENT INC|180 S LAKE AVE||PASADENA CA 91101-4775|USA|||  ||LUSHBOUGH, CHANNING T|626-431-2685|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/15/1986|0|0|0|0|0|0
Los Angeles Regional Office| 107085|801-50921|TCW CRESCENT MEZZANINE LLC|TCW CRESCENT MEZZANINE LLC|11100 SANTA MONICA BLVD.|SUITE 2000|LOS ANGELES CA 90025|USA|||  ||HENRY SOLIS|213-244-0103|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/01/1996|1|0|1|0|0|0
Los Angeles Regional Office| 107098|801-37788|SIPHRON CAPITAL MANAGEMENT|SIPHRON CAPITAL MANAGEMENT|280 S. BEVERLY DR.|#412|BEVERLY HILLS CA 90212|USA|||  ||SOHN, MELISSA S.|(310) 858-7281|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/23/1990|0|0|0|0|0|0
Los Angeles Regional Office| 107109|801-43588|SALUS CAPITAL MANAGEMENT, INC.|SALUS CAPITAL MANAGEMENT INC|500 S GRAND AVE|STE 1680|LOS ANGELES CA 90071|USA|||  ||TONY KIM|213-624-2800|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/12/1993|0|0|0|0|0|0
Los Angeles Regional Office| 107112|801-47616|WALSTAD INVESTMENT COUNSEL, INC.|WALSTAD INVESTMENT COUNSEL INC|19 EAST CANON PERDIDO|SUITE C|SANTA BARBARA CA 93101-2213|USA|19 EAST CANON PERDIDO|SUITE C|SANTA BARBARA CA 93101-2213|USA|WALSTAD, APRIL N|805-963-7500|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/06/1994|0|0|0|0|0|0
Los Angeles Regional Office| 107140|801-53348|DBA FUND OF FUNDS ADVISOR, INC.|FUND OF FUNDS INVESTOR GROUP INC|433 NORTH CAMDEN DR|STE 770|BEVERLY HILLS CA 90210|USA|||  ||JENKINS, PAGE|310-550-8004|Corporation|Financial planning services, Selection of other advisers|APPROVED|11/27/1996|0|0|0|0|0|0
Los Angeles Regional Office| 107150|801-48253|ENVISION CAPITAL MANAGEMENT INC|ENVISION CAPITAL MANAGEMENT INC|11755 WILSHIRE BLVD STE 1140||LOS ANGELES CA 90025|USA|||  ||NEVOLO, LISA A|310-445-3252|Corporation|Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|02/24/1995|0|0|0|0|0|0
Los Angeles Regional Office| 107158|801-36855|GAMBLE JONES INVESTMENT COUNSEL|GAMBLE JONES INVESTMENT COUNSEL|301 E. COLORADO BOULEVARD|SUITE 802|PASADENA CA 91101|USA|P.O. BOX 6002||PASADENA CA 91102-6002|USA|LEE, GRETCHEN|626-795-7583|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/16/1990|0|0|0|0|0|0
Los Angeles Regional Office| 107160|801-19762|PAYDEN & RYGEL|PAYDEN & RYGEL|333 S. GRAND AVENUE|32ND FLR.|LOS ANGELES CA 90071|USA|||  ||EDWARD S. GARLOCK|213-830-4255|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/08/1983|0|0|0|0|0|0
Los Angeles Regional Office| 107228|801-44268|SELECT PORTFOLIO MANAGEMENT INC|SELECT PORTFOLIO MANAGEMENT INC|120 VANTIS, SUITE 430||ALISO VIEJO CA 92656|USA|||  ||CARIN R. AMARADIO|949-975-7900|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Market timing services|APPROVED|07/09/1993|0|3|0|0|0|0
Los Angeles Regional Office| 107287|801-44378|CHANDLER ASSET MANAGEMENT INC|CHANDLER ASSET MANAGEMENT INC|9255 TOWNE CENTRE DRIVE|SUITE 350|SAN DIEGO CA 92121-3039|USA|||  ||NICOLE M. DRAGOO|858.546.3737|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/22/1993|0|0|0|0|0|0
Los Angeles Regional Office| 107305|801-9157|MCCUEN & CO INC|MCCUEN & CO INC|530 B ST STE 1430||SAN DIEGO CA 92101|USA|||  ||DANIEL J. REED|619-239-3034|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|03/22/1973|0|0|0|0|0|0
Los Angeles Regional Office| 107325|801-47993|PROVIDENT INVESTMENT COUNSEL, LLC|PROVIDENT INVESTMENT COUNSEL, LLC|300 NORTH LAKE AVE|PENTHOUSE|PASADENA CA 91101-4106|USA|||  ||AARON W. L. EUBANKS, SR.|626-449-8500|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/09/1994|0|0|0|0|0|0
Los Angeles Regional Office| 107373|801-37083|TCI WEALTH MANAGEMENT, INC.|TCI WEALTH ADVISORS, INC.|1853 N. KOLB||TUCSON AZ 85715|USA|||  ||LISA SWIFT|520-733-1477|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|08/30/1990|0|0|0|0|0|0
Los Angeles Regional Office| 107386|801-39728|CAVES & ASSOCIATES|CAVES PRESTON STILSON|1334 PARK VIEW AVE,STE 100||MANHATTAN BEACH CA 90266|USA|||  ||SUSAN MAZZONI|310-545-4179|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|08/27/1991|0|0|0|0|0|0
Los Angeles Regional Office| 107448|801-37404|YOUNG CAPITAL MANAGEMENT INC|YOUNG CAPITAL MANAGEMENT INC|16712 E. AVENUE OF THE FOUNTAINS||FOUNTAIN HILLS AZ 85268|USA|15204 N. ZAPATA DRIVE||FOUNTAIN HILLS AZ 85268|USA|MITCHELL YOUNG|480-837-7507|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/21/1990|0|0|0|0|0|0
Los Angeles Regional Office| 107449|801-14976|C.M.BIDWELL & ASSOCIATES LTD|C.M.BIDWELL & ASSOCIATES LTD|20 OLD PALI PL||HONOLULU HI 96817|USA|||  ||NIALL KILCOMMONS|(808)595-1099|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/03/1980|0|0|0|0|0|0
Los Angeles Regional Office| 107459|801-41333|CASEY THOMAS CLARK|CASEY THOMAS CLARK|620 NEWPORT CENTER DRIVE,|STE 1100|NEWPORT BEACH CA 92660|USA|||  ||THOMAS CLARK CASEY|949-721-6629|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|04/24/1992|0|0|0|0|0|0
Los Angeles Regional Office| 107469|801-57001|METROPOLITAN WEST CAPITAL MANAGEMENT, LLC|METROPOLITAN WEST CAPITAL MANAGEMENT, LLC|610 NEWPORT CENTER DR STE 1000||NEWPORT BEACH CA 92660|USA|||  ||GARY W. LISENBEE|(949) 718-9701|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/23/1999|0|0|1|0|0|0
Los Angeles Regional Office| 107502|801-53527|THE CYPRESS FUNDS LLC|THE CYPRESS FUNDS LLC|865 SOUTH FIGUEROA STREET|SUITE 700|LOS ANGELES CA 90017|USA|||  ||JAMES CHAPMAN|213-891-6336|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/26/1996|0|0|0|0|0|0
Los Angeles Regional Office| 107503|801-50514|LAUREL GROVE CAPITAL LLC|LAUREL GROVE CAPITAL LLC|1801 AVE OF THE STARS STE 1000||LOS ANGELES CA 90067|USA|||  ||DANA TIEDT|310/789-0000|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/21/1995|0|0|0|0|0|0
Los Angeles Regional Office| 107510|801-45480|HARRIS FINANCIAL ADVISORS, INC.|HARRIS FINANCIAL ADVISORS INC|25500 HAWTHORNE BLVD.|SUITE 1030|TORRANCE CA 90505|USA|||  ||MARY G. HARRIS|310-791-3226|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters, Other|APPROVED|02/03/1994|0|0|0|0|0|0
Los Angeles Regional Office| 107519|801-23368|FINANCE 500 ADVISORY SERVICES INC|FINANCE 500 ADVISORY SERVICES INC|19762 MACARTHUR BLVD||IRVINE CA 92612|USA|||  ||ROBERT L. HICKS|(949) 253-4000|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|02/01/1985|0|0|0|0|0|0
Los Angeles Regional Office| 107537|801-50045|NAVELLIER HEDGE MANAGEMENT INC|NAVELLIER HEDGE MANAGEMENT INC|ONE EAST LIBERTY, 3RD FLOOR||RENO NV 89501|USA|||  ||HEATHER STEWARD|775-785-9433|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/18/1996|0|1|0|0|0|0
Los Angeles Regional Office| 107540|801-41020|THE HUNTER GROUP|JPL FINANCIAL INC|2223 AVENIDA DE LA PLAYA, SUITE 105||LA JOLLA CA 92037|USA|||  ||JEFFREY LYSAUGHT|858-459-5830|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|03/12/1992|0|0|0|0|0|0
Los Angeles Regional Office| 107568|801-30582|NAVELLIER & ASSOCIATES INC|NAVELLIER & ASSOCIATES INC|1 E. LIBERTY, THIRD FLOOR||RENO NV 89501|USA|||  ||HEATHER STEWARD|775-785-9433|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/30/1987|0|3|0|0|0|0
Los Angeles Regional Office| 107582|801-52723|WEALTH TRUST - ARIZONA LLC|WEALTH TRUST - ARIZONA LLC|8434 E. SHEA BOULEVARD||SCOTTSDALE AZ 85260-6634|USA|||  ||DONALD R. EBEY JR.|(480)483-7300|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|09/09/1996|0|0|0|0|0|0
Los Angeles Regional Office| 107607|801-51183|SAGE FINANCIAL ADVISORS INC|SAGE FINANCIAL ADVISORS INC|110 COUNTRY ESTATES CIRCLE|SUITE 3|RENO NV 89511|USA|||  ||KIRSTIN GRIFFIN|775-324-7244|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/09/1996|0|0|0|0|0|0
Los Angeles Regional Office| 107650|801-50869|RE CAPITAL MANAGEMENT|QUALITY GROWTH MANAGEMENT INC|16236 SAN DIEGUITO RD.|SUITE 5-24|RANCHO SANTA FE CA 92091|USA|P.O. BOX 9676||RANCHO SANTA FE CA 92067-4676|USA|STEVEN L. RE', CFA|(858) 759-0617|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/26/1995|0|0|0|0|0|0
Los Angeles Regional Office| 107669|801-60076|RWT INVESTMENT ADVISERS, INC.|RWT INVESTMENT ADVISERS, INC.|11600 WASHINGTON PLACE|SUITE 203|LOS ANGELES CA 90066|USA|||  ||ROBERT TEMPLETON|310-398-7120|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/02/2001|0|0|0|0|0|0
Los Angeles Regional Office| 107672|801-29274|DOWLING & YAHNKE, LLC|DOWLING & YAHNKE, LLC|12340 EL CAMINO REAL|SUITE 300|SAN DIEGO CA 92130|USA|||  ||KARROL L. GIBBS|(858)509-9500|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/03/1987|0|0|0|0|0|0
Los Angeles Regional Office| 107673|801-28874|NEAL ALLEN PEPPER, PHD|NEAL ALLEN PEPPER, PHD|9808 TUNNEY AVENUE||NORTHRIDGE CA 91324-1644|USA|||  ||NEAL ALLEN PEPPER|(818) 349-4777|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|03/27/1987|0|0|0|0|0|0
Los Angeles Regional Office| 107711|801-23561|REYNOLDS CAPITAL MANAGEMENT|REYNOLDS FREDERICK LEO|290 SOUTH ULUKOA PLACE||LAHAINA HI 96761-1973|USA|2580 KEKAA DRIVE #115||LAHAINA HI 96761|USA|FREDERICK REYNOLDS|808-661-1661|Sole Proprietorship|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies|APPROVED|02/25/1985|0|0|0|0|0|0
Los Angeles Regional Office| 107729|801-48761|STW FIXED INCOME MANAGEMENT LTD|STW FIXED INCOME MANAGEMENT LTD|6185 CARPINTERIA AVENUE||CARPINTERIA CA 93013|USA|||  ||ERIN K. CHRISLOCK|805-745-2400|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/16/1995|0|0|0|0|0|0
Los Angeles Regional Office| 107773|801-56814|HOUSEHOLDER GROUP, ESTATE & RETIREMENT SPECIALISTS|HOUSEHOLDER GROUP, LLLP|8985 E BELL ROAD||SCOTTSDALE AZ 85260|USA|||  ||D. MATTHEW ZIENTY|602-604-0600|Other (specify)|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers, Other|APPROVED|09/01/1999|0|0|0|0|0|0
Los Angeles Regional Office| 107806|801-57506|CLAREMONT FINANCIAL GROUP,INC.|CLAREMONT FINANCIAL GROUP,INC.|464 NORTH INDIAN HILL BLVD||CLAREMONT CA 91711-4650|USA|||  ||LAURA LYON|(909)624-9200|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/11/2000|3|0|0|0|0|0
Los Angeles Regional Office| 107877|801-55761|ALETHEIA RESEARCH AND MANAGEMENT INC|ALETHEIA RESEARCH AND MANAGEMENT INC|100 WILSHIRE BLVD, SUITE 1960||SANTA MONICA CA 90401|USA|||  ||ROGER B. PEIKIN|310-899-0800|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/19/1998|0|0|0|0|0|0
Los Angeles Regional Office| 107878|801-55927|WARD & ASSOCIATES|WARD & ASSOCIATES|17538 CIRCA ORIENTE||RANCHO SANTA FE CA 92067|USA|PO BOX 8710||RANCHO SANTA FE CA 92067|USA|KEVIN ANDREW WARD|858-759-5330|Partnership|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|10/19/1998|0|0|0|0|0|0
Los Angeles Regional Office| 107880|801-55634|CANYON CAPITAL REALTY ADVISORS LLC|CANYON CAPITAL REALTY ADVISORS LLC|2000 AVENUE OF THE STARS|11TH FLOOR|LOS ANGELES CA 90067|USA|||  ||K. ROBERT (BOBBY) TURNER|310-272-1000|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/18/1998|0|1|0|0|0|0
Los Angeles Regional Office| 107901|801-39752|CONCORD INVESTMENT COUNSEL|CONCORD INVESTMENT COUNSEL|2020 MAIN STREET|SUITE 300|IRVINE CA 92614|USA|||  ||MITCHELL A. PLETCHER|949.852.4100|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|09/04/1991|0|0|0|0|0|0
Los Angeles Regional Office| 107919|801-57145|TOWER ASSET MANAGEMENT LLC|TOWER ASSET MANAGEMENT LLC|8350 WILSHIRE BLVD||BEVERLY HILLS CA 90211|USA|||  ||JON LAM|323-658-4466|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/30/1999|0|3|0|0|0|0
Los Angeles Regional Office| 107922|801-55592|CANYON CAPITAL ADVISORS LLC|CANYON CAPITAL ADVISORS LLC|2000 AVENUE OF THE STARS|11TH FLOOR|LOS ANGELES CA 90067|USA|||  ||DOUG ANDERSON|310-272-1360|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/18/1998|0|1|0|0|0|0
Los Angeles Regional Office| 107949|801-57689|GEORGINA ASSET MANAGEMENT LLC|GEORGINA ASSET MANAGEMENT LLC|270 18TH STREET||SANTA MONICA CA 90402|USA|||  ||ROBERT H. LIPP|310-395-2679|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|06/23/2000|0|0|0|0|0|0
Los Angeles Regional Office| 107965|801-37721|AMERICAN REALTY ADVISORS|AMERICAN REALTY ADVISORS|801 N BRAND BLVD, SUITE 800||GLENDALE CA 91203-1237|USA|||  ||KRISTIN ADRIAN|818-409-3269|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Other|APPROVED|11/15/1990|0|0|0|0|0|0
Los Angeles Regional Office| 107969|801-55028|RELATIONAL INVESTORS LLC|RELATIONAL INVESTORS LLC|12400 HIGH BLUFF DR.|SUITE 600|SAN DIEGO CA 92130|USA|||  ||SANIJE PERRETT|858-704-3333|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/13/1997|0|0|0|0|0|0
Los Angeles Regional Office| 108010|801-57540|NATIONAL FIDUCIARY ADVISORS, INC.|NATIONAL FIDUCIARY ADVISORS, INC.|11845 W OLYMPIC BLVD, SUITE 735||LOS ANGELES CA 90064|USA|||  ||EDWARD GODFREY|310-444-5220|Corporation|Pension consulting services, Other|APPROVED|05/04/2000|0|0|0|0|0|0
Los Angeles Regional Office| 108012|801-57910|KENSINGTON INVESTMENT COUNSEL|KENSINGTON INVESTMENT COUNSEL|444 W. OCEAN BLVD.|SUITE 1401|LONG BEACH CA 90802|USA|||  ||RICHARD WIMBISH|562  983-6677|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/16/2004|0|0|0|0|0|0
Los Angeles Regional Office| 108013|801-64241|ANDREWS CAPITAL MANAGEMENT INC|ANDREWS CAPITAL MANAGEMENT INC|1224 TENTH STREET, SUITE 203||CORONADO CA 92118|USA|||  ||MARK W. ANDREWS|619-435-8866|Corporation|Portfolio management for individuals and/or small businesses, Financial planning services|APPROVED|03/15/2005|0|0|0|0|0|0
Los Angeles Regional Office| 108016|801-54251|PATHWAY CAPITAL MANAGEMENT LLC|PATHWAY CAPITAL MANAGEMENT LLC|2211 MICHELSON|NINTH FLOOR|IRVINE CA 92612|USA|||  ||CURTIS GERLACH|949.622.1000|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/11/1997|0|0|0|0|0|0
Los Angeles Regional Office| 108020|801-55289|ZEPHYR INVESTMENT MANAGEMENT|ZEPHYR INVESTMENT MANAGEMENT|3625 EAST THOUSAND OAKS BLVD|#145|WESTLAKE VILLAGE CA 91362|USA|||  ||MARSHA ROUBIDOUX|805-496-6810|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|04/03/1998|0|0|0|0|0|0
Los Angeles Regional Office| 108029|801-55787|JACKSON FINANCIAL MANAGEMENT|JACKSON FINANCIAL MANAGEMENT|151 KALMUS DRIVE, SUITE H7||COSTA MESA CA 92626|USA|||  ||TRACY O. JACKSON, MS, CFP|714-434-6900|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters, Other|APPROVED|08/06/1998|0|0|0|0|0|0
Los Angeles Regional Office| 108033|801-56675|CLIFFORD SWAN INVESTMENT COUNSEL LLC|CLIFFORD SWAN INVESTMENT COUNSEL LLC|200 SOUTH LOS ROBLES AVE|STE 320|PASADENA CA 91101-2479|USA|||  ||KATHLEEN HABEGGER|626-793-0377|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/27/1999|0|0|0|0|0|0
Los Angeles Regional Office| 108042|801-57217|BISHOP STREET CAPITAL MANAGEMENT|BISHOP STREET CAPITAL MANAGEMENT CORP|FIRST HAWAIIAN CENTER|999 BISHOP STREET, SUITE 2806|HONOLULU HI 96813|USA|POST OFFICE BOX 3708||HONOLULU HI 96811|USA|RYAN USHIJIMA|808.525.5120|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/17/2000|0|1|0|0|0|0
Los Angeles Regional Office| 108064|801-55723|HAYES & ASSOCIATES ACCOUNTANCY CORP|HAYES & ASSOCIATES ACCOUNTANCY CORP|1001 B AVENUE|SUITE 211|CORONADO CA 92118|USA|||  ||CHARLES W. HAYES|619-435-4195|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|08/11/1998|0|0|0|0|0|0
Los Angeles Regional Office| 108072|801-56373|ROBERT PRISKE, LLC|ROBERT PRISKE, LLC|SUITE 201|4211 WAIALAE AVE.|HONOLULU HI 96816-5312|USA|||  ||ROBERT PRISKE|(808)735-8882|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|03/29/1999|0|0|0|0|0|0
Los Angeles Regional Office| 108080|801-55342|OAKWOOD CAPITAL MANAGEMENT LLC|OAKWOOD CAPITAL MANAGEMENT LLC|1990 SOUTH BUNDY DRIVE, SUITE 777||LOS ANGELES CA 90025|USA|||  ||NICANOR MABUNGA MAMARIL|310-772-2600|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/19/1998|0|0|0|0|0|0
Los Angeles Regional Office| 108082|801-55405|JAFFE ASSET MANAGEMENT LLC|JAFFE ASSET MANAGEMENT LLC|9454 WILSHIRE BLVD|STE 600|BEVERLY HILLS CA 90212|USA|||  ||MARSHALL JAFFE|310-858-0700|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/01/1998|0|0|0|0|0|0
Los Angeles Regional Office| 108088|801-55148|HOLDEN SECURITIES MANAGEMENT INC|HOLDEN SECURITIES MANAGEMENT INC|14050 SADDLEBOW DRIVE||RENO NV 89511|USA|59 DAMONTE RANCH PKWY #358||RENO NV 89521|USA|ROGER J. HOLDEN|914-833-9142|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|01/13/1998|0|0|0|0|0|0
Los Angeles Regional Office| 108114|801-57574|D&M CAPITAL MANAGEMENT, INC.|D&M CAPITAL MANAGEMENT, INC.|3189 PULLMAN STREET||COSTA MESA CA 92626|USA|||  ||KARA L. DUCKWORTH|714-433-2100|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|05/31/2000|0|0|0|0|0|0
Los Angeles Regional Office| 108117|801-57532|BUEHLER CAPITAL MANAGEMENT LLC|BUEHLER CAPITAL MANAGEMENT LLC|2810 NORTH SWAN ROAD, SUITE 160||TUCSON AZ 85712|USA|||  ||NANCY BUEHLER|520-529-2200|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/09/2000|0|0|0|0|0|0
Los Angeles Regional Office| 108126|801-57081|RINCON PACIFIC MANAGEMENT INC|RINCON PACIFIC MANAGEMENT INC|2340 SOUTH EL CAMINO REAL, SUITE 6||SAN CLEMENTE CA 92672|USA|||  ||SARAH S. MACALLISTER|949 369-0383|Corporation|Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters, Market timing services|APPROVED|12/27/1999|0|0|0|0|0|0
Los Angeles Regional Office| 108131|801-56034|MERIDIAN CAPITAL MANAGEMENT INC|MERIDIAN CAPITAL MANAGEMENT INC|4332 CERRITOS AVENUE, STE 100||LOS ALAMITOS CA 90720|USA|||  ||MARLEEN SCHEFFY|818-246-9634|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/18/1998|0|0|0|0|0|0
Los Angeles Regional Office| 108135|801-57784|CADINHA & CO LLC|CADINHA & CO LLC|900 FORT ST. MALL, STE. 1240||HONOLULU HI 96813-3713|USA|||  ||NEIL ROSE|808-523-9488|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|06/22/2000|0|0|0|0|0|0
Los Angeles Regional Office| 108145|801-55835|BARNES INVESTMENT ADVISORY INC|BARNES INVESTMENT ADVISORY INC|7250 NORTH 16TH STREET|STE 412|PHOENIX AZ 85020-5264|USA|||  ||MICHELLE BURTON|602-248-9099 EXT. 125|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|08/01/1998|0|0|0|0|0|0
Los Angeles Regional Office| 108160|801-56343|GRANDVIEW CAPITAL MANAGEMENT LLC|GRANDVIEW CAPITAL MANAGEMENT LLC|820 MANHATTAN AVENUE|SUITE 200|MANHATTAN BEACH CA 90266|USA|||  ||ROBERT SYDOW|310 376 5274|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/17/1999|0|0|0|0|0|0
Los Angeles Regional Office| 108162|801-57158|JRL CAPITAL ADVISORS LLC|JRL CAPITAL ADVISORS LLC|1301 DOVE STREET|SUITE 330|NEWPORT BEACH CA 92660|USA|||  ||LARRY R. LAW|949-660-8833|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|01/11/2000|0|1|0|0|0|0
Los Angeles Regional Office| 108163|801-56288|SEIA|SIGNATURE ESTATE & INVESTMENT ADVISORS LLC|2121 AVENUE OF THE STARS|SUITE 1600|LOS ANGELES CA 90067|USA|||  ||BRIAN D. HOLMES, MS, CFP, CMFC|310-712-2323|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/23/1999|0|0|0|0|0|0
Los Angeles Regional Office| 108186|801-57311|ODYSSEY ADVISORS LLC|ODYSSEY ADVISORS LLC|6033 WEST CENTURY BOULEVARD|SUITE 1110|LOS ANGELES CA 90045|USA|||  ||KIMBERLY YUN CHOI-LINDLEY|310-568-4700|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|03/17/2000|0|0|0|0|0|0
Los Angeles Regional Office| 108188|801-55371|IWAMOTO KONG|IWAMOTO KONG & CO INC|19200 VON KARMAN AV., STE. 1030||IRVINE CA 92612|USA|||  ||MARK K. IWAMOTO|949-253-8888|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|03/20/1998|0|0|0|0|0|0
Los Angeles Regional Office| 108235|801-56793|KRAKOWIAK FREDERICK ALAN|KRAKOWIAK FREDERICK ALAN|8115 E INDIAN BEND RD|SUITE 117|SCOTTSDALE AZ 85250|USA|||  ||FRED A KRAKOWIAK|480 889 3732|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/30/1999|0|0|0|0|0|0
Los Angeles Regional Office| 108236|801-60145|CAPITAL GUARDIAN TRUST COMPANY|CAPITAL GUARDIAN TRUST COMPANY|333 SOUTH HOPE STREET|55TH FLOOR|LOS ANGELES CA 90071-1406|USA|11100 SANTA MONICA BLVD.|15TH FLOOR|LOS ANGELES CA 90025-3384|USA|PETER C. KELLY|(310) 996-6204|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/27/2001|0|0|0|0|0|0
Los Angeles Regional Office| 108245|801-57864|FINANCIAL ALTERNATIVES, INC.|FINANCIAL ALTERNATIVES, INC.|FINANCIAL ALTERNATIVES, INC.|7734 HERSCHEL AVENUE, SUITE L|LA JOLLA CA 92037|USA|||  ||JAMES FREEMAN|858-459-8289|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/25/2000|0|0|0|0|0|0
Los Angeles Regional Office| 108258|801-67961|IMPERIAL CAPITAL ASSET MANAGEMENT LLC|IMPERIAL CAPITAL ASSET MANAGEMENT LLC|2000 AVENUE OF THE STARS, SUITE 900, SOUTH TOWER||LOS ANGELES CA 90067|USA|||  ||CATHERINE ELLIS SCHAFER|310-246-3796|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/18/2007|0|0|0|0|0|0
Los Angeles Regional Office| 108278|801-42015|AFFINITY INVESTMENT ADVISORS, LLC|AFFINITY INVESTMENT ADVISORS, LLC|18191 VON KARMAN AVE|SUITE 420|IRVINE CA 92612|USA|||  ||JEFFREY RANDOLPH|949-660-6373|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/28/1992|0|0|0|0|0|0
Los Angeles Regional Office| 108296|801-57835|ADVANCED FINANCIAL STRATEGIES INC|ADVANCED FINANCIAL STRATEGIES INC|5 HUBBLE||IRVINE CA 92618|USA|||  ||PIERRE NGOC NGO|949-450-1450|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|08/04/2000|0|0|0|0|0|0
Los Angeles Regional Office| 108300|801-57827|AMERICAN RETIREMENT PLANNING GROUP INC|AMERICAN RETIREMENT PLANNING GROUP INC|6390 W. CHEYENNE AVENUE, #B||LAS VEGAS NV 89108|USA|||  ||DWIGHT A. MACHAEL|702-655-8300|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Market timing services|APPROVED|03/31/2006|0|0|0|0|0|0
Los Angeles Regional Office| 108306|801-56892|SAVEDAILY.COM, INC.|SAVEDAILY.COM, INC.|3020 OLD RANCH PARKWAY|SUITE 140|SEAL BEACH CA 90740|USA|||  ||KENNETH P. CARROLL|562-795-7500|Corporation|Publication of periodicals or newsletters, Other|APPROVED|10/08/1999|0|0|0|0|0|0
Los Angeles Regional Office| 108335|801-10966|GARY EUGENE GIBBONS DBA THE COLERIDGE GROUP|GIBBONS GARY EUGENE|8628 N SKYLINE DR||PHOENIX AZ 85028|USA|||  ||DR. GARY GIBBONS|480 596-6874|Sole Proprietorship|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/21/1975|0|0|0|0|0|0
Los Angeles Regional Office| 108355|801-60247|THE PLANNERS NETWORK, INC.|THE PLANNERS NETWORK, INC.|42145 LYNDIE LANE|SUITE 116|TEMECULA CA 92591|USA|||  ||KAREN B. LOCKLIN|951-676-6288|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Market timing services, Other|APPROVED|05/11/2001|0|0|0|0|0|0
Los Angeles Regional Office| 108390|801-56863|GUILD INVESTMENT MANAGEMENT INC|GUILD INVESTMENT MANAGEMENT INC|12400 WILSHIRE BLVD.|SUITE 1080|LOS ANGELES CA 90025|USA|||  ||ANTHONY R. DANAHER|310-826-8600|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/28/1999|0|0|0|0|0|0
Los Angeles Regional Office| 108404|801-56735|CORNERSTONE WEALTH MANAGEMENT|CORNERSTONE WEALTH MANAGEMENT LLC|17140 BERNARDO CENTER DRIVE|SUITE 206|SAN DIEGO CA 92128|USA|||  ||TRINIDAD ARGUIMBAU|858-676-1000|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|08/05/1999|0|1|0|0|0|0
Los Angeles Regional Office| 108449|801-55656|GRATTAN FINANCIAL STRATEGIES, INC.|GRATTAN FINANCIAL STRATEGIES, INC.|8814 E HUNTINGTON DRIVE||SAN GABRIEL CA 91775-1271|USA|||  ||GEORGENE M. GRATTAN|626-451-0840|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|06/19/1998|0|0|0|0|0|0
Los Angeles Regional Office| 108456|801-57630|SKOWRUP C E & CO|SKOWRUP C E & CO|32107 LINDERO CANYON ROAD|SUITE 211|WESTLAKE VILLAGE CA 91361-4282|USA|||  ||CRAIG E SKOWRUP|(818) 865-3680|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/26/2000|0|0|0|0|0|0
Los Angeles Regional Office| 108459|801-55154|FOOTHILLS ASSET MANAGEMENT LTD|FOOTHILLS ASSET MANAGEMENT LTD|8767 E. VIA DE VENTURA|SUITE 175|SCOTTSDALE AZ 85258|USA|||  ||KRISTINA LUMSDEN|480-777-9870|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/06/1998|0|0|0|0|0|0
Los Angeles Regional Office| 108475|801-56919|FINANCIAL DIRECTIONS LLC|FINANCIAL DIRECTIONS LLC|1228 EAST PRINCE ROAD||TUCSON AZ 85719|USA|||  ||MARY CHERBA|520-408-7777|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|10/18/1999|0|0|0|0|0|0
Los Angeles Regional Office| 108484|801-57758|COAST ASSET MANAGEMENT, LLC|COAST ASSET MANAGEMENT, LLC|2450 COLORADO AVENUE|SUITE 100, EAST TOWER|SANTA MONICA CA 90404|USA|||  ||SUSAN MOSHER|(310) 633-2387|Limited Liability Company|Selection of other advisers, Other|APPROVED|07/20/2000|0|0|0|0|0|0
Los Angeles Regional Office| 108488|801-57089|TRANSAMERICA INVESTMENT MANAGEMENT, LLC|TRANSAMERICA INVESTMENT MANAGEMENT, LLC|11111 SANTA MONICA BLVD|SUITE 820|LOS ANGELES CA 90025|USA|||  ||EMME DEVONISH|310-996-3267|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/17/1999|0|1|0|0|0|0
Los Angeles Regional Office| 108502|801-26834|STEVENS FIRST PRINCIPLES INVESTMENT ADVISORS|STEVENS FIRST PRINCIPLES INVESTMENT ADVISORS|4100 NEWPORT PLACE DR.|SUITE 720|NEWPORT BEACH CA 92660|USA|PO BOX 7428||NEWPORT BEACH CA 92658|USA|STEVEN YAMSHON|949-251-9333|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/29/1986|0|0|0|0|0|0
Los Angeles Regional Office| 108517|801-30528|AL FRANK ASSET MANAGEMENT INC|AL FRANK ASSET MANAGEMENT INC|32392 COAST HIGHWAY|SUITE 260|LAGUNA BEACH CA 92651-6784|USA|||  ||DIANE PECK|949 715-3461|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|07/31/1987|0|0|0|0|0|0
Los Angeles Regional Office| 108554|801-55013|BLAVIN & COMPANY, INC.|BLAVIN & COMPANY, INC.|7025 NORTH SCOTTSDALE ROAD|SUITE 230|SCOTTSDALE AZ 85253|USA|||  ||MICHAEL H. SPALTER|(480)368-1513|Corporation|Other|APPROVED|11/10/1997|0|0|0|0|0|0
Los Angeles Regional Office| 108555|801-56405|SEAGATE GLOBAL ADVISORS LLC|SEAGATE GLOBAL ADVISORS LIMITED LIABILITY COMPANY|119 WEST TORRANCE BOULEVARD|SUITE 2|REDONDO BEACH CA 90277|USA|||  ||MIKE REVELEY|(310) 937-0665|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|04/02/1999|0|0|0|0|0|0
Los Angeles Regional Office| 108564|801-56268|KAHALA FINANCIAL ADVISORS, LLC|KAHALA FINANCIAL ADVISORS, LLC|4211 WAIALAE AVE, SUITE 407||HONOLULU HI 96816|USA|||  ||GREG MIYASHIRO|808-734-7665|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/12/1999|0|0|0|0|0|0
Los Angeles Regional Office| 108568|801-56610|KOLL BREN SCHREIBER REALTY ADVISORS, INC.|KOLL BREN SCHREIBER REALTY ADVISORS, INC.|620 NEWPORT CENTER DR., SUITE 1300||NEWPORT BEACH CA 92660|USA|||  ||KROTINE, MARK A.|(949) 417-6500|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Other|APPROVED|06/25/1999|0|0|0|0|0|0
Los Angeles Regional Office| 108602|801-55033|FFR ADVISORY|FFR ADVISORY LLC|3010 OLD RANCH PKWY|STE 260|SEAL BEACH CA 90740|USA|||  ||DAVID HENNEY|310-571-1277|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|11/14/1997|0|1|1|0|0|0
Los Angeles Regional Office| 108603|801-11453|DUNVEGAN ASSOCIATES INC|DUNVEGAN ASSOCIATES INC|1114 STATE STREET||SANTA BARBARA CA 93101|USA|||  ||A. C. MOORE|805-969-5432|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters, Market timing services|APPROVED|04/08/1976|0|0|0|0|0|0
Los Angeles Regional Office| 108618|801-55484|RNC GENTER CAPITAL MANAGEMENT|RNC CAPITAL MANAGEMENT LLC|11601 WILSHIRE BLVD., 25TH FLOOR||LOS ANGELES CA 90025|USA|||  ||MANUEL A. GUTIERREZ|310-477-6543|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/01/1998|0|0|0|0|0|0
Los Angeles Regional Office| 108672|801-57554|GLASS FINANCIAL SERVICES INC|GLASS FINANCIAL SERVICES INC|4455 EAST CAMELBACK ROAD|SUITE 260D|PHOENIX AZ 85018-3977|USA|||  ||DOUGLAS W. COLE|602-952-1202|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/11/2000|0|0|0|0|0|0
Los Angeles Regional Office| 108674|801-31648|DAVIS SELECTED ADVISERS LP|DAVIS SELECTED ADVISERS LP|2949 EAST ELVIRA ROAD|SUITE 101|TUCSON AZ 85706|USA|||  ||THOMAS TAYS|(520) 434-3771|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/01/1988|0|3|1|0|0|0
Los Angeles Regional Office| 108676|801-56452|HELLER CAPITAL RESOURCES|HELLER CAPITAL RESOURCES FINANCIAL & INSURANCE SERVICES INC.|11835 OLYMPIC BLVD, SUITE 360||LOS ANGELES CA 90064|USA|||  ||GREGORY SANDOR HELLER|(310) 473-5445|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|04/16/1999|0|0|0|0|0|0
Los Angeles Regional Office| 108716|801-56657|VALUE TREND CAPITAL MANAGEMENT LP|VALUE TREND CAPITAL MANAGEMENT LP|480 NORTH MAGNOLIA AVENUE, SUITE 103||EL CAJON CA 92020|USA|||  ||ROSS C. PROVENCE|619-588-9700|Limited Liability Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/22/1999|0|1|0|0|0|0
Los Angeles Regional Office| 108724|801-18297|SCHULTZ FINANCIAL GROUP INCORPORATED|SCHULTZ FINANCIAL GROUP INCORPORATED|10765 DOUBLE R BLVD|SUITE 200|RENO NV 89521|USA|||  ||VICKI P. SCHULTZ|775-850-5620|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/27/1983|0|0|0|0|0|0
Los Angeles Regional Office| 108737|801-54570|MAUL CAPITAL MANAGEMENT|MAUL CAPITAL MANAGEMENT INC|1160 N. TOWN CENTER DR|SUITE 350|LAS VEGAS NV 89144|USA|||  ||MARGARET E. MAUL|702-360-3780|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|06/10/1997|0|1|0|0|0|0
Los Angeles Regional Office| 108740|801-55059|PACWEST FINANCIAL MANAGEMENT INC|PACWEST FINANCIAL MANAGEMENT, INC.|1643 E. BETHANY HOME RD.||PHOENIX AZ 85016|USA|||  ||ELLIOT KAUFFMAN|602-997-8882|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|11/25/1997|0|0|0|0|0|0
Los Angeles Regional Office| 108743|801-57674|FINANCIAL COUNSELING RESOURCES LLC|FINANCIAL COUNSELING RESOURCES LLC|4281 KATELLA AVENUE|SUITE 221|LOS ALAMITOS CA 90720|USA|||  ||LIANNE N. LARSON|714-236-8290|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|06/16/2000|0|0|0|0|0|0
Los Angeles Regional Office| 108744|801-57394|MILLENNIUM INVESTMENT SERVICES|MILLENNIUM INVESTMENT SERVICES|16217 KITTRIDGE STREET||VAN NUYS CA 91406|USA|||  ||ANTHONY MICHAEL REED|818-902-5544|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|03/17/2000|0|0|0|0|0|0
Los Angeles Regional Office| 108767|801-11341|GKV CAPITAL MANAGEMENT CO INC|GKV CAPITAL MANAGEMENT CO INC|125  AUBURN COURT, SUITE 200||WESTLAKE VILLAGE CA 91362|USA|||  ||PETER W.VOGEL|805-497-2616|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/12/1976|0|0|0|0|0|0
Los Angeles Regional Office| 108801|801-42879|PERSONAL FINANCIAL MANAGEMENT|BRENNAN JOHN DAVID|1001 B AVENUE|SUITE 307|CORONADO CA 92118-3425|USA|||  ||JOHN D. BRENNAN|619-435-1600|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|12/01/1992|0|0|0|0|0|0
Los Angeles Regional Office| 108811|801-36879|KIPP BRANT DRUMMOND & ASSOCIATES, INC.|KIPP BRANT DRUMMOND & ASSOCIATES, INC.|950 COUNTY SQUARE DRIVE|SUITE 211|VENTURA CA 93003|USA|||  ||JULIE A. PRITCHARD|805-650-7654|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|06/29/1990|0|0|0|0|0|0
Los Angeles Regional Office| 108832|801-55521|ROXBURY CAPITAL MANAGEMENT LLC|ROXBURY CAPITAL MANAGEMENT LLC|100 WILSHIRE BLVD|STE 1000|SANTA MONICA CA 90401-1121|USA|||  ||JOHN QUEEN|310 917-6077|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|05/07/1998|0|1|0|0|0|0
Los Angeles Regional Office| 108854|801-56932|GLOBAL TRENDS INVESTMENTS|LYDON ASSET MANAGEMENT INC|1300 BRISTOL ST NORTH|SUITE 208|NEWPORT BEACH CA 92660-2951|USA|||  ||THOMAS F. LYDON JR.|(949)794-0070|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|10/26/1999|0|0|0|0|0|0
Los Angeles Regional Office| 108860|801-57939|POST ADVISORY GROUP, LLC|POST ADVISORY GROUP, LLC|11755 WILSHIRE BLVD.|SUITE 1400|LOS ANGELES CA 90025|USA|||  ||ANN MARIE SWANSON|(310) 996-9600|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/18/2000|0|1|0|0|0|0
Los Angeles Regional Office| 108870|801-55721|METZLER-PAYDEN, LLC|METZLER-PAYDEN, LLC|333 S GRAND AVENUE|31ST FLOOR|LOS ANGELES CA 90071|USA|||  ||EDWARD S. GARLOCK|213-830-4255|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/16/1998|0|0|0|0|0|0
Los Angeles Regional Office| 108882|801-7739|TOWNELEY CAPITAL MANAGEMENT, INC.|TOWNELEY CAPITAL MANAGEMENT, INC.|23197 LA CADENA DRIVE, SUITE 103||LAGUNA HILLS CA 92653|USA|||  ||ROBYN L. BAHLINGER|800-545-4442|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/01/1971|0|0|0|0|0|0
Los Angeles Regional Office| 108923|801-56666|FIRST AMERICAN TRUST|FIRST AMERICAN TRUST FSB|5 FIRST AMERICAN WAY||SANTA ANA CA 92707|USA|||  ||DIMETRIA A. JACKSON|(714)250-8267|Other (specify)|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|07/06/1999|0|0|0|0|0|0
Los Angeles Regional Office| 108937|801-57435|THOMAS PROPERTIES GROUP ADVISOR, LLC|THOMAS PROPERTIES GROUP ADVISOR LLC|515 SOUTH FLOWER STREET|SUITE 600|LOS ANGELES CA 90071|USA|||  ||ROBERT D. MORGAN|213-830-2274|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/07/2000|0|0|0|0|0|0
Los Angeles Regional Office| 108963|801-55844|MUTUAL FUNDS LEADER INC|MUTUAL FUNDS LEADER INC|1310 EAST OCEAN BLVD., UNIT #1401||LONG BEACH CA 90802|USA|||  ||RAJENDRA PRASAD|562-951-8227|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies|APPROVED|09/04/1998|0|0|0|0|0|0
Los Angeles Regional Office| 108989|801-57416|PACIFIC ALTERNATIVE ASSET MANAGEMENT CO LLC|PACIFIC ALTERNATIVE ASSET MANAGEMENT CO LLC|19540 JAMBOREE RD|SUITE 400|IRVINE CA 92612|USA|||  ||PATRICIA WATTERS|(949) 261-4900|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|03/31/2000|0|0|0|0|0|0
Los Angeles Regional Office| 109047|801-30451|ROGER ARTHUR BOWERS|ROGER ARTHUR BOWERS|13382 KOOTENAY||SANTA ANA CA 92705|USA|BOX 11648||SANTA ANA CA 92711|USA|ROGER BOWERS|714-730-0766|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|09/14/1987|0|0|0|0|0|0
Los Angeles Regional Office| 109075|801-60069|RICHARD NEY & ASSOCIATES ASSET MANAGEMENT, INC.|RICHARD NEY & ASSOCIATES ASSET MANAGEMENT, INC.|800 S. SAN RAFAEL AVENUE||PASADENA CA 91105|USA|P. O. BOX 92223||PASADENA CA 91109|USA|MEI-LEE NEY|(626) 441-2222|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|03/02/2001|0|0|0|0|0|0
Los Angeles Regional Office| 109143|801-57978|INDEX FUNDS ADVISORS, INC.|INDEX FUNDS ADVISORS, INC.|19100 VON KARMAN AVENUE|SUITE 450|IRVINE CA 92612-6566|USA|||  ||DAVID MERTZ|949-502-0056|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|09/28/2000|0|0|0|0|0|0
Los Angeles Regional Office| 109166|801-57487|FR FUND MANAGEMENT LLC|FR FUND MANAGEMENT LLC|10900 WILSHIRE BLVD.|SUITE 900|LOS ANGELES CA 90024|USA|||  ||ANN L. HOULIHAN|310-208-4938|Limited Liability Company|Selection of other advisers|APPROVED|05/02/2000|0|1|0|0|0|0
Los Angeles Regional Office| 109175|801-57715|THE ADVISORY GROUP|TAG FINANCIAL INC|20955 PATHFINDER ROAD|SUITE 110|DIAMOND BAR CA 91765|USA|||  ||BRENT JAMES BEVERLY|909.869.7880|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|07/06/2000|0|0|0|0|0|0
Los Angeles Regional Office| 109187|801-58145|ACCOUNTANTS FINANCIAL ALLIANCE, INC.|ACCOUNTANTS FINANCIAL ALLIANCE, INC.|26637 W. AGOURA ROAD||CALABASAS CA 91302|USA|||  ||KRISTEN TABKE|818-708-0111|Corporation|Financial planning services, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|11/20/2000|0|0|1|0|0|0
Los Angeles Regional Office| 109199|801-54880|SAI CAPITAL MANAGEMENT LLC|SAI CAPITAL MANAGEMENT LLC|3010 OLD RANCH PKWY|STE 260|SEAL BEACH CA 90740-2750|USA|||  ||RONALD O. KINDSCHI|(562) 596-8521|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/16/1997|0|2|0|0|0|0
Los Angeles Regional Office| 109254|801-57712|LIBERTY CAPITAL MANAGEMENT, INC.|LIBERTY CAPITAL MANAGEMENT, INC.|1811 EAST GARRY AVENUE||SANTA ANA CA 92705|USA|||  ||RONALD S. LATIN|(949)724-8848|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/03/2000|0|0|0|0|0|0
Los Angeles Regional Office| 109271|801-58077|WOODLAND LEISHMAN & ASSOCIATES|WOODLAND LEISHMAN & ASSOCIATES|5075 S. BRADLEY ROAD|SUITE 234|SANTA MARIA CA 93455|USA|||  ||JULIE A DARRAH|805-937-4556|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|11/08/2000|0|0|0|0|0|0
Los Angeles Regional Office| 109281|801-66298|ROSEN CAPITAL MANAGEMENT LLC|ROSEN CAPITAL MANAGEMENT LLC|2400 BROADWAY|SUITE 220|SANTA MONICA CA 90404|USA|||  ||JOHN KYLE ROSEN|310-636-1465|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/24/2006|0|0|0|0|0|0
Los Angeles Regional Office| 109282|801-56347|VIEWPOINT INVESTMENT PARTNERS|VIEWPOINT INVESTMENT PARTNERS|3238 OLIVENHAIN FARMS RD||ENCINITAS CA 92024|USA|P.O. BOX 239006||ENCINITAS CA 92023-9006|USA|MARSHA L. HARMON|858/704-1325|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/18/1999|0|0|0|0|0|0
Los Angeles Regional Office| 109329|801-57510|KAYE CAPITAL MANAGEMENT|KAYE CAPITAL MANAGEMENT|11835 WEST OLYMPIC BLVD|SUITE 385 EAST|LOS ANGELES CA 90064|USA|||  ||MARVYN EARL KAYE|310-207-5293|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|04/21/2000|0|0|0|0|0|0
Los Angeles Regional Office| 109334|801-55437|STANLEY & STANLEY|STANLEY D J & CO INC|10825 SAVONA RD||LOS ANDELES CA 90077|USA|||  ||CAROLE T. STANLEY|310.472.6319|Corporation|Other|APPROVED|05/15/1998|0|0|0|0|0|0
Los Angeles Regional Office| 109340|801-57332|LA JOLLA INSTITUTE FOR WEALTH MANAGEMENT|PROFESSIONAL PLANNING COUNSEL, INC.|7946 IVANHOE AVENUE, SUITE 216||LA JOLLA CA 92037|USA|||  ||MARTIN S. JOHNSON|858-459-8818|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|04/21/2000|0|0|0|0|0|0
Los Angeles Regional Office| 109376|801-58087|BAUER CAPTAIN & JOHNSON, INC.|BAUER CAPTAIN & JOHNSON, INC.|6720 NORTH SCOTTSDALE ROAD|SUITE 170|SCOTTSDALE AZ 85253|USA|||  ||DAVID D. CARROLL|(480) 483-1510|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|11/15/2000|0|1|0|0|0|0
Los Angeles Regional Office| 109398|801-56475|BENHAM & GREEN CAPITAL MANAGEMENT LLC|BENHAM & GREEN CAPITAL MANAGEMENT LLC|1299 PROSPECT STREET, STE 301||LA JOLLA CA 92037|USA|||  ||JAMES A. BENHAM|858-551-3130|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|05/14/1999|0|0|0|0|0|0
Los Angeles Regional Office| 109404|801-57326|I FINANCIAL|INDEPENDENT FINANCIAL ADVISORS LLC|5995 BROCKTON AVENUE, SUITE B||RIVERSIDE CA 92506-1867|USA|||  ||MICHAEL CREE|951-328-0894|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|04/03/2000|0|1|1|0|0|0
Los Angeles Regional Office| 109409|801-62784|YOUR SOURCE FINANCIAL|YOUR SOURCE FINANCIAL, PLC.|707 E. NORTHERN AVE.||PHOENIX AZ 85020|USA|||  ||GEORGE COLLETT|602-343-1700|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/13/2004|0|0|0|0|0|0
Los Angeles Regional Office| 109415|801-57690|STELLAR CAPITAL MANAGEMENT LLC|STELLAR CAPITAL MANAGEMENT LLC|2200 EAST CAMELBACK ROAD|SUITE 130|PHOENIX AZ 85016|USA|||  ||STEPHEN J. TADDIE|602-778-0307|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|06/28/2000|0|0|0|0|0|0
Los Angeles Regional Office| 109480|801-56225|DEAN CONSULTING & ASSOCIATES|DEAN MARY KATHERINE|16885 WEST BERNARDO DRIVE, SUITE 209||SAN DIEGO CA 92127|USA|P.O. BOX 270408||SAN DIEGO CA 92198-2408|USA|MARY KATHERINE DEAN|858-485-8547|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|02/02/1999|0|0|0|0|0|0
Los Angeles Regional Office| 109482|801-57102|ALEXANDER CAPITAL MANAGEMENT, INC.|ALEXANDER CAPITAL MANAGEMENT, INC.|507 PASEO DE LA PLAYA||REDONDO BEACH CA 90277|USA|||  ||FRANCIS ALEXANDER|310-750-4226|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/17/1999|0|0|0|0|0|0
Los Angeles Regional Office| 109538|801-56572|DALTON INVESTMENTS LLC|DALTON INVESTMENTS LLC|12424 WILSHIRE BOULEVARD|SUITE 600|LOS ANGELES CA 90025|USA|||  ||JOY L. MILAN|310 882 4141|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/27/1999|0|1|0|0|0|0
Los Angeles Regional Office| 109543|801-54805|CANYADA CAPITAL MANAGEMENT, INC.|CANYADA CAPITAL MANAGEMENT, INC.|4246 BEULAH DR||LA CANADA FLINTRIDGE CA 91011|USA|||  ||JOEL IRA BENNETT|818-414-2162|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/20/1997|0|0|0|0|0|0
Los Angeles Regional Office| 109561|801-57077|PROFESSIONAL PLANNING|NACHMAN MELVYN HENRY|100 EAST THOUSAND OAKS BLVD, 152||THOUSAND OAKS CA 91360|USA|||  ||ROSANNE NACHMAN|805-446-4600|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/04/2000|0|0|0|0|0|0
Los Angeles Regional Office| 109603|801-56188|ROWLING DOLD & ASSOCIATES LLP|ROWLING DOLD & ASSOCIATES LLP|8889 RIO SAN DIEGO DRIVE, SUITE 202||SAN DIEGO CA 92108|USA|||  ||DEBRA DOLD|619 294-4800|Limited Liability Partnership|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|01/05/1999|0|0|0|0|0|0
Los Angeles Regional Office| 109627|801-57906|CAYWOOD-SCHOLL CAPITAL MANAGEMENT LLC|CAYWOOD-SCHOLL CAPITAL MANAGEMENT LLC|4350 EXECUTIVE DRIVE|SUITE 125|SAN DIEGO CA 92121|USA|||  ||ROBERT J. GOLDSTEIN|415-954-5409|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|09/05/2000|0|0|0|0|0|0
Los Angeles Regional Office| 109646|801-58110|DBA, MULLEN ADVISORY|MULLEN ADVISORY, INC.|606 N. LARCHMONT BLVD|SUITE 310|LOS ANGELES CA 90004|USA|||  ||ELIZABETH S. MULLEN|323-469-0919|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|11/09/2000|0|0|0|0|0|0
Los Angeles Regional Office| 109651|801-4211|CHURCHILL MANAGEMENT GROUP|CHURCHILL MANAGEMENT CORP|5900 WILSHIRE BLVD|SUITE 600|LOS ANGELES CA 90036|USA|||  ||EILEEN HOLMES|323-937-7110|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|02/15/1967|0|0|0|0|0|0
Los Angeles Regional Office| 109668|801-15538|SOUTHWEST MONEY MANAGEMENT INC|SOUTHWEST MONEY MANAGEMENT INC|1102 CAMINO DEL CERRITOS||SAN DIMAS CA 91773|USA|||  ||BRUCE NANCE|626-915-1838|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/04/1980|0|0|0|0|0|0
Los Angeles Regional Office| 109693|801-61887|NETASSETMANAGEMENT, INC.|NETASSETMANAGEMENT, INC.|1640 S. SEPULVEDA BOULEVARD|SUITE 300|LOS ANGELES CA 90025||POST OFFICE BOX 250003|1640 S. SEPULVEDA BLVD.|LOS ANGELES CA 90025|USA|GEORGE L ALVIN|312-827-3965|Corporation|Other, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|11/01/2002|0|0|0|0|0|0
Los Angeles Regional Office| 109766|801-14216|BENDER ROBERT & ASSOCIATES|BENDER ROBERT L INC|245 S. LOS ROBLES AVENUE|SUITE 620|PASADENA CA 91101|USA|||  ||CATHERINE EMMETT|626-397-9072|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/01/1978|0|2|0|0|0|0
Los Angeles Regional Office| 109804|801-58111|JCW PARTNERS, LLC|JCW PARTNERS, LLC|1188 BISHOP ST.|SUITE 2706|HONOLULU HI 96813-3311|USA|||  ||JOHN C. WISNIEWSKI|808-523-1116|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|12/29/2000|0|0|0|0|0|0
Los Angeles Regional Office| 109839|801-57327|TURNBERRY FINANCIAL/JONES WALL STREET, INC.|TURNBERRY FINANCIAL/JONES WALL STREET, INC.|650 HAMPSHIRE ROAD|SUITE 100|WESTLAKE VILLAGE CA 91361|USA|||  ||LAWRENCE B. BLONQUIST|805-374-2700|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|03/03/2000|0|0|0|0|0|0
Los Angeles Regional Office| 109844|801-56013|ALPHA ANALYTICS INVESTMENT GROUP LLC|ALPHA ANALYTICS INVESTMENT GROUP LLC|1901 AVENUE OF THE STARS, SUITE 1100||LOS ANGELES CA 90067|USA|||  ||JACK MCNALLY|310-556-0389|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|11/16/1998|0|0|0|0|0|0
Los Angeles Regional Office| 109849|801-44774|EAST PACIFIC INVESTMENT COMPANY INC|EAST PACIFIC INVESTMENT CO INC|1003 BISHOP STREET|PAUAHI TOWER, SUITE 1730|HONOLULU HI 96813|USA|||  ||JAMES M. BETHAM, JR.|(808)528-0056|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|09/28/1993|0|0|0|0|0|0
Los Angeles Regional Office| 109851|801-51614|CYMRIC FAMILY OFFICE SERVICES|CYMRIC FAMILY OFFICE SERVICES|151 KALMUS DRIVE|SUITE J-1|COSTA MESA CA 92626|USA|||  ||PATRICIA M. SOLDANO|714-641-1402|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/18/1996|0|0|0|0|0|0
Los Angeles Regional Office| 109852|801-46187|KASANOW & ASSOCIATES WEALTH MANAGEMENT|KASANOW HARRY GERSON|3268A PATY DRIVE||HONOLULU HI 96822|USA|||  ||HARRY G. KASANOW, CFP|808-988-1311|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Publication of periodicals or newsletters|APPROVED|03/29/1994|0|0|0|0|0|0
Los Angeles Regional Office| 109863|801-49197|SBG CAPITAL MANAGEMENT INC|SBG CAPITAL MANAGEMENT INC|107 SOUTH FAIR OAKS AVE, SUITE 315||PASADENA CA 91105|USA|||  ||JOHN P. ODELL|(626) 844-1445|Corporation|Portfolio management for investment companies|APPROVED|05/23/1995|0|0|0|0|0|0
Los Angeles Regional Office| 109868|801-56356|CAPITAL RESEARCH & CONSULTING LLC|CAPITAL RESEARCH & CONSULTING LLC|107 S FAIR OAKS AVE, SUITE 315||PASADENA CA 91105|USA|||  ||JOHN P. ODELL|(626) 844-1440|Limited Liability Company|Pension consulting services|APPROVED|03/23/1999|0|0|0|0|0|0
Los Angeles Regional Office| 109876|801-60014|REED CONNER & BIRDWELL LLC|REED CONNER & BIRDWELL LLC|11111 SANTA MONICA BLVD, SUITE 1700||LOS ANGELES CA 90025|USA|||  ||DANIELE BEASLEY|310-478-4005|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/08/2001|0|0|0|0|0|0
Los Angeles Regional Office| 109919|801-47164|CANTERBURY WEALTH ADVISORS, LLC|CANTERBURY WEALTH ADVISORS, LLC|7440 W. SAHARA AVENUE||LAS VEGAS NV 89117|USA|||  ||ROBERT W. BRUDERMAN|(702) 505-8073|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/02/1994|0|0|0|0|0|0
Los Angeles Regional Office| 109930|801-58081|COMPAK ASSET MANAGEMENT|COMPAK ASSET MANAGEMENT|8105 IRVINE CENTER DRIVE|SUITE 1100|IRVINE CA 92618|USA|||  ||MOEEZ UL-HAQ ANSARI|(800) 388-9700|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|11/06/2000|0|0|1|0|0|0
Los Angeles Regional Office| 109932|801-40417|BRONWOOD MANAGEMENT CORP|BRONWOOD MANAGEMENT CORP|11999 SAN VICENTE BLVD.|SUITE 220|LOS ANGELES CA 90049-5042|USA|||  ||JOHN J. BESSOLO, JR.|310-471-4040|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|12/17/1991|0|0|0|0|0|0
Los Angeles Regional Office| 109968|801-57593|CLIFFWOOD PARTNERS LLC|CLIFFWOOD PARTNERS LLC|11726 SAN VICENTE BLVD|SUITE 600|LOS ANGELES CA 90049|USA|||  ||CARL B. TASH|(310) 442-0370|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/12/2000|0|1|0|0|0|0
Los Angeles Regional Office| 109970|801-57176|FOCUS INVESTMENT ADVISORS|FOCUS INVESTMENT ADVISORS|511 SAXONY PLACE,|SUITE 101|ENCINITAS CA 92024|USA|||  ||ANDREW Y WASA|760-230-1880|Partnership|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|04/10/2000|0|0|0|0|0|0
Los Angeles Regional Office| 109981|801-48858|CB RICHARD ELLIS INVESTORS, LLC|CB RICHARD ELLIS INVESTORS, LLC|515 S. FLOWER STREET|SUITE 3100|LOS ANGELES CA 90071|USA|||  ||PASHA ZARGAROF|213-683-4200|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Other|APPROVED|03/30/1995|0|0|0|0|0|0
Los Angeles Regional Office| 110006|801-46785|SHORR CAPITAL MANAGEMENT|SHORR ALAN LEE|26637 W. AGOURA ROAD||CALABASAS CA 91302|USA|||  ||CINDY SCHWARTZ|818-708-0111|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/18/1994|0|0|0|0|0|0
Los Angeles Regional Office| 110063|801-28043|ALPHA+ CAPITAL MANAGEMENT|ALPHA+ CAPITAL MANAGEMENT|200 NORTH PINE AVENUE|SUITE 620|LONG BEACH CA 90802|USA|||  ||JOHN L. MAY|562-435-5650|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|10/23/1986|0|0|0|0|0|0
Los Angeles Regional Office| 110067|801-6778|ECM INVESTMENT MANAGEMENT, INC.|ECM INVESTMENT MANAGEMENT, INC.|610 NEWPORT CENTER DRIVE|SUITE 220|NEWPORT BEACH CA 92660-8036|USA|||  ||LESTER W.ENGEBRETSON|949-759-9684|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/28/1970|0|1|0|0|0|0
Los Angeles Regional Office| 110073|801-26994|DELAROCHE & CO INC|DELAROCHE & CO INC|3715 MARKET STREET, SUITE 112||GLENDALE CA 91208|USA|||  ||KEVIN J. WILLIAMS|818-957-3157|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/02/1986|0|0|0|0|0|0
Los Angeles Regional Office| 110083|801-21350|CENTURION COUNSEL INC|CENTURION COUNSEL,INC.|365 S RANCHO SANTA FE RD|#300|SAN MARCOS CA 92078|USA|||  ||JACK K. HEILBRON|760-471-8536|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/08/1984|0|2|1|0|0|0
Los Angeles Regional Office| 110092|801-56991|KEN STERN & ASSOCIATES INC|KEN STERN & ASSOCIATES INC|12396 WORLD TRADE DR., STE 312||SAN DIEGO CA 92128|USA|||  ||ERIC G. HOFFMAN, CPA|858-485-0404|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|11/12/1999|0|0|0|0|0|0
Los Angeles Regional Office| 110131|801-57824|WEALTH RESOURCES GROUP|WEALTH RESOURCES GROUP|28348 ROADSIDE DRIVE, SUITE 102B||AGOURA HILLS CA 91301|USA|||  ||NEAL FRANKLE|818-889-6700|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/01/2000|0|0|0|0|0|0
Los Angeles Regional Office| 110213|801-60042|ANGELES INVESTMENT ADVISORS|ANGELES INVESTMENT ADVISORS, LLC.|429 SANTA MONICA BLVD.|SUITE 500|SANTA MONICA CA 90401|USA|||  ||SANDRA C. KRIDEL|310-393-6300|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|02/20/2001|0|0|0|0|0|0
Los Angeles Regional Office| 110242|801-60039|DENALI ADVISORS, LLC|DENALI ADVISORS, LLC|4275 EXECUTIVE SQUARE|SUITE 650|LA JOLLA CA 92037|USA|||  ||DOUG PALENCHAR|858-558-3600|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/02/2001|0|0|0|0|0|0
Los Angeles Regional Office| 110266|801-55355|ENVISION CAPITAL MANAGEMENT LTD|ENVISION CAPITAL MANAGEMENT LTD|10751 NORTH FRANK LLOYD WRIGHT BOULEVARD|SUITE 201|SCOTTSDALE AZ 85259|USA|||  ||MICHAEL DRUCKMAN|480-219-6240|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/16/1998|0|0|0|0|0|0
Los Angeles Regional Office| 110291|801-47318|AMI ASSET MANAGEMENT CORP|AMI ASSET MANAGEMENT CORP|10866 WILSHIRE BLVD., STE 770||LOS ANGELES CA 90024|USA|||  ||KATHARINE KIM|310-446-2740|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|08/23/1994|0|0|0|0|0|0
Los Angeles Regional Office| 110315|801-56721|REILLY FINANCIAL ADVISORS|REILLY FINANCIAL ADVISORS LLC|7777 ALVARADO ROAD, SUITE 116||LA MESA CA 91941|USA|||  ||FRANK REILLY|619-698-0794|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/27/1999|0|0|0|0|0|0
Los Angeles Regional Office| 110329|801-9755|NEEDELMAN ASSET MANAGEMENT INC|NEEDELMAN ASSET MANAGEMENT INC|111 PACIFICA|SUITE 140|IRVINE CA 92618|USA|||  ||DEBORAH ANN GALLOWAY|949-453-1333|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/25/1974|0|0|0|0|0|0
Los Angeles Regional Office| 110342|801-16930|AR ASSET MANAGEMENT, INC.|AR ASSET MANAGEMENT, INC.|335 N. MAPLE DRIVE|SUITE 366|BEVERLY HILLS CA 90210|USA|||  ||ANNIE KIM|310-859-7644|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/19/1982|0|0|0|0|0|0
Los Angeles Regional Office| 110347|801-55731|KNIGHTSBRIDGE ASSET MANAGEMENT LLC|KNIGHTSBRIDGE ASSET MANAGEMENT LLC|660 NEWPORT CENTER DR|SUITE 460|NEWPORT BEACH CA 92660|USA|||  ||TERESA A. WAGNER|949-644-4444|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/31/1998|0|0|0|0|0|0
Los Angeles Regional Office| 110367|801-55848|LIGHTHOUSE FINANCIAL SERVICES INC|LIGHTHOUSE FINANCIAL SERVICES INC|3000 EAST BIRCH STREET|SUITE 107|BREA CA 92821|USA|||  ||GEORGE DALE MCDANIEL|714-572-8900|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|09/02/1988|0|0|0|0|0|0
Los Angeles Regional Office| 110376|801-26228|LEDERER & ASSOCIATES INVESTMENT COUNSEL|LEDERER & ASSOCIATES INVESTMENT COUNSEL|111 WEST OCEAN BOULEVARD|SUITE 1350|LONG BEACH CA 90802|USA|||  ||RICHARD LEDERER|562-495-2350|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/13/1986|0|0|0|0|0|0
Los Angeles Regional Office| 110388|801-42990|MERIDIAN PACIFIC|MP FINANCIAL GROUP LTD|94-050 FARRINGTON HIGHWAY|SUITE E1-3|WAIPAHU HI 96797-1841|USA|||  ||CAROL Y. BRACK|808-677-6700|Corporation|Other|APPROVED|02/12/1993|0|0|0|0|0|0
Los Angeles Regional Office| 110399|801-7333|CHELSEA MANAGEMENT COMPANY|CHELSEA COUNSEL COMPANY|444 SO FLOWER ST|SUITE 2340|LOS ANGELES CA 90071-2924|USA|||  ||SALLY GALLAGHER|213-363-9200 EX 225|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/03/1971|0|0|0|0|0|0
Los Angeles Regional Office| 110410|801-55681|NWF ADVISORY SERVICES INC|NWF ADVISORY SERVICES INC|11835 W OLYMPIC BLVD|STE 1150E|LOS ANGELES CA 90064|USA|||  ||SHEHAB MOHAMMAD|310-475-5854|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/30/1998|0|0|0|0|0|0
Los Angeles Regional Office| 110416|801-20706|PACIFIC CORPORATE GROUP LLC|PACIFIC CORPORATE GROUP LLC|1200 PROSPECT ST|SUITE 200|LA JOLLA CA 92037|USA|||  ||ROBERT D. CONCA|(858) 456-6000|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Other|APPROVED|03/05/1984|0|0|0|0|0|0
Los Angeles Regional Office| 110428|801-24076|MESSNER & SMITH|MESSNER & SMITH THEME VALUE INVESTMENT MANAGEMENT LTD|530 B STREET|SUITE 300|SAN DIEGO CA 92101-4407|USA|||  ||ELLIS C. SMITH|619-239-9049|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/16/1985|0|0|0|0|0|0
Los Angeles Regional Office| 110441|801-8162|WESTERN ASSET MANAGEMENT COMPANY|WESTERN ASSET MANAGEMENT COMPANY|385 E. COLORADO BLVD.||PASADENA CA 91101|USA|||  ||KEVIN EHRLICH|626-844-9407|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/17/1971|0|1|2|0|0|0
Los Angeles Regional Office| 110445|801-52674|CHARLES FISH INVESTMENTS, INC.|FISH CHARLES INVESTMENTS INC|2010 MAIN STREET|SUITE 130|IRVINE CA 92614|USA|||  ||BETSY SHELTON|949-296-3972|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/13/1996|0|0|0|0|0|0
Los Angeles Regional Office| 110454|801-40473|FINANCIAL MANAGEMENT NETWORK INC|FINANCIAL MANAGEMENT NETWORK INC|26041 ACERO||MISSION VIEJO CA 92691|USA|||  ||DAVID W. SCHOFIELD|(949) 455-0300|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|12/31/1991|0|0|0|0|0|0
Los Angeles Regional Office| 110467|801-41216|FIRST FINANCIAL STRATEGIES INC|FIRST FINANCIAL STRATEGIES INC|4425 N. 24TH STREET|SUITE 200|PHOENIX AZ 85016|USA|||  ||KYLE GALLETT|602-230-7721|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|03/31/1992|0|0|0|0|0|0
Los Angeles Regional Office| 110478|801-18321|GLENN WOODY FINANCIAL CONSULTANTS INC|GLENN WOODY FINANCIAL CONSULTANTS INC|151 KALMUS DRIVE|SUITE C-150|COSTA MESA CA 92626|USA|||  ||GLENN D. WOODY|714-850-0534|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/28/1983|0|0|0|0|0|0
Los Angeles Regional Office| 110516|801-16281|MH & ASSOCIATES SECURITIES MANAGEMENT CORPORATION|MH & ASSOCIATES SECURITIES MANAGEMENT CORP|234 N EL MOLINO AVE|ST 201|PASADENA CA 91101|USA|||  ||JOHN HEILMAN|626-440-9694|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/19/1981|0|0|0|0|0|0
Los Angeles Regional Office| 110567|801-50430|MARKS MCBROOM WALSTON & COMPANY, INC.|MARKS MCBROOM WALSTON & COMPANY, INC.|601 S. FIGUEROA STREET|SUITE 1750|LOS ANGELES CA 90017|USA|||  ||CHRISTOPHER E. MARKS|213-612-4626|Corporation|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|10/30/1995|0|0|0|0|0|0
Los Angeles Regional Office| 110600|801-21123|NBS FINANCIAL SERVICES, INC.|NBS FINANCIAL & INSURANCE SERVICES INC|340 N WESTLAKE BLVD|STE 112|WESTLAKE VILLAGE CA 91362|USA|||  ||GEORDIE J. CROSSAN|805.497.2497|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/25/1984|0|0|0|0|0|0
Los Angeles Regional Office| 110604|801-37742|KEATS CONNELLY AND ASSOCIATES INC.|KEATS CONNELLY AND ASSOCIATES INC.|3336 NORTH 32ND STREET|SUITE 100|PHOENIX AZ 85018-6241|USA|||  ||DALE A. WALTERS|(602) 955-5007|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|10/04/1990|0|0|0|0|0|0
Los Angeles Regional Office| 110609|801-63852|CULLINGTON HILL ADVISORS, INC.|CULLINGTON HILL ADVISORS, INC.|5151 SHOREHAM PLACE|SUITE 200|SAN DIEGO CA 92122|USA|||  ||ELISABETH CULLINGTON|858-546-1444|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/19/2005|0|0|0|0|0|0
Los Angeles Regional Office| 110623|801-60073|IRONWOOD INVESTMENT COUNSEL, LLC|IRONWOOD INVESTMENT COUNSEL, LLC|11801 N. TATUM BLVD.|SUITE 224|PHOENIX AZ 85028|USA|||  ||PAUL WARREN ALSTON|602-493-4042|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/06/2001|0|0|0|0|0|0
Los Angeles Regional Office| 110648|801-26253|PRIVATE FINANCIAL COUNSELING|PFC CAPITAL GROUP INC|1901 AVENUE OF THE STARS|11TH FLOOR|LOS ANGELES CA 90067-6002|USA|||  ||STEPHEN E. SCHERER|(310) 556-2055|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/06/1986|0|0|0|0|0|0
Los Angeles Regional Office| 110678|801-54885|VM JONES FINANCIAL CONSULTING, L.L.C.|VM JONES FINANCIAL CONSULTING, L.L.C.|1853 S. HORNE|SUITE 1|MESA AZ 85204|USA|||  ||VEARLE M. JONES|480-756-6010|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|03/15/1999|0|1|0|0|0|0
Los Angeles Regional Office| 110681|801-56526|CAPITAL GUARDIAN (CANADA), INC.|CAPITAL GUARDIAN (CANADA), INC.|333 SOUTH HOPE STREET|55TH FLOOR|LOS ANGELES CA 90071-1406|USA|||  ||PETER C. KELLY|(310) 996-6204|Corporation|Other|APPROVED|06/01/1999|0|0|0|0|0|0
Los Angeles Regional Office| 110682|801-32104|CAPITAL INTERNATIONAL, INC.|CAPITAL INTERNATIONAL RESEARCH AND MANAGEMENT, INC.|11100 SANTA MONICA BLVD.|15TH FLOOR|LOS ANGELES CA 90025-3384|USA|||  ||PETER C. KELLY|(310) 996-6204|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/20/1988|0|0|0|0|0|0
Los Angeles Regional Office| 110684|801-54942|CAPITAL RESEARCH COMPANY|CAPITAL RESEARCH COMPANY|333 SOUTH HOPE ST|55TH FL|LOS ANGELES CA 90071-1447|USA|||  ||MICHAEL J. DOWNER|213-486-9425|Corporation|Other|APPROVED|10/27/1997|0|0|0|0|0|0
Los Angeles Regional Office| 110688|801-54943|CAPITAL INTERNATIONAL RESEARCH, INC.|CAPITAL INTERNATIONAL RESEARCH, INC.|333 SOUTH HOPE STREET|55TH FLOOR|LOS ANGELES CA 90071-1406|USA|||  ||PETER C. KELLY|(310) 996-6204|Corporation|Other|APPROVED|10/27/1997|0|0|0|0|0|0
Los Angeles Regional Office| 110726|801-6776|BJURMAN, BARRY & ASSOCIATES|BJURMAN, BARRY & ASSOCIATES|2049 CENTURY PARK EAST|SUITE 2505|LOS ANGELES CA 90067|USA|||  ||KATHY POMMET|310-553-6577|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/05/1970|0|0|1|0|0|0
Los Angeles Regional Office| 110741|801-10905|FINANCIAL HORIZONS, INC.|FINANCIAL HORIZONS, INC.|136 EL CAMINO DR|SUITE 101|BEVERLY HILLS CA 90212|USA|4415 FORMAN AVENUE||TOLUCA LAKE CA 91602|USA|JAMES T. ADAMS|310 271-7267|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|07/30/1975|0|0|0|0|0|0
Los Angeles Regional Office| 110758|801-24081|LIBBIE AGRAN FINANCIAL SERVICES & SEMINARS|LIBBIE AGRAN FINANCIAL SERVICES & SEMINARS|2150 COLORADO AVENUE|STE 250|SANTA MONICA CA 90404|USA|||  ||PETER MUELLER|310-586-1828|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/06/1985|0|0|0|0|0|0
Los Angeles Regional Office| 110772|801-25136|CHEVIOT VALUE MANAGEMENT, INC.|CHEVIOT VALUE MANAGEMENT, INC.|100 WILSHIRE BLVD.|SUITE 2020|SANTA MONICA CA 90401|USA|||  ||NANCY MARKS|(310) 451-8600|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|09/05/1985|0|0|0|0|0|0
Los Angeles Regional Office| 110812|801-26943|MATRIX PLANNING INC|MATRIX PLANNING INC|3015 MAIN STREET|SUITE 403|SANTA MONICA CA 90405|USA|||  ||ROBERTA JEAN SMITH|310-399-0457|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|05/15/1986|0|0|0|0|0|0
Los Angeles Regional Office| 110816|801-4740|MORGAN JESS S & CO INC|MORGAN JESS S & CO INC|5750 WILSHIRE BLVD|SUITE 590|LOS ANGELES CA 90036|USA|||  ||GARY LEVENSTEIN|323-634-2400|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|03/10/1968|0|0|0|0|0|0
Los Angeles Regional Office| 110839|801-49023|MURPHY INVESTMENT ADVISORS INC|MURPHY INVESTMENT ADVISORS INC|140 S. LAKE AVE #227||PASADENA CA 91101|USA|||  ||RITA POORMAN|626-449-7714|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|04/24/1995|0|0|0|0|0|0
Los Angeles Regional Office| 110874|801-67648|CROSS BORDER TAX & ACCOUNTING, LLC|CROSS BORDER TAX & ACCOUNTING, LLC|3336 NORTH 32ND STREET|SUITE 113|PHOENIX AZ 85018-6241|USA|||  ||DALE A. WALTERS|602.956.4661|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/15/2007|0|0|0|0|0|0
Los Angeles Regional Office| 110875|801-56696|SIEGEL GROUP INC|SIEGEL GROUP INC|9100 WILSHIRE BLVD.|SUITE 360W|BEVERLY HILLS CA 90212|USA|||  ||FRED SIEGEL|310 887-1700|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/20/1999|0|1|0|0|0|0
Los Angeles Regional Office| 110878|801-30028|MARATHON ASSET MANAGEMENT CO INC|MARATHON ASSET MANAGEMENT CO INC|3567 EAST SUNRISE DRIVE|SUITE 235|TUCSON AZ 85718-3250|USA|||  ||THOMAS J. FEENEY|(520)577-8828|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/30/1987|0|0|0|0|0|0
Los Angeles Regional Office| 110883|801-22695|LM ADVISORS INC|LM ADVISORS INC|401 B STREET|SUITE 920|SAN DIEGO CA 92101|USA|||  ||TOBIAS GORODZINSKY|619-814-1400|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/16/1984|0|0|0|0|0|0
Los Angeles Regional Office| 110885|801-8055|CAPITAL RESEARCH AND MANAGEMENT COMPANY|CAPITAL RESEARCH AND MANAGEMENT COMPANY|333 S HOPE STREET|55TH FLOOR|LOS ANGELES CA 90071|USA|||  ||MICHAEL J. DOWNER|(213)486-9425|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/06/1971|0|1|1|0|0|0
Los Angeles Regional Office| 110925|801-60090|GOLD COAST SECURITIES, INC.|GOLD COAST SECURITIES, INC.|275 E. HILLCREST DRIVE, SUITE 225||THOUSAND OAKS CA 91360|USA|||  ||TAE P. HO|805-496-3660|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|03/23/2001|0|1|0|0|0|0
Los Angeles Regional Office| 110964|801-15612|MAYFIELD ASSOCIATES|MAYFIELD ASSOCIATES|444 S. FLOWER STREET|SUITE 2340|LOS ANGELES CA 90071|USA|||  ||ROSEANN LEWIS|213-362-0900|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|11/10/1980|0|0|0|0|0|0
Los Angeles Regional Office| 110993|801-10672|FROLEY REVY INVESTMENT CO INC.|FROLEY REVY INVESTMENT CO INC.|10900 WILSHIRE BLVD|SUITE 900|LOS ANGELES CA 90024|USA|||  ||ANN HOULIHAN|310-208-4938|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|04/02/1975|0|1|0|0|0|0
Los Angeles Regional Office| 110994|801-9752|HAROLD DAVIDSON & ASSOCIATES INC|HAROLD DAVIDSON & ASSOCIATES INC|1900 AVENUE OF THE STARS|SUITE 2400|LOS ANGELES CA 90067|USA|||  ||HAROLD DAVIDSON|(310) 553-5551|Corporation|Portfolio management for individuals and/or small businesses, Other|APPROVED|02/24/1974|0|0|0|0|0|0
Los Angeles Regional Office| 111007|801-30377|SPECTRUM ASSET MANAGEMENT INC|SPECTRUM ASSET MANAGEMENT INC|1301 DOVE STREET|SUITE 970|NEWPORT BEACH CA 92660|USA|||  ||DENNIS DALTON|949-717-3400|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|09/04/1987|0|0|0|0|0|0
Los Angeles Regional Office| 111041|801-21175|ECLECTIC ASSOCIATES INC|ECLECTIC ASSOCIATES INC|1021 W. BASTANCHURY ROAD|SUITE 120|FULLERTON CA 92833|USA|||  ||CARL J. CAMP|714-738-0220|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/14/1984|0|0|0|0|0|0
Los Angeles Regional Office| 111051|801-29982|TELLONE MANAGEMENT GROUP INC|TELLONE MANAGEMENT GROUP INC|6200 E. CANYON RIM RD|STE 201|ANAHEIM CA 92807|USA|||  ||DEAN C. TELLONE|714-921-2102|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/10/1987|0|0|0|0|0|0
Los Angeles Regional Office| 111064|801-19279|BUFFALO CAPITAL CORPORATION|BUFFALO CAPITAL CORPORATION|4299 MACARTHUR BLVD|SUITE 100|NEWPORT BEACH CA 92660|USA|||  ||JEFFREY VIETH|949-476-2799|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/07/1983|0|0|0|0|0|0
Los Angeles Regional Office| 111065|801-26323|WINCHESTER CAPITAL MANAGEMENT|WINCHESTER CAPITAL MANAGEMENT|11999 SAN VICENTE BLVD|STE 220|LOS ANGELES CA 90049-5130|USA|||  ||DAVID B. JOHNSON|310-471-1299|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/31/1986|0|0|0|0|0|0
Los Angeles Regional Office| 111082|801-5935|CLUTINGER WILLIAMS & VERHOYE INC|CLUTINGER WILLIAMS & VERHOYE INC|6398 DEL CERRO BLVD|STE 3|SAN DIEGO CA 92120|USA|||  ||SCOTT B. WILLIAMS|619-326-0900|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/03/1969|0|0|0|0|0|0
Los Angeles Regional Office| 111090|801-25937|PUPLAVA FINANCIAL SERVICES INC|PUPLAVA FINANCIAL SERVICES INC|10809 THORNMINT ROAD|2ND FLOOR|SAN DIEGO CA 92127|USA|PO BOX 503147||SAN DIEGO CA 92150-3147|USA|SANDRA PAPPALARDO|858-487-3939|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|12/31/1985|0|0|1|0|0|0
Los Angeles Regional Office| 111091|801-48282|ING INVESTMENTS, LLC|ING INVESTMENTS, LLC|7337 E. DOUBLETREE RANCH ROAD||SCOTTSDALE AZ 85258-2034|USA|||  ||ERNEST J. C'DEBACA|480-477-2648|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/07/1995|0|24|3|0|0|0
Los Angeles Regional Office| 111106|801-58275|FREEMAN ASSOCIATES INVESTMENT MANAGEMENT LLC|FREEMAN ASSOCIATES INVESTMENT MANAGEMENT LLC|12255 EL CAMINO REAL|SUITE 200|SAN DIEGO CA 92130|USA|||  ||JOHN D. FREEMAN|858-779-9800|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/15/2001|0|1|0|0|0|0
Los Angeles Regional Office| 111147|801-29358|ENRIGHT PREMIER WEALTH ADVISORS, INC.|ENRIGHT PREMIER WEALTH ADVISORS, INC.|21515 HAWTHORNE BLVD|SUITE 1200|TORRANCE CA 90503|USA|||  ||DEREK H. HOLMAN|310-543-4559|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/16/1987|0|0|0|0|0|0
Los Angeles Regional Office| 111148|801-12741|VARI INVESTOR SERVICES INC|VARI INVESTOR SERVICES INC|7777 FAY AVE STE 230||LA JOLLA CA 92037-4324|USA|||  ||JACK T. MCCORD|(858) 454-3557|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/21/1977|0|0|0|0|0|0
Los Angeles Regional Office| 111152|801-60489|CHARTERWEST CONSULTING, INC.|CHARTERWEST CONSULTING, INC.|1001 DOVE STREET, SUITE 230||NEWPORT BEACH CA 92660|USA|||  ||NOREEN PEADICK|(949) 955-1552|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/16/2001|0|0|0|0|0|0
Los Angeles Regional Office| 111191|801-60193|BRENTWOOD ADVISORY GROUP, LLC|BRENTWOOD ADVISORY GROUP, LLC|11812 SAN VICENTE BLVD|SUITE 200|LOS ANGELES CA 90049|USA|||  ||CAROL FISHBURN|310-826-2261|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/25/2001|0|0|0|0|0|0
Los Angeles Regional Office| 111203|801-60216|DBA FAMILY WEALTH LEADERSHIP|ADVANTAGE ASSET MANAGEMENT, INC.|2 VENTURE, SUITE 240||IRVINE CA 92618|USA|||  ||CLIFFORD R. KOLSON|949-468-2000|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|05/04/2001|0|0|0|0|0|0
Los Angeles Regional Office| 111227|801-62882|MRD, INC.|MRD, INC.|5450 ORANGE AVENUE||CYPRESS CA 90630|USA|PMB 139|27702 CROWN VALLEY PARKWAY, SUITE D-4|LADERA RANCH CA 92694|USA|MICHAEL DEKOVNER|949-365-0598|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/11/2004|0|0|0|0|0|0
Los Angeles Regional Office| 111243|801-46423|SUMMIT PORTFOLIO MANAGEMENT INC.|SUMMIT PORTFOLIO MANAGEMENT INC.|1801 CENTURY PARK EAST|475|LOS ANGELES CA 90067|USA|||  ||TIMOTHY BOCK|310-590-7777|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/02/1994|0|0|0|0|0|0
Los Angeles Regional Office| 111249|801-64075|VAUGHN INVESTMENT ADVISORS INC|VAUGHN INVESTMENT ADVISORS INC|1801 PARKCOURT PLACE|BUILD F SUITE 200|SANTA ANA CA 92701|USA|||  ||BOB VAUGHN|714-565-0144|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/25/2005|0|0|0|0|0|0
Los Angeles Regional Office| 111287|801-51729|MESCHURES CAMPEAS THOMPSON SNYDER & PARISER LLP|MESCHURES CAMPEAS THOMPSON SNYDER & PARISER LLP|8383 WILSHIRE BLVD., SUITE 500||BEVERLY HILLS CA 90211|USA|||  ||MICHAEL G.THOMPSON|310-652-0222|Limited Liability Partnership|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|05/10/1996|0|0|0|0|0|0
Los Angeles Regional Office| 111320|801-54265|STOKER OSTLER WEALTH ADVISORS, INC.|STOKER OSTLER WEALTH ADVISORS, INC.|4900 N. SCOTTSDALE ROAD|SUITE 2600|SCOTTSDALE AZ 85251|USA|||  ||MICHELLE L. DECKER|480-302-3806|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|04/14/1997|0|0|0|0|0|0
Los Angeles Regional Office| 111321|801-57223|DAVID WHITE - INVESTMENT COUNSEL|WHITE, DAVID PHIPPS|1901 FIRST AVENUE|2ND FLOOR|SAN DIEGO CA 92101|USA|||  ||DAVID P. WHITE|619-239-8800|Sole Proprietorship|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|02/04/2000|0|0|0|0|0|0
Los Angeles Regional Office| 111324|801-49690|ROBERT OSHER INVESTMENT MANAGEMENT|ROBERT OSHER INVESTMENT MANAGEMENT|225 SOUTH LAKE AVENUE|SUITE 300|PASADENA CA 91101|USA|||  ||JAMES VAN DE VOORDE|626-844-7184|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/01/1995|0|0|0|0|0|0
Los Angeles Regional Office| 111351|801-66774|F HENRY ADVISORS|HENRY, FREDERICK, INSULL|2780 SKYPARK DRIVE|SUITE 295|TORRANCE CA 90505|USA|||  ||FRED HENRY|310-257-0366|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/21/2006|0|0|0|0|0|0
Los Angeles Regional Office| 111413|801-42446|AEGIS ASSET MANAGEMENT INC|AEGIS ASSET MANAGEMENT INC|2331 W LINCOLN AVENUE||ANAHEIM CA 92801|USA|||  ||DAVID M. PILLER|714-635-9900|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|10/01/1992|0|0|0|0|0|0
Los Angeles Regional Office| 111458|801-61944|COOPER MCMANUS|COOPER FINANCIAL GROUP|9870 RESEARCH DRIVE||IRVINE CA 92618|USA|||  ||ARTHUR Y. COOPER|800-516-5333|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|04/07/2003|0|0|0|0|0|0
Los Angeles Regional Office| 111475|801-57542|STRATEGIC FINANCIAL|STRATEGIC CAPITAL MANAGEMENT INC|10681 FOOTHILL BLVD|SUITE 301|RANCHO CUCAMONGA CA 91730|USA|||  ||LISSA BIAZO|909-373-2885|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|05/02/2000|0|0|0|0|0|0
Los Angeles Regional Office| 111535|801-62993|ASSET PLANNING, INC|ASSET PLANNING, INC|4281 KATELLA AVE SUITE 101||LOS ALAMITOS CA 90720|USA|||  ||SANDRA C. FIELD|714-827-5794|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|04/13/2004|0|0|0|0|0|0
Los Angeles Regional Office| 111585|801-56384|GFI ENERGY VENTURES, LLC|GFI ENERGY VENTURES, LLC|11611 SAN VICENTE BLVD|SUITE 710|LOS ANGELES CA 90049-6507|USA|||  ||LAWRENCE DAVID GILSON|310-442-0542|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/31/1999|0|0|0|0|0|0
Los Angeles Regional Office| 111590|801-56790|CB RICHARD ELLIS VALUE INVESTORS, L.L.C.|CB RICHARD ELLIS VALUE INVESTORS, L.L.C.|515 S. FLOWER STREET|SUITE 3100|LOS ANGELES CA 90071|USA|||  ||PASHA ZARGAROF|213-683-4200|Limited Liability Company|Other|APPROVED|08/27/1999|0|0|0|0|0|0
Los Angeles Regional Office| 111591|801-64093|CAPITAL ANALYST|YAMASHIRO FINANCIAL SERVICES INC.|201 SOUTH LAKE AVENUE|SUITE 301|PASADENA CA 91101|USA|||  ||STEVEN B. YAMASHIRO|626-792-9605|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|04/08/2005|0|1|0|0|0|0
Los Angeles Regional Office| 111622|801-15669|JOEL R. MOGY INVESTMENT COUNSEL INC.|JOEL R. MOGY INVESTMENT COUNSEL INC.|315 SOUTH BEVERLY DRIVE, SUITE 400||BEVERLY HILLS CA 90212-4301|USA|||  ||JOEL R. MOGY|310.552.0529|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|10/01/1980|0|1|0|0|0|0
Los Angeles Regional Office| 111641|801-64492|PLEXUS FINANCIAL GROUP, INC.|PLEXUS FINANCIAL GROUP, INC.|23591 EL TORO ROAD, SUITE 270||LAKE FOREST CA 92630|USA|||  ||MICHAEL BROWN|949-768-3310|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|08/10/2005|0|0|0|0|0|0
Los Angeles Regional Office| 111643|801-60157|LINDA A. BARLOW, CFP|LINDA A. BARLOW|2700 N. MAIN STREET|STE 850|SANTA ANA CA 92705-6638|USA|||  ||LINDA A. BARLOW|714-953-1232|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/12/2001|0|0|0|0|0|0
Los Angeles Regional Office| 111662|801-64436|COMPREHENSIVE FINANCIAL SERVICES|KEN MARINACE & ASSOCIATES, INC|3811 WEST BURBANK BLVD.||BURBANK CA 91505|USA|||  ||ANAHID LUKE|818-846-8092|Corporation|Financial planning services|APPROVED|07/07/2005|0|0|0|0|0|0
Los Angeles Regional Office| 111677|801-27990|RYDER STILWELL INVESTMENT ADVISORS INC|RYDER STILWELL INVESTMENT ADVISORS INC|515 FIGUEROA STREET, SUITE 1200||LOS ANGELES CA 90071-3329|USA|515 FIGUEROA STREET, SUITE 1200||LOS ANGELES CA 90071-3329|UNITED STATES|R.J. CONSIDINE, JR.|(213) 624-4600|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/24/1986|0|0|0|0|0|0
Los Angeles Regional Office| 111759|801-60150|CITY NATIONAL ASSET MANAGEMENT, INC.|CITY NATIONAL ASSET MANAGEMENT, INC.|400 N. ROXBURY DRIVE, SUITE 700||BEVERLY HILLS CA 90210|USA|||  ||RICHARD A. WEISS|310-888-6314|Corporation|Portfolio management for investment companies, Selection of other advisers|APPROVED|04/13/2001|0|0|0|0|0|0
Los Angeles Regional Office| 111784|801-68952|LIFETIME PLANNING, INC.|LIFETIME PLANNING, INC.|1200 PASEO CAMARILLO|SUITE 190|CAMARILLO CA 93010-6050|USA|||  ||DAVID MICHAEL SMITH|805-987-8938|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/12/2008|0|0|0|0|0|0
Los Angeles Regional Office| 111801|801-33340|ENHANCED SECURITY PLANNING, INC.|ANCHOR FINANCIAL GROUP|1801 PARKCOURT PLACE|BUILDING H|SANTA ANA CA 92701|USA|||  ||STEVE KIERNAN|714-835-7703|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|11/25/1988|0|0|0|0|0|0
Los Angeles Regional Office| 111917|801-57708|EVERGREEN WEALTH MANAGEMENT LLC|EVERGREEN WEALTH MANAGEMENT LLC|7911 HERSCHEL AVENUE|SUITE 311|LA JOLLA CA 92037|USA|||  ||ALAN AIELLO|858-459-9511|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/29/2000|0|0|0|0|0|0
Los Angeles Regional Office| 111918|801-55202|WEALTHWISE LLC|WEALTHWISE LLC|3889 LONG STREET|SUITE 200|SAN LUIS OBISPO CA 93401|USA|||  ||JEFFREY FORREST|805 547 1177|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|12/15/1997|0|1|0|0|0|0
Los Angeles Regional Office| 111923|801-60588|BOND LOGISTIX LLC|BOND LOGISTIX LLC|777 SOUTH FIGUEROA STREET SUITE 3200||LOS ANGELES CA 90017|USA|||  ||A. CRAIG UNDERWOOD|213-612-2200|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|09/18/2001|0|0|0|0|0|0
Los Angeles Regional Office| 111938|801-60348|CAMDEN FINANCIAL MANAGEMENT, INC.|CAMDEN FINANCIAL MANAGEMENT, INC.|6619 N. SCOTTSDALE RD.||SCOTTSDALE AZ 85250|USA|||  ||RICHARD RANDALL OLDENBURG|480-998-7786|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/18/2001|0|0|0|0|0|0
Los Angeles Regional Office| 111982|801-58232|WEST COAST ASSET MANAGEMENT,INC.|WEST COAST ASSET MANAGEMENT,INC.|2151 ALESSANDRO DRIVE|SUITE 215|VENTURA CA 93001|U.S.A.|||  ||LINDA SCHUMAN|805-653-5333|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/22/2000|0|0|0|0|0|0
Los Angeles Regional Office| 112006|801-56730|JACOB ASSET MANAGEMENT OF NEW YORK LLC|JACOB ASSET MANAGEMENT OF NEW YORK LLC|507 PASEO DE LA PLAYA||REDONDO BEACH CA 90277|USA|||  ||RYAN I. JACOB|310-421-4942|Limited Liability Company|Portfolio management for investment companies|APPROVED|08/06/1999|0|0|0|0|0|0
Los Angeles Regional Office| 112014|801-58055|REES & ASSOCIATES LLC|REES & ASSOCIATES LLC|11777 SAN VICENTE BLVD|SUITE 710|LOS ANGELES CA 90049|USA|||  ||EVAN L. REES|310-826-9800|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|10/26/2000|0|0|0|0|0|0
Los Angeles Regional Office| 112105|801-60169|STUART CHAUSSEE & ASSOCIATES|CHAUSSEE, STUART DUBES|26107 BASSWOOD AVENUE||RANCHO PALOS VERDES CA 90275|USA|468 NORTH CAMDEN DRIVE||BEVERLY HILLS CA 90210|USA|STUART D. CHAUSSEE|(310) 373-3732|Sole Proprietorship|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/17/2001|0|0|0|0|0|0
Los Angeles Regional Office| 112107|801-60212|DB FINANCIAL MANAGEMENT, INC.|DB FINANCIAL MANAGEMENT, INC.|123 PONDEROSSA DRIVE||ZEPHYR COVE NV 89448|USA|P.O. BOX 10214||ZEPHYR COVE NV 89448|USA|DONALD CLAIR BLOUGH|775-586-9037|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|04/26/2001|0|0|0|0|0|0
Los Angeles Regional Office| 112127|801-66565|KEMP FINANCIAL MANAGEMENT, LLC|KEMP FINANCIAL MANAGEMENT, LLC|2286 N. STATE COLLEGE BLVD.||FULLERTON CA 92831|USA|||  ||ROBERT J. KEMP|714-257-0800|Limited Liability Company|Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|05/15/2006|0|0|0|0|0|0
Los Angeles Regional Office| 112129|801-64553|THE KOCEN FINANCIAL GROUP, INC.|THE KOCEN FINANCIAL GROUP, INC.|35900 BOB HOPE DR., SUITE 202||RANCHO MIRAGE CA 92270-1767|USA|||  ||BRYAN STUART KOCEN|760-324-4015|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|07/21/2005|0|1|0|0|0|0
Los Angeles Regional Office| 112142|801-55690|STRATEGIC EQUITY MANAGEMENT, INC.|STRATEGIC EQUITY MANAGEMENT, INC.|6969 E. SUNRISE DRIVE SUITE 200||TUCSON AZ 85750|USA|||  ||RICHARD CHANDLER GAGE|520-749-4580|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Market timing services|APPROVED|07/02/1998|0|0|0|0|0|0
Los Angeles Regional Office| 112143|801-56353|THE GLOWACKI GROUP, LLC|THE GLOWACKI GROUP, LLC|11400 W. OLYMPIC BOULEVARD|SUITE 1500|LOS ANGELES CA 90064|USA|||  ||MICHAEL V. GLOWACKI|310.473.0100|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|03/24/1999|0|2|0|0|0|0
Los Angeles Regional Office| 112157|801-20092|MARGATE ADVISORY GROUP, INC.|MARGATE ADVISORY GROUP, INC.|5305 ANDASOL AVE||ENCINO CA 91316|USA|||  ||HARVEY COHEN|818 905-5599|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|11/18/1983|0|0|0|0|0|0
Los Angeles Regional Office| 112214|801-54718|HOULIHAN LOKEY|HOULIHAN LOKEY HOWARD & ZUKIN FINANCIAL ADVISORS INC|1930 CENTURY PARK WEST||LOS ANGELES CA 90067-6802|USA|||  ||JULIE CARTHANE|310.788.5266|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/09/1997|0|0|0|0|0|0
Los Angeles Regional Office| 112324|801-60203|ASSET MANAGEMENT GROUP OF BANK OF HAWAII|BANK OF HAWAII|130 MERCHANT STREET, SUITE 370||HONOLULU HI 96813|USA|P.O. BOX 3170||HONOLULU HI 96802-3170|USA|DONALD G. CHARLES|808-694-4758|Other (specify)|Portfolio management for investment companies|APPROVED|04/20/2001|0|0|0|0|0|0
Los Angeles Regional Office| 112327|801-57829|LA JOLLA ASSET MANAGEMENT, INC.|LA JOLLA ASSET MANAGEMENT, INC.|4350 EXECUTIVE DRIVE, STE. 115||SAN DIEGO CA 92121|USA|||  ||ROBERT FOSTER WALTZ|(858)453-9915|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|08/22/2000|0|0|0|0|0|0
Los Angeles Regional Office| 112337|801-42175|OAKMONT CORPORATION|OAKMONT CORPORATION|865 S.FIGUEROA STREET|SUITE 700|LOS ANGELES CA 90017|USA|P.O. BOX 71289|ATLANTIC RICHFIELD PLAZA STATION|LOS ANGELES CA 90071|USA|ROBERT MILLER|213-891-6365|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|09/03/1992|0|0|0|0|0|0
Los Angeles Regional Office| 112350|801-49797|ALM ADVISORS, INC.|ALM ADVISORS, INC.|3452 E. FOOTHILL BLVD|SUITE 240|PASADENA CA 91107|USA|||  ||PATRICIA FURUYA-GONZALEZ|626-432-5600|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/07/1995|0|0|0|0|0|0
Los Angeles Regional Office| 112361|801-64089|JEANCO FINANCIAL,INC.|JEANCO FINANCIAL,INC|4400 MACARTHUR BL. #780||NEWPORT BEACH CA 92660|USA|||  ||ALLEN KLOSOWSKI|949-752-1396|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|03/25/2005|0|0|0|0|0|0
Los Angeles Regional Office| 112363|801-17953|CREATIVE CAPITAL MANAGEMENT INC|CREATIVE CAPITAL MANAGEMENT INC|8880 RIO SAN DIEGO DR#1150||SAN DIEGO CA 92108|USA|||  ||MARGARET F. EDDY|619-298-3993|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers, Other|APPROVED|11/26/1982|0|0|0|0|0|0
Los Angeles Regional Office| 112365|801-27652|SULLIVAN CAPITAL MANAGEMENT|SULLIVAN JOHN LAWRENCE|1096 MILL CREEK RD||INCLINE VILLAGE NV 89451|USA|PO BOX 6379||INCLINE VILLAGE NV 89450-6379|USA|JOHN L. SULLIVAN|775 831-9012|Sole Proprietorship|Portfolio management for individuals and/or small businesses, Other|APPROVED|08/11/1986|0|0|0|0|0|0
Los Angeles Regional Office| 112369|801-42907|ABRAMS, FACTOR & ASSOCIATES|NANCY ABRAMS & ASSOCIATES, INC.|9465 WILSHIRE BLVD., SUITE 450||BEVERLY HILLS CA 90212|USA|||  ||JUNE WYNBRANDT|310 385-7706|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|12/30/1992|0|0|0|0|0|0
Los Angeles Regional Office| 112375|801-57449|STILLMAN CAPITAL GROUP|GEORGE ERWIN STILLMAN|1201 EAST OCEAN AVE. SUITE K||LOMPOC CA 93436|USA|||  ||ANNA STILLMAN|805-737-7308|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|04/07/2000|0|0|0|0|0|0
Los Angeles Regional Office| 112414|801-45564|KLEIN PAVLIS & PEASLEY FINANCIAL, INC.|KLEIN PAVLIS & PEASLEY FINANCIAL, INC.|34232 PACIFIC COAST HIGHWAY|SUITE B|DANA POINT CA 92629-2821|USA|||  ||STEPHEN G. PEASLEY|949-443-2030|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|02/02/1994|0|1|1|0|0|0
Los Angeles Regional Office| 112440|801-64595|FINANCIAL PLANNING & CONSULTING SERVICES, INC|FINANCIAL PLANNING & CONSULTING SERVICES, INC|4711 AVENDA DE LOS SUENOS||YORBA LINDA CA 92886-3108|USA|||  ||JACK PATRONA|714-970-2511|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|08/17/2005|0|0|0|0|0|0
Los Angeles Regional Office| 112471|801-28191|THE CARMACK GROUP, INC.|CARMACK GROUP INC|462 ARLINGTON DRIVE||PASADENA CA 91105-2850|USA|||  ||JAMES A CARMACK|626-403-5921|Corporation|Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers, Other|APPROVED|10/24/1986|0|0|0|0|0|0
Los Angeles Regional Office| 112484|801-67274|FINANCIAL INSIGHTS|KAY FRANCES BYRUM|1440 N. HARBOR BLVD. #700||FULLERTON CA 92835|USA|||  ||KAY F. BYRUM|714-449-8800|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|12/08/2006|0|0|0|0|0|0
Los Angeles Regional Office| 112491|801-56109|GERALD KLEIN & ASSOCIATES|GERALD KLEIN & ASSOCIATES, INC.|34232 PACIFIC COAST HWY #B||DANA POINT CA 92629|USA|||  ||LETTIE PIVAN|800-557-5461|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|12/24/1998|0|1|1|0|0|0
Los Angeles Regional Office| 112537|801-67318|GREGORY ADVISORS INC.|GREGORY ADVISORS INCORPORATED|7755 CENTER AVENUE, SUITE 1100||HUNTINGTON BEACH CA 92647|USA|||  ||TED GREGORY, CFP|(714) 372-2299|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|12/04/2006|0|0|0|0|0|0
Los Angeles Regional Office| 112595|801-57805|BROTHERTON INVESTMENT CONSULTANTS LLC|BROTHERTON INVESTMENT CONSULTANTS LLC|8658 E. SAN ALBERTO DRIVE||SCOTTSDALE AZ 85258|USA|||  ||DONNA K. BROTHERTON|480-609-3080|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/04/2000|0|0|0|0|0|0
Los Angeles Regional Office| 112674|801-61922|GUIDED CHOICE ASSET MANAGEMENT, INC.|GUIDED CHOICE ASSET MANAGEMENT, INC.|4660 LA JOLLA VILLAGE DR|SUITE 620|SAN DIEGO CA 92122|USA|16268 LOS GATOS BLVD|SUITE 102|LOS GATOS CA 95032||SHERRIE|408-356-0697|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|10/10/2002|0|0|0|0|0|0
Los Angeles Regional Office| 112708|801-63083|RILEY INVESTMENT MANAGEMENT|RILEY INVESTMENT MANAGEMENT LLC|11100 SANTA MONICA BOULEVARD SUITE 810||LOS ANGELES CA 90025|USA|||  ||ALLISON BROGAN|310 689 2213|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/05/2004|0|5|0|0|0|0
Los Angeles Regional Office| 112803|801-62964|ANDREW SOTER INVESTMENT CONSULTANTS|ANDREW SOTER INVESTMENT CONSULTANTS, INC.|1309 BEACHMONT ST.||VENTURA CA 93001|USA|||  ||WENDELL|805-644-8040|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|03/30/2004|0|0|0|0|0|0
Los Angeles Regional Office| 112923|801-50373|STERLING INVESTMENT MANAGEMENT, INC.|STERLING INVESTMENT MANAGEMENT, INC.|3561 EAST SUNRISE DRIVE, SUITE 117||TUCSON AZ 85718|USA|||  ||JOHN H. PAYNE|520-293-3311|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/16/1995|0|0|0|0|0|0
Los Angeles Regional Office| 113007|801-60855|CAMERON THORNTON ASSOCIATES|THORNTON, CAMERON MITCHELL|290 EAST VERDUGO AVENUE|SUITE 205|BURBANK CA 91502|USA|||  ||CAMERON M. THORNTON|818-841-1746|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/17/2002|0|0|0|0|0|0
Los Angeles Regional Office| 113057|801-61230|MISSION WEALTH MANAGEMENT, LLC|MISSION WEALTH MANAGEMENT, LLC|1123 CHAPALA STREET|2ND FLOOR|SANTA BARBARA CA 93101|USA|||  ||BRAD STARK|805-882-2360|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|06/07/2002|0|0|0|0|0|0
Los Angeles Regional Office| 113064|801-60322|INFLECTIVE ASSET MANAGEMENT, LLC|INFLECTIVE ASSET MANAGEMENT, LLC|1334 PARKVIEW AVENUE, SUITE 310||MANHATTAN BEACH CA 90266|USA|||  ||KENT E. GALLI|310-545-2992|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/14/2001|0|1|0|0|0|0
Los Angeles Regional Office| 113067|801-60531|DONNELLY WEALTH ADVISORS, INC.|DONNELLY WEALTH ADVISORS, INC.|5151 SHOREHAM PLACE|SUITE 240|SAN DIEGO CA 92122|USA|||  ||RICHARD DONNELLY|858-622-9009|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/31/2001|0|0|0|0|0|0
Los Angeles Regional Office| 113098|801-63162|GOULD ASSET MANAGEMENT LLC|GOULD ASSET MANAGEMENT LLC|341 WEST FIRST STREET|SUITE 200|CLAREMONT CA 91711-4749|USA|||  ||DONALD P. GOULD|909-445-1291|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|05/27/2004|0|0|0|0|0|0
Los Angeles Regional Office| 113202|801-60363|SANTA BARBARA ALPHA STRATEGIES|SANTA BARBARA ALPHA STRATEGIES|30 EL PASEO BLDG.||SANTA BARBARA CA 93101|USA|||  ||KELLY D. KAESER|805-963-2661|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|06/22/2001|0|0|0|0|0|0
Los Angeles Regional Office| 113203|801-60384|TENNENBAUM CAPITAL PARTNERS, LLC|TENNENBAUM CAPITAL PARTNERS, LLC|2951 28TH STREET|SUITE 1000|SANTA MONICA CA 90405|USA|||  ||PAUL LESLIE DAVIS|310-899-4925|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/06/2001|0|0|0|0|0|0
Los Angeles Regional Office| 113245|801-60441|TRIBECA FINANCIAL, LLC|TRIBECA FINANCIAL, LLC|1635 N. GREENFIELD ROAD|SUITE 115|MESA AZ 85205|USA|||  ||KARL N. HUISH|480-248-6400|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/27/2001|0|0|0|0|0|0
Los Angeles Regional Office| 113308|801-60343|CAUSEWAY CAPITAL MANAGEMENT LLC|CAUSEWAY CAPITAL MANAGEMENT LLC|11111 SANTA MONICA BOULEVARD|SUITE 1500|LOS ANGELES CA 90025|USA|||  ||TURNER SWAN|310-231-6117|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/14/2001|0|0|0|0|0|0
Los Angeles Regional Office| 113516|801-63003|ASSET PRESERVATION STRATEGIES, INC.|ASSET PRESERVATION STRATEGIES, INC.|3636 NOBEL DRIVE, SUITE 440||SAN DIEGO CA 92122-1042|USA|||  ||JOHN L. JENKINS|858-455-1825|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|04/13/2004|0|0|0|0|0|0
Los Angeles Regional Office| 113529|801-60456|BILTMORE ADVISORS, INC.|BILTMORE ADVISORS, INC.|2415 E CAMELBACK ROAD|SUITE 700|PHOENIX AZ 85016|USA|||  ||JENNIFER SPEARS|602-252-1556|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|08/02/2001|0|0|0|0|0|0
Los Angeles Regional Office| 113535|801-60392|ALLIED CONSULTING GROUP|SCS RESOURCES, INC|10900 WILSHIRE BLVD.|SUITE 750|LOS ANGELES CA 90024|USA|||  ||STEVEN CHARLES SCHOEN|310-474-9801|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Publication of periodicals or newsletters, Other|APPROVED|07/03/2001|0|0|0|0|0|0
Los Angeles Regional Office| 113621|801-62795|PARTNERVEST ADVISORY SERVICES LLC|PARTNERVEST ADVISORY SERVICES LLC|510 CASTILLO STREET, 2ND FLOOR||SANTA BARBARA CA 93101|USA|P.O. BOX 1902||SANTA BARBARA CA 93102|USA|TIMOTHY J. MAHOTA|(805) 966-1266|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|02/12/2004|0|0|0|0|0|0
Los Angeles Regional Office| 113634|801-60634|BUCHANAN STREET PARTNERS|BUCHANAN STREET ADVISORS, L.P.|620 NEWPORT CENTER DRIVE|8TH FLOOR|NEWPORT BEACH CA 92660|USA|||  ||CHRIS GUY|949 219-1205|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|10/10/2001|0|0|0|0|0|0
Los Angeles Regional Office| 113719|801-57976|BACHE CAPITAL MANAGEMENT|BACHE CAPITAL MANAGEMENT, INC.|180 S. LAKE AVENUE|SUITE 610|PASADENA CA 91101|U.S.A.|||  ||STEPHEN K. BACHE, CFA|626-449-2134|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|09/21/2000|0|0|0|0|0|0
Los Angeles Regional Office| 113809|801-61656|ALLIED PORTFOLIO MANAGEMENT, INC.|ALLIED PORTFOLIO MANAGEMENT, INC.|5987 E. GRANT ROAD||TUCSON AZ 85712|USA|||  ||JULIE GRAHAM|520-296-1035|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|12/06/2002|0|0|0|0|0|0
Los Angeles Regional Office| 113822|801-63895|HERSHBERGER FINANCIAL SERVICES|DELGADO, WANDA L.|400 N. TUSTIN AVE., SUITE 280||SANTA ANA CA 92705|USA|400 N. TUSTIN AVE., SUITE 280||SANTA ANA CA 92705|USA|WANDA DELGADO|714-541-1400|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/28/2005|0|0|0|0|0|0
Los Angeles Regional Office| 113843|801-68121|STONEGATE FINANCIAL GROUP, LLC|STONEGATE FINANCIAL GROUP, LLC|11801 N. TATUM BLVD. SUITE 127||PHOENIX AZ 85028|USA|||  ||JAMES A. VAN HOUTEN|(602) 953-8450|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|08/03/2007|0|0|0|0|0|0
Los Angeles Regional Office| 113887|801-66972|THE PLANNING GROUP|THE PLANNING GROUP OF SCOTTSDALE, LLC|8800 N. GAINEY CENTER DRIVE|SUITE 176|SCOTTSDALE AZ 85258|USA|||  ||JESSICA DELLINGER|480-596-1580|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/26/2006|1|0|0|0|0|0
Los Angeles Regional Office| 113896|801-66454|TMD & ASSOCIATES, INC.|TMD & ASSOCIATES, INC.|3800 N. CENTRAL AVENUE|SUITE 860|PHOENIX AZ 85012|USA|||  ||TODD MACARTHUR DOUMA|602-279-2020|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|04/04/2006|0|0|0|0|0|0
Los Angeles Regional Office| 113916|801-60408|GENTER ADVISORS LLC|GENTER ADVISORS LLC|11601 WILSHIRE BLVD., 25TH FL.||LOS ANGELES CA 90025|USA|||  ||MANUEL A. GUTIERREZ|310-477-6543|Limited Liability Company|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|07/06/2001|0|0|0|0|0|0
Los Angeles Regional Office| 113938|801-64061|HILLSPRING FINANCIAL, INC.|HILLSPRING FINANCIAL, INC.|12213 W. BELL ROAD|SUITE 209|SURPRISE AZ 85374|USA|||  ||MAX W. SMITH|623-583-6141|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|03/22/2005|0|0|0|0|0|0
Los Angeles Regional Office| 113954|801-68864|PROFOCUS INCORPORATED|PROFOCUS INCORPORATED|3604 EAST TANO COURT||PHOENIX AZ 85044-3868|USA|||  ||GRETA SMITH|480-598-9960|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|03/06/2008|0|0|0|0|0|0
Los Angeles Regional Office| 113996|801-64216|L.J. BREY, INC.|L.J. BREY, INC.|321 HALAKI STREET||HONOLULU HI 96821-2101|USA|||  ||LESLEY JEAN BREY|(808) 526-2644|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/21/2005|0|0|0|0|0|0
Los Angeles Regional Office| 114024|801-68747|SABINO INVESTMENT MANAGEMENT, L.L.C.|SABINO INVESTMENT MANAGEMENT, L.L.C.|335 N. WILMOT ROAD|SUITE 460|TUCSON AZ 85711-2658|USA|||  ||ROBERT G. KAHL|(520) 790-2070|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/01/2008|0|0|0|0|0|0
Los Angeles Regional Office| 114148|801-68551|DEW WEALTH MANAGEMENT|INNOVATIVE WEALTH STRATEGIES, LLC|8800 E. RAINTREE DRIVE|SUITE 115|SCOTTSDALE AZ 85260|USA|||  ||JAMES DEW|480-614-9119|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|11/26/2007|0|0|0|0|0|0
Los Angeles Regional Office| 114167|801-62947|STRATEGIC WEALTH ADVISORS, LLC|STRATEGIC WEALTH ADVISORS, LLC|8429 E. APPALOOSA TRAIL||SCOTTSDALE AZ 85258|USA|9699 NORTH HAYDEN RD., #108-214||SCOTTSDALE AZ 85258|USA|LAURIE BAGLEY|480-998-1798|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|03/26/2004|0|0|0|0|0|0
Los Angeles Regional Office| 114505|801-67502|ALLEGIANCE FINANCIAL ADVISORS|ALLEGIANCE FINANCIAL ADVISORS INC.|12108 EAST PARADISE DRIVE||SCOTTSDALE AZ 85259|USA|||  ||OTTO T. JEFFRIES|(480) 443-1837|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/22/2007|0|0|0|0|0|0
Los Angeles Regional Office| 114649|801-60512|HOTCHKIS AND WILEY CAPITAL MANAGEMENT, LLC|HOTCHKIS AND WILEY CAPITAL MANAGEMENT, LLC|725 SOUTH FIGUEROA STREET|39TH FLOOR|LOS ANGELES CA 90017-5439|USA|||  ||ANNA MARIE LOPEZ|213-430-1896|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/05/2001|0|0|0|0|0|0
Los Angeles Regional Office| 114691|801-60629|THE YOUNG GROUP, INC.|THE YOUNG GROUP, INC.|4200 NORTH HIGHWAY 89-A||SEDONA AZ 86336-9632|USA|||  ||JOHN P. YOUNG II|928.282.4529|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|10/12/2001|0|0|0|0|0|0
Los Angeles Regional Office| 114699|801-60615|IRI INVESTMENT, LLC|IRI INVESTMENT, LLC|8001 IRVINE CENTER DRIVE|SUITE 820|IRVINE CA 92618|USA|||  ||GARY B. ROSS|949-910-1112|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|10/11/2001|0|0|0|0|0|0
Los Angeles Regional Office| 114739|801-61391|RAMAJAL|RAMAJAL LLC|800 WEST SIXTH ST.|SUITE 728|LOS ANGELES CA 90017-2713|USA|||  ||ANN CLARK|213-488-0100|Limited Liability Company|Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|08/14/2002|0|0|0|0|0|0
Los Angeles Regional Office| 114861|801-60483|ONE CAPITAL MANAGEMENT, LLC|ONE CAPITAL MANAGEMENT, LLC|21600 OXNARD STREET|SUITE 1760|WOODLAND HILLS CA 91367|USA|||  ||DAN STRIDSBERG|818-348-0045|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|11/05/2001|0|0|0|0|0|0
Los Angeles Regional Office| 114880|801-63752|CENTARA CAPITAL MANAGEMENT GROUP, INC.|CENTARA CAPITAL MANAGEMENT GROUP, INC.|8880 RIO SAN DIEGO DRIVE|4TH FLOOR|SAN DIEGO CA 92108|USA|||  ||MARK S. DOSSA|619-398-1700|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/03/2005|0|0|0|0|0|0
Los Angeles Regional Office| 114923|801-60524|INTEGRATED WEALTH MANAGEMENT, LLC|INTEGRATED WEALTH MANAGEMENT, LLC|7150 E. CAMELBACK ROAD|SUITE 200|SCOTTSDALE AZ 85251|USA|7150 E. CAMELBACK ROAD|SUITE 200|SCOTTSDALE AZ 85251|USA|BRENT PINE|(480)663-6000|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Market timing services|APPROVED|09/18/2001|0|0|0|0|0|0
Los Angeles Regional Office| 114949|801-60508|MADISON SCOTTSDALE|MADISON SCOTTSDALE, LC|8777 N. GAINEY CENTER DRIVE|SUITE 220|SCOTTSDALE AZ 85258|USA|||  ||RICHARD MASON|480-443-9537|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|08/31/2001|0|0|0|0|0|0
Los Angeles Regional Office| 114981|801-62600|DENK INVESTMENT ADVISORY|RON DENK INVESTMENT ADVISORY SERVICES, LTD.|2702 N. 3RD. STREET|SUITE 4001|PHOENIX AZ 85004|USA|||  ||RONALD P. DENK|602-252-8700|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|01/02/2004|0|0|0|0|0|0
Los Angeles Regional Office| 115040|801-60786|CDR FINANCIAL PRODUCTS, INC.|RUBIN/CHAMBERS, DUNHILL INSURANCE SERVICES, INC.|6222 WILSHIRE BLVD.|SUITE 220|LOS ANGELES CA 90048|USA|||  ||DAVID RUBIN|310-273-9384|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|12/14/2001|0|0|0|0|0|0
Los Angeles Regional Office| 115086|801-67764|BAKER JENSEN INVESTMENT ADVISORS, LLC|BAKER JENSEN INVESTMENT ADVISORS, LLC|3551 CAMINO MIRA COSTA|SUITE D-1|SAN CLEMENTE CA 92672-3504|USA|||  ||RICHARD ALLEN JENSEN|949-481-1805|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|08/09/2007|0|0|0|0|0|0
Los Angeles Regional Office| 115167|801-64700|CONTEXT CAPITAL MANAGEMENT LLC|CONTEXT CAPITAL MANAGEMENT LLC|4365 EXECUTIVE DRIVE|SUITE 850|SAN DIEGO CA 92121|USA|||  ||MICHAEL S. ROSEN|(858) 481-3666|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/26/2005|0|0|0|0|0|0
Los Angeles Regional Office| 115357|801-60976|AMERICAN MONEY MANAGEMENT, LLC|AMERICAN MONEY MANAGEMENT, LLC|14249 RANCHO SANTA FE FARMS ROAD|P.O. BOX 675203|RANCHO SANTA FE CA 92067|USA|P.O. BOX 675203||RANCHO SANTA FE CA 92067|U.S.A.|JOSEPH DANG|858-755-0909|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|03/04/2002|0|1|0|0|0|0
Los Angeles Regional Office| 115478|801-60807|AEGIS FINANCIAL GROUP, INC.|AEGIS FINANCIAL GROUP, INC.|7740 N. 16TH STREET|SUITE 385|PHOENIX AZ 85020|USA|||  ||MARK P. STEIN|602-674-1000|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|01/17/2002|0|0|0|0|0|0
Los Angeles Regional Office| 115585|801-60580|HATTON CONSULTING, INC.|HATTON CONSULTING, INC.|2425 E. CAMELBACK ROAD|SUITE 220|PHOENIX AZ 85016|USA|||  ||TIMOTHY M. HATTON|602-852-5525|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|09/19/2001|0|0|0|0|0|0
Los Angeles Regional Office| 115670|801-61496|RAYMOND J. LUCIA COMPANIES, INC.|RAYMOND J. LUCIA COMPANIES, INC.|13520 EVENING CREEK DRIVE NORTH|SUITE 300|SAN DIEGO CA 92128|USA|||  ||RAYMOND J. LUCIA, SR.|619-497-5555|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Publication of periodicals or newsletters, Other|APPROVED|09/30/2002|0|0|0|0|0|0
Los Angeles Regional Office| 115749|801-63256|DIAMOND PORTFOLIO ADVISORS, LLC|DIAMOND PORTFOLIO ADVISORS, LLC|10940 WILSHIRE BLVD.|SUITE 600|LOS ANGELES CA 90024-3940|USA|||  ||THOMAS M. WEARY|310-443-4156|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/18/2004|0|0|0|0|0|0
Los Angeles Regional Office| 115901|801-60680|LEGACY FINANCIAL GROUP|LEGACY FINANCIAL GROUP, LLC|990 W. 190TH STREET|SUITE 520|TORRANCE CA 90502|USA|||  ||DON TANAKA|310-756-1700|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|11/09/2001|0|0|0|0|0|0
Los Angeles Regional Office| 115927|801-64837|NATIONAL ASSET MANAGEMENT, INC.|NATIONAL ASSET MANAGEMENT, INC.|4695 MACARTHUR COURT, SUITE 930||NEWPORT BEACH CA 92660|USA|||  ||ALICIA GUAGLIARDO|206-622-7200|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters, Financial planning services|APPROVED|11/03/2005|0|43|4|0|0|0
Los Angeles Regional Office| 115945|801-69055|THIRD CREEK INVESTMENTS|THIRD CREEK INVESTMENTS, INC.|999 DRIVER WAY||INCLINE VILLAGE NV 89451|USA|PO BOX 5406||INCLINE VILLAGE NV 89450-5406|USA|DAVE STRALEY|775 832-9222|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/17/2008|0|0|0|0|0|0
Los Angeles Regional Office| 115994|801-62925|R.H. INVESTMENT GROUP, LLC|R.H. INVESTMENT GROUP, LLC|2158 NORTH GILBERT ROAD|SUITE 111|MESA AZ 85203|USA|||  ||EHREN HAYMORE|480-733-8200|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|03/26/2004|0|0|0|0|0|0
Los Angeles Regional Office| 116022|801-60797|ARIA PARTNERS GP, LLC|ARIA PARTNERS GP, LLC|11150 SANTA MONICA BLVD.|SUITE 700|LOS ANGELES CA 90025|USA|||  ||LORA LUCZYWO|(310) 445-6511|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/20/2001|0|0|0|0|0|0
Los Angeles Regional Office| 116089|801-69367|TRANSITION FINANCIAL ADVISORS GROUP, INC.|TRANSITION FINANCIAL ADVISORS GROUP, INC.|20 W. JUNIPER AVENUE|SUITE 101|GILBERT AZ 85233|USA|||  ||BRIAN DALE WRUK|(480) 722-9414|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|07/09/2008|0|0|0|0|0|0
Los Angeles Regional Office| 116124|801-67721|BILTMORE INVESTMENT GROUP|CAPITAL GROUP, INC.|60 E RIO SALADO PARKWAY|SUITE 711|TEMPE AZ 85281|USA|||  ||GILBERT N. GREER|602-273-1234|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Selection of other advisers, Other|APPROVED|04/09/2007|0|1|0|0|0|0
Los Angeles Regional Office| 116368|801-64427|JAGUAR INVESTMENT SERVICES, LTD|JAGUAR INVESTMENT SERVICES, LTD|4834 W. SAGUARO POINT PLACE||MARANA AZ 85653|USA|||  ||JOHN D. GAREAU|520.247.8859|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|06/23/2005|0|0|0|0|0|0
Los Angeles Regional Office| 116397|801-60836|WEALTH MANAGEMENT ASSOCIATES, LLC|WEALTH MANAGEMENT ASSOCIATES, LLC|2580 SORREL STREET||LAS VEGAS NV 89146|USA|||  ||ERIC W. HOUSSELS|702-252-3270|Limited Liability Company|Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|01/10/2002|0|0|0|0|0|0
Los Angeles Regional Office| 116590|801-60748|INTEGRATED FINANCIAL MANAGEMENT|BRIAN KEITH ROBERTS|970 ROAN COURT||FERNLEY NV 89408|USA|P.O. BOX 2140||FERNLEY NV 89408|USA|BRIAN ROBERTS|(925)768-1606|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|12/06/2001|0|0|0|0|0|0
Los Angeles Regional Office| 116593|801-64200|WINDSOR CAPITAL MANAGEMENT, LLC|WINDSOR CAPITAL MANAGEMENT, LLC|3420 E. SHEA BLVD|SUITE 230|PHOENIX AZ 85028|USA|||  ||DARREN WHITEHURST|602-953-5344|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/28/2005|0|0|0|0|0|0
Los Angeles Regional Office| 116767|801-66531|LHMP FINANCIAL & INSURANCE SERVICES|LHMP FINANCIAL SERVICES, LLC|100 EAST CORSON STREET|SUITE 200|PASADENA CA 91103|USA|||  ||SCOTT COLTON|626-744-5150|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|04/03/2006|0|0|0|0|0|0
Los Angeles Regional Office| 116771|801-67175|ASCENDANT FINANCIAL SOLUTIONS, INC.|ASCENDANT FINANCIAL SOLUTIONS, INC.|809 W. RIORDAN|SUITE 104|FLAGSTAFF AZ 86001|USA|||  ||JAMES D. HOYT|928-774-9598|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|09/19/2006|0|0|0|0|0|0
Los Angeles Regional Office| 116882|801-60782|RESMARK EQUITY PARTNERS, LLC|RESMARK EQUITY PARTNERS, LLC|10880 WILSHIRE BL. SUITE 1420||LOS ANGELES CA 90024|USA|||  ||MICHAEL R. WAGNER|310-474-8400 X202|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/04/2002|0|1|0|0|0|0
Los Angeles Regional Office| 116913|801-62158|ANCHOR BAY CAPITAL, INC.|ANCHOR BAY CAPITAL, INC.|5780 FLEET ST.|SUITE 308|CARLSBAD CA 92008|USA|||  ||BRIAN JOHNSON|760-602-3470|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/19/2003|0|0|0|0|0|0
Los Angeles Regional Office| 116933|801-60717|SAGE FINANCIAL ADVISORS INC.|SAGE FINANCIAL ADVISORS INC.|14238 N. NORTHSIGHT BLVD.||SCOTTSDALE AZ 85260|USA|||  ||KELLY A. CHRISTENSEN|480-305-8060|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|11/16/2001|0|0|0|0|0|0
Los Angeles Regional Office| 116985|801-67523|DAVID F. BELLO, CFP|DAVID FRANCIS BELLO|212 AIKAHI LOOP||KAILUA HI 96734|USA|||  ||DAVID F. BELLO|808-599-2555|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/24/2007|0|0|0|0|0|0
Los Angeles Regional Office| 117343|801-61366|ALSIN CAPITAL MANAGEMENT, INC.|ALSIN CAPITAL MANAGEMENT, INC.|80463 SPANISH BAY||LA QUINTA CA 92253|USA|PO BOX 1746||LA QUINTA CA 92247|USA|ARNE TORSTEN ALSIN|800-525-7222|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/05/2002|0|0|0|0|0|0
Los Angeles Regional Office| 117426|801-65082|STROME GROUP|STROME INVESTMENT MANAGEMENT, L.P.|100 WILSHIRE BLVD.|SUITE 1750|SANTA MONICA CA 90401|USA|||  ||MICHAEL ACHTERBERG|(310)917-6600|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/01/2006|0|1|0|0|0|0
Los Angeles Regional Office| 117651|801-60736|PALMYRA CAPITAL ADVISORS, LLC|PALMYRA CAPITAL ADVISORS, LLC|11111 SANTA MONICA BOULEVARD|SUITE 1100|LOS ANGELES CA 90025|USA|||  ||JOHN MATTHEWS|310-689-1705|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/29/2001|0|0|0|0|0|0
Los Angeles Regional Office| 117676|801-66830|ROBINSON, TIGUE, SPONCIL & ASSOCIATES, LLC|ROBINSON, TIGUE, SPONCIL & ASSOCIATES, LLC|2425 E. CAMELBACK ROAD|SUITE 620|PHOENIX AZ 85016|USA|||  ||LISA SPONCIL|602-224-7850|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/26/2006|0|0|0|0|0|0
Los Angeles Regional Office| 117775|801-60712|SEACOAST CAPITAL MANAGEMENT|SEACOAST CAPITAL MANAGEMENT|514 VIA DE LA VALLE, STE. 209||SOLANA BEACH CA 92075|USA|||  ||SUSAN CLARK LEWIS|858-436-2130|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|11/16/2001|0|0|0|0|0|0
Los Angeles Regional Office| 117908|801-60783|QUANTITATIVE STRATEGIES, INC.|QUANTITATIVE STRATEGIES, INC.|26637 W. AGOURA RD., #100||CALABASAS CA 91302|USA|||  ||PAUL OKAWA|(818) 708-0111|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|12/17/2001|0|0|0|0|0|0
Los Angeles Regional Office| 118022|801-66172|JAT INVESTMENT ADVISORS|JAT ENTERPRISES INC.|8111 EAST SHERIDAN STREET||SCOTTSDALE AZ 85257|USA|||  ||JACK M. CROSS|602-690-7752|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|03/27/2006|0|0|0|0|0|0
Los Angeles Regional Office| 118024|801-63878|PERMANENT VALUE INC.|PERMANENT VALUE INC.|2221 CAMINO DEL RIO SOUTH|#308|SAN DIEGO CA 92108|USA|||  ||NATHANIEL RITCHISON|619 682-3834|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/15/2005|0|0|0|0|0|0
Los Angeles Regional Office| 118035|801-69400|COLIN, BRUCE|COLIN, BRUCE TED|512 PASEO DE LAS ESTRELLAS||REDONDO BEACH CA 90277|USA|||  ||BRUCE TED COLIN|(310) 378-4355|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/08/2008|0|0|0|0|0|0
Los Angeles Regional Office| 118358|801-67945|IQ TRENDS PRIVATE CLIENT ASSET MANAGEMENT|KELLEY WRIGHT & COMPANY, INC.|2888 LOKER AVENUE EAST|SUITE 116|CARLSBAD CA 92010|USA|||  ||KELLEY R. WRIGHT|760-585-1459|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/05/2007|0|0|1|0|0|0
Los Angeles Regional Office| 118391|801-62233|FRIED ASSET MANAGEMENT, INC.|FRIED ASSET MANAGEMENT, INC.|15415 SUNSET BLVD.|STE. 200 D|PACIFIC PALISADES CA 90272|USA|||  ||DAVID RALPH FRIED|(310) 459-9196|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/30/2003|0|0|0|0|0|0
Los Angeles Regional Office| 118410|801-61120|BMB ADVISERS LLC|BMB ADVISERS LLC|10100 SANTA MONICA BLVD.|SUITE 1050|LOS ANGELES CA 90067|USA|||  ||WILLIAM BRODER|(310)734-1234|Limited Liability Company|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|05/02/2002|0|0|0|0|0|0
Los Angeles Regional Office| 118439|801-62176|AUTUS ASSET MANAGEMENT, LLC|AUTUS ASSET MANAGEMENT, LLC|16435 N. SCOTTSDALE RD.|SUITE 105|SCOTTSDALE AZ 85254|USA|||  ||MARK A. FIEDLER|(480)348-1800|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/24/2003|0|0|0|0|0|0
Los Angeles Regional Office| 118474|801-63887|LANPHIER CAPITAL MANAGEMENT, INC.|LANPHIER CAPITAL MANAGEMENT, INC.|4175 KAMALANI LANE||PRINCEVILLE HI 96722|USA|||  ||C. E. LANPHIER|808-826-0012|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/28/2005|0|2|0|0|0|0
Los Angeles Regional Office| 118846|801-60867|BEECHER INVESTMENT MANAGEMENT|BEECHER INVESTMENT MANAGEMENT|34805 MISSION HILLS DRIVE||RANCHO MIRAGE CA 92270|USA|||  ||HUGH BEECHER|760-321-8585|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|01/23/2002|0|0|0|0|0|0
Los Angeles Regional Office| 118868|801-67172|LOGICAL WEALTH MANAGEMENT INC.|LOGICAL WEALTH MANAGEMENT INC.|80 GLEN CARRAN CIRCLE||SPARKS NV 89431|USA|||  ||DANIEL GOPEN|775-355-9555|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|09/29/2006|0|0|0|0|0|0
Los Angeles Regional Office| 118949|801-62847|Z & P INVESTMENT SERVICES, LLC|Z & P INVESTMENT SERVICES, LLC|2192 DUPONT DRIVE, SUITE 110||IRVINE CA 92612|USA|||  ||CLAUDIA PELTIER|949-261-2010|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|02/27/2004|0|0|0|0|0|0
Los Angeles Regional Office| 118957|801-66553|ANDREWS ADVISORY ASSOCIATES, LLC|ANDREWS ADVISORY ASSOCIATES, LLC|1188 BISHOP STREET|#1808|HONOLULU HI 96813|USA|||  ||LESLIE G. ANDREWS|808-521-4015|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/20/2006|0|0|0|0|0|0
Los Angeles Regional Office| 119033|801-60934|LOS ANGELES CAPITAL MANAGEMENT AND EQUITY RESEARCH, INC.|LOS ANGELES CAPITAL MANAGEMENT AND EQUITY RESEARCH, INC.|11150 SANTA MONICA BOULEVARD|SUITE 200|LOS ANGELES CA 90025|USA|||  ||JENNIFER REYNOLDS|310-479-9947|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/25/2002|0|0|0|0|0|0
Los Angeles Regional Office| 119099|801-67645|KELLEY INVESTMENTS|KELLEY, CRAIG P|2175 EL AMIGO ROAD||DEL MAR CA 92014|USA|||  ||CRAIG P. KELLEY|858-350-1010|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|03/07/2007|0|0|0|0|0|0
Los Angeles Regional Office| 119185|801-61031|LIFESTYLE DESIGN GROUP LLC|LIFESTYLE DESIGN GROUP LLC|3236 COSTA SMERALDA CIRCLE||LAS VEGAS NV 89117|USA|4012 S. RAINBOW, SUITE K-613||LAS VEGAS NV 89103|USA|THOMAS EDWARD QUINLIN|(702) 247-6809|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|04/12/2002|0|0|0|0|0|0
Los Angeles Regional Office| 119200|801-61687|LOWE ENTERPRISES INVESTMENT MANAGEMENT, LLC|LOWE ENTERPRISES INVESTMENT MANAGEMENT, LLC|11777 SAN VICENTE BLVD.,|SUITE 900|LOS ANGELES CA 90049|USA|||  ||JOHN M DEMARCO|310-820-6661|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|01/02/2003|0|0|0|0|0|0
Los Angeles Regional Office| 119290|801-60943|BEACON POINTE ADVISORS, LLC|BEACON POINTE ADVISORS, LLC|500 NEWPORT CENTER DRIVE|SUITE 125|NEWPORT BEACH CA 92660|USA|||  ||SHANNON EUSEY|949-718-1600|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|02/20/2002|0|0|0|0|0|0
Los Angeles Regional Office| 119311|801-69016|SIMPLYRICH|ANTMAN, LESTER MURRAY|31113 OLD RIVER ROAD||BONSALL CA 92003|USA|||  ||DOUGLAS GRANT|909-941-1481|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|04/02/2008|0|0|0|0|0|0
Los Angeles Regional Office| 119445|801-61358|REGAL ADVISORY SERVICES, INC.|REGAL ADVISORY SERVICES, INC.|21800 BURBANK BLVD|SUITE 325|WOODLAND HILLS CA 91367|USA|||  ||JASON GRIFFIN|818-610-0079|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|08/02/2002|0|0|0|0|0|0
Los Angeles Regional Office| 119540|801-61074|LIDO ADVISORS|LIDO ADVISORS, INC.|9100 WILSHIRE BOULEVARD|SUITE 350W|BEVERLY HILLS CA 90212|USA|||  ||GREGORY P. KUSHNER|310 278-8232|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|04/12/2002|0|0|0|0|0|0
Los Angeles Regional Office| 119565|801-61058|GLENCREST INVESTMENT ADVISORS, INC.|GLENCREST INVESTMENT ADVISORS, INC.|1490 NORTH CLAREMONT BLVD.|SUITE 100|CLAREMONT CA 91711-3519|USA|||  ||MICHAEL SANCHEZ|909-447-2069|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|04/09/2002|0|1|0|0|0|0
Los Angeles Regional Office| 119660|801-64475|WEALTH MANAGEMENT GROUP, LLP|WEALTH MANAGEMENT GROUP, LLP|18201 VON KARMAN AVENUE|SUITE 305|IRVINE CA 92612-1070|USA|||  ||DAVID GEORGE|949-752-7997|Limited Liability Partnership|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|07/01/2005|0|0|0|0|0|0
Los Angeles Regional Office| 119662|801-61482|KBS REALTY ADVISORS, LLC|KBS REALTY ADVISORS, LLC|620 NEWPORT CENTER DR., SUITE 1300||NEWPORT BEACH CA 92660|USA|||  ||MARK A. KROTINE|(949) 417-6500|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Other|APPROVED|10/04/2002|0|0|0|0|0|0
Los Angeles Regional Office| 119691|801-64702|CARMEL CAPITAL ADVISORS, LLC|CARMEL CAPITAL ADVISORS, LLC|4225 EXECUTIVE SQUARE|SUITE 960|LA JOLLA CA 92037|USA|||  ||RUSSELL G. SILBERSTEIN|(858) 457-7544|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/26/2005|0|0|0|0|0|0
Los Angeles Regional Office| 119719|801-62205|LEONARD WEALTH MANAGEMENT, INC.|LEONARD WEALTH MANAGEMENT, INC.|417 BERYL STREET||REDONDO BEACH CA 90277|USA|||  ||SCOTT LEONARD|310-697-0400|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters, Other|APPROVED|07/21/2003|0|1|0|0|0|0
Los Angeles Regional Office| 119919|801-66206|CARTER JACOBS, LLC|CARTER JACOBS, LLC|15233 VENTURA BLVD.|#1010|SHERMAN OAKS CA 91403|USA|||  ||CHRISTOPHER M. CARTER|818.728.4556|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/30/2006|0|0|0|0|0|0
Los Angeles Regional Office| 119938|801-69128|FINANCIAL INSIGHT CORPORATION|FINANCIAL INSIGHT CORP|3111 CAMINO DEL RIO NORTH|SUITE 602|SAN DIEGO CA 92108-5726|USA|||  ||LAWRENCE POTOMAC|619-563-0305|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|05/07/2008|0|0|0|0|0|0
Los Angeles Regional Office| 120011|801-61016|KEY INVESTMENT TEAM|KEY INVESTMENT TEAM|16830 VENTURA BLVD|STE 224|ENCINO CA 91436|USA|||  ||ROBERT B. VENEZIA|818-205-1013|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|04/02/2002|0|1|0|0|0|0
Los Angeles Regional Office| 120196|801-61536|SVIM / MSM, LLC|SVIM / MSM, LLC|2951 28TH STREET|SUITE 1000|SANTA MONICA CA 90405|USA|||  ||PAUL LESLIE DAVIS|310-899-4925|Limited Liability Company|Other|APPROVED|10/18/2002|0|0|0|0|0|0
Los Angeles Regional Office| 120197|801-61537|SVIM / MSM II, LLC|SVIM / MSM II, LLC|2951 28TH STREET|SUITE 1000|SANTA MONICA CA 90405|USA|||  ||PAUL LESLIE DAVIS|310-899-4925|Limited Liability Company|Other|APPROVED|10/18/2002|0|0|0|0|0|0
Los Angeles Regional Office| 120205|801-62109|PDV FINANCIAL MANAGEMENT|PDV FINANCIAL MANAGEMENT|10680 WEST PICO BLVD|STE 400|LOS ANGELES CA 90064|USA|||  ||DEBORAH W. LEE|310-559-0898|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|06/04/2003|0|0|0|0|0|0
Los Angeles Regional Office| 120232|801-63474|CAPITAL FINANCIAL ADVISORS|CAPITAL FINANCIAL ADVISORS, L.L.C.|3655 NOBEL DRIVE|SUITE 340|LA JOLLA CA 92122|USA|||  ||ANTHONY FERREIRA|(800) 620-4232|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|09/02/2004|0|0|0|0|0|0
Los Angeles Regional Office| 120240|801-61092|MAGEE THOMSON INVESTMENT PARTNERS, LLC|MAGEE THOMSON INVESTMENT PARTNERS, LLC|12531 HIGH BLUFF DRIVE|SUITE 120|SAN DIEGO CA 92130|USA|||  ||KELLY THOMSON|858-350-5050|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/09/2002|0|0|0|0|0|0
Los Angeles Regional Office| 120243|801-61243|THE RESOURCE GROUP ASSET AND TRUST MANAGERS|MMGC INC.|78-000 FRED WARING DRIVE|SUITE 204|PALM DESERT CA 92211|USA|||  ||MICHELE MOORE|760-836-9052|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|06/10/2002|0|0|0|0|0|0
Los Angeles Regional Office| 120277|801-61100|LM CAPITAL GROUP, LLC|LM CAPITAL GROUP, LLC|401 B STREET, SUITE 920||SAN DIEGO CA 92101|USA|||  ||DENISE MADRUGA|619.814.1401|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|04/01/2002|0|0|0|0|0|0
Los Angeles Regional Office| 120279|801-63596|SUZANNE JOSEPH & ASSOCIATES, INC.|SUZANNE JOSEPH & ASSOCIATES, INC.|32750 BARRETT DR||WESTLAKE VILLAGE CA 91361-5528|USA|||  ||SUZANNE JOSEPH|818-879-1895|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|10/22/2004|0|0|0|0|0|0
Los Angeles Regional Office| 120374|801-61416|LEISURE CAPITAL MANAGEMENT, INC.|LEISURE CAPITAL MANAGEMENT, INC.|650 TOWN CENTER DR.|SUITE 670|COSTA MESA CA 92626-1989|USA|||  ||MARR N. LEISURE|714-384-4050|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/28/2002|0|0|0|0|0|0
Los Angeles Regional Office| 120410|801-65109|RIMROCK CAPITAL MANAGEMENT LLC|RIMROCK CAPITAL MANAGEMENT LLC|27372 CALLE ARROYO, SUITE A||SAN JUAN CAPISTRANO CA 92675-2746|USA|||  ||PAUL CYRIL WESTHEAD|949-276-7300|Limited Liability Company|Other|APPROVED|01/05/2006|0|0|0|0|0|0
Los Angeles Regional Office| 120440|801-61153|RESEARCH AFFILIATES|RESEARCH AFFILIATES, LLC|155 N. LAKE AVE.|SUITE 900|PASADENA CA 91101|USA|||  ||JANINE NESBIT|(626)584-2165|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|05/10/2002|0|0|0|0|0|0
Los Angeles Regional Office| 120454|801-61141|PACIFICOR, LLC|PACIFICOR, LLC|740 STATE STREET, SUITE 202||SANTA BARBARA CA 93101|USA|||  ||STEVE ROTH|805-680-8804|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/02/2002|0|0|0|0|0|0
Los Angeles Regional Office| 120653|801-61172|MACQUARIE ALLEGIANCE CAPITAL, LLC|MACQUARIE ALLEGIANCE CAPITAL, LLC|300 PACIFIC COAST HIGHWAY|STE 305|HUNTINGTON BEACH CA 92648|USA|||  ||SHARON GOLDBERG|714-374-5485|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/11/2002|0|9|0|0|0|0
Los Angeles Regional Office| 120773|801-61267|HARRINGTON CAPITAL ADVISORS,INC.|HARRINGTON CAPITAL ADVISORS,INC.|ONE SPECTRUM POINTE DRIVE|SUITE 130|LAKE FOREST CA 92630|USA|||  ||DEBORAH L. HARRINGTON|949-206-6846|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/21/2002|0|0|0|0|0|0
Los Angeles Regional Office| 120805|801-64007|PARADIGM CAPITAL MANAGEMENT|PARADIGM CAPITAL MANAGEMENT,LLC|6170 RIDGEVIEW COURT, SUITE F||RENO NV 89519|USA|||  ||BRUCE HARVEY|775-829-8787|Limited Liability Company|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|04/14/2005|0|0|0|0|0|0
Los Angeles Regional Office| 120829|801-61213|CAPITAL ASSET GROUP, INC|CAPITAL ASSET GROUP, INC|2121 EAST PACIFIC COAST HIGHWAY, SUITE 210||CORONA DEL MAR CA 92625|USA|||  ||JEFFREY DICARLO|949-270-2740|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/31/2002|0|0|0|0|0|0
Los Angeles Regional Office| 120838|801-61338|FIDUCIARY CAPITAL MANAGEMENT, INC.|FIDUCIARY CAPITAL MANAGERS, INC.|11845 W. OLYMPIC BLVD.|#735|LOS ANGELES CA 90064|USA|||  ||EDWARD GODFREY|310-444-5273|Corporation|Selection of other advisers|APPROVED|07/29/2002|0|0|0|0|0|0
Los Angeles Regional Office| 120846|801-61244|MODERN PORTFOLIO CONSULTANTS, LLC|MODERN PORTFOLIO CONSULTANTS, LLC|2750 QUEENS GARDEN CT.||WESTLAKE VILLAGE CA 91361|USA|||  ||DAVID J. DELUCCIA|805-370-5300|Limited Liability Company|Pension consulting services, Selection of other advisers, Other|APPROVED|06/10/2002|0|0|0|0|0|0
Los Angeles Regional Office| 120952|801-61219|SCHNIEDERS CAPITAL MANAGEMENT, LLC.|SCHNIEDERS CAPITAL MANAGEMENT, LLC.|201 SOUTH LAKE AVENUE, SUITE 303||PASADENA CA 91107|USA|||  ||JAMES F. SCHNIEDERS|626.584.6168|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/31/2002|0|0|0|0|0|0
Los Angeles Regional Office| 120986|801-67406|RETIREMENT SOLUTIONS, INC.|RETIREMENT SOLUTIONS, INC.|5857 OWENS AVE, SUITE 110||CARLSBAD CA 92008|USA|||  ||SCOTT CHELBERG|760-603-0700|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/03/2007|0|0|0|0|0|0
Los Angeles Regional Office| 121175|801-61883|BEL AIR MANAGEMENT, LLC|BEL AIR MANAGEMENT, LLC|1999 AVENUE OF THE STARS SUITE 2800||LOS ANGELES CA 90067|USA|||  ||MATTTHEW D. ANHUT|310-229-1529|Limited Liability Company|Other|APPROVED|03/14/2003|0|0|0|0|0|0
Los Angeles Regional Office| 121254|801-66107|401(K) ADVISORS, INC.|401(K) ADVISORS, INC.|120 VANTIS|SUITE 400|ALISO VIEJO CA 92656|USA|||  ||VINCE GIOVINAZZO|949-460-9898|Corporation|Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers, Other|APPROVED|01/31/2006|0|0|0|0|0|0
Los Angeles Regional Office| 121336|801-61309|PENNIALL & ASSOCIATES, INC.|PENNIALL & ASSOCIATES, INC.|257 SOUTH FAIR OAKS, #200||PASADENA CA 91105|USA|||  ||ELIZABETH M. WALTERS|626-795-3062|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|07/15/2002|0|0|0|0|0|0
Los Angeles Regional Office| 121527|801-61704|COPELAND WEALTH MANAGEMENT|COPELAND WEALTH MANAGEMENT|25809 BUSINESS CENTER DRIVE|SUITE F|REDLANDS CA 92374|USA|||  ||C. LAWRENCE COPELAND|909-799-8565|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|01/13/2003|0|0|0|0|0|0
Los Angeles Regional Office| 121876|801-61379|NWQ INVESTMENT MANAGEMENT COMPANY, LLC|NWQ INVESTMENT MANAGEMENT COMPANY, LLC|2049 CENTURY PARK EAST|16TH FLOOR|LOS ANGELES CA 90067|USA|||  ||SANDRA P. TICHENOR|310 228-5194|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|08/01/2002|0|0|0|0|0|0
Los Angeles Regional Office| 122057|801-68063|JDM FINANCIAL GROUP LLC|JDM FINANCIAL GROUP LLC|2022 BENTLEY AVENUE|UNIT 102|LOS ANGELES CA 90025|USA|11301 OLYMPIC BLVD|SUITE 330|LOS ANGELES CA 90064|USA|JEFFREY D. MUNJACK|(310) 479-4122|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/27/2007|0|0|0|0|0|0
Los Angeles Regional Office| 122215|801-62574|LENTZ+LENTZ STRATEGIC INVESTMENT ADVISORS, INC.|LENTZ+LENTZ STRATEGIC INVESTMENT ADVISORS, INC.|375 VASSAR ST||RENO NV 89502|USA|||  ||GWEN LENTZ|775-323-1990|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/02/2004|0|0|0|0|0|0
Los Angeles Regional Office| 122233|801-62651|AVENUE ADVISORS, LLC|AVENUE ADVISORS, LLC|12707 HIGH BLUFF DRIVE|SUITE 200|SAN DIEGO CA 92130|USA|||  ||JEAN SINCLAIR|858-581-3824|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/06/2004|0|0|0|0|0|0
Los Angeles Regional Office| 122307|801-67339|J.DEREK LEWIS & ASSOCIATES, INC.|J.DEREK LEWIS & ASSOCIATES, INC.|1001 DOVE STREET, SUITE 155||NEWPORT BEACH CA 92660-2820|USA|||  ||JOHN DEREK LEWIS|(949) 752-9096|Corporation|Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers, Other|APPROVED|12/04/2006|0|0|0|0|0|0
Los Angeles Regional Office| 122309|801-61556|FMB WEALTH MANAGEMENT|FMB WEALTH MANAGEMENT|2659 TOWNSGATE ROAD, SUITE 246||WESTLAKE VILLAGE CA 91361|USA|||  ||THOMAS W. FIELDS|805-446-4494|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/08/2002|0|0|0|0|0|0
Los Angeles Regional Office| 122342|801-64353|FINANCIAL CONCEPTS|FINANCIAL CONCEPTS, INC.|3195 WEST RAY ROAD|SUITE 9|CHANDLER AZ 85226|USA|||  ||TIM L. WOLF|480-963-1300|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|06/17/2005|0|1|0|0|0|0
Los Angeles Regional Office| 122560|801-66221|SAYE CAPITAL MANAGEMENT, L.P.|SAYE CAPITAL MANAGEMENT, L.P.|820 MANHATTAN AVENUE|SUITE 206|MANHATTAN BEACH CA 90266|USA|||  ||JEFFREY SAYE|310-374-0200|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/23/2006|0|0|0|0|0|0
Los Angeles Regional Office| 122612|801-61904|ADAGIO CAPITAL MANAGEMENT, LLC|ADAGIO CAPITAL MANAGEMENT, LLC|730 SANDHILL ROAD|SUITE 310|RENO NV 89521|USA|||  ||DAVID L. HOLMES|775-828-2110|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|04/01/2003|0|1|0|0|0|0
Los Angeles Regional Office| 122718|801-63499|INVESTMENT MANAGEMENT CONSULTANTS|INVESTMENT MANAGEMENT CONSULTANTS|5440 W. SAHARA AVENUE|SUITE 102|LAS VEGAS NV 89146|USA|||  ||BRAD DAVIES|702 869-0330|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|09/10/2004|0|0|0|0|0|0
Los Angeles Regional Office| 122867|801-64063|PACIFIC PARK FINANCIAL, INC.|PACIFIC PARK FINANCIAL, INC.|101 COLUMBIA, SUITE 190||ALISO VIEJO CA 92656|USA|||  ||GARY GORDON|949-600-6294|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/20/2005|0|0|0|0|0|0
Los Angeles Regional Office| 123102|801-63601|THE RETIREMENT GROUP|CUENCA, FRANK AUGUSTINE|707 BROADWAY|SUITE 1200|SAN DIEGO CA 92101|USA|||  ||RONALD HARPOOTLIAN|800-900-5867|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|11/12/2004|0|2|0|0|0|0
Los Angeles Regional Office| 123305|801-67320|ALESSANDRA CAPITAL MANAGEMENT, LLC|ALESSANDRA CAPITAL MANAGEMENT, LLC|501 DEEP VALLEY DR., STE 202||ROLLING HILLS ESTATES CA 90274|USA|||  ||GREGORY P. ALESSANDRA|(310) 377-9220|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|11/20/2006|0|0|0|0|0|0
Los Angeles Regional Office| 123527|801-61548|PRIVATE EQUITY INVESTMENTS, INC.|PRIVATE EQUITY INVESTMENTS, INC.|1700 WEST KATELLA AVENUE|2ND FLOOR|ORANGE CA 92867|USA|3419 VIA LIDO|351|NEWPORT BEACH CA 92663|USA|MR. ROBERT LANGSAM|(800) 455-6050|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/06/2002|0|0|0|0|0|0
Los Angeles Regional Office| 123543|801-61643|ANCHOR CAPITAL|ANCHOR CAPITAL MANAGEMENT GROUP, INC.|16140 SAND CANYON AVE|SUITE 101|IRVINE CA 92618|USA|||  ||DENNIS BARKER|9493410000|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/29/2002|0|0|0|0|0|0
Los Angeles Regional Office| 123651|801-66650|THE LEONARD FINANCIAL GROUP, LLC|THE LEONARD FINANCIAL GROUP, LLC|6960 MAGNOLIA AVENUE|SUITE 200|RIVERSIDE CA 92506|USA|||  ||KARL HICKS|951-781-7320|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/03/2006|0|1|1|0|0|0
Los Angeles Regional Office| 123672|801-61746|PRECISE INVESTMENT MANAGEMENT, LLC|PRECISE INVESTMENT MANAGEMENT, LLC|8899 UNIVERSITY CENTER LANE|SUITE 310|SAN DIEGO CA 92122|USA|||  ||CARLOS LEGASPY|858-646-0019|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|01/21/2003|0|0|0|0|0|0
Los Angeles Regional Office| 123688|801-67307|VERDANT CAPITAL MANAGEMENT INC.|VERDANT CAPITAL MANAGEMENT INC.|3838 CARSON STREET SUITE #218||TORRANCE CA 90503|USA|3838 CARSON STREET SUITE #218||TORRANCE CA 90503|UNITED STATES|DAVID C.YU|310-540-2818|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|11/21/2006|0|0|0|0|0|0
Los Angeles Regional Office| 123764|801-68390|CAPSTONE CAPITAL GROUP|CAPSTONE CAPITAL FINANCIAL STRATEGIES|2600 PASEO VERDE PARKWAY|SUITE 150|HENDERSON NV 89074|USA|||  ||KIMBERLY E. THOMAS|702-433-7588|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|09/27/2007|0|0|0|0|0|0
Los Angeles Regional Office| 123794|801-61666|XELAN FINANCIAL PLANNING, INC.|XELAN FINANCIAL PLANNING, INC.|401 WEST A STREET, SUITE 2210||SAN DIEGO CA 92101|USA|||  ||SHANNON OTTERBECK|619-232-0444|Corporation|Financial planning services|APPROVED|12/06/2002|0|1|0|0|0|0
Los Angeles Regional Office| 123806|801-61663|SVAR/MM, LLC|SVAR/MM, LLC|2951 28TH STREET|SUITE 1000|SANTA MONICA CA 90405|USA|||  ||PAUL LESLIE DAVIS|310-899-4925|Limited Liability Company|Other|APPROVED|01/14/2003|0|0|0|0|0|0
Los Angeles Regional Office| 123875|801-64060|STEIN WHITTINGTON DENIEL INVESTMENT ADVISORS, INC.|STEIN WHITTINGTON DENIEL INVESTMENT ADVISORS, INC.|73-255 EL PASEO|SUITE 14|PALM DESERT CA 92260|USA|||  ||RICK M. STEIN|760-776-1488|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/29/2005|0|0|0|0|0|0
Los Angeles Regional Office| 123907|801-64695|CARMEL CAPITAL PARTNERS, LLC|CARMEL CAPITAL PARTNERS, LLC|4225 EXECUTIVE SQUARE|SUITE 960|LA JOLLA CA 92037|USA|||  ||RUSSELL G. SILBERSTEIN|(858) 457-7544|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/23/2005|0|0|0|0|0|0
Los Angeles Regional Office| 123953|801-61610|SUNLIN CONSULTING INVESTMENT ADVISORY SERVICES, LLC|SUNLIN CONSULTING INVESTMENT ADVISORY SERVICES, LLC|21024 JOLLY TRAIL||TOPANGA CA 90290|USA|P.O. BOX 83907||LOS ANGELES CA 90083-0921|USA|R. MURRAY MCBRIDE|909-305-1501|Limited Liability Company|Pension consulting services, Selection of other advisers, Other|APPROVED|11/19/2002|0|0|0|0|0|0
Los Angeles Regional Office| 124038|801-63046|BEVERLY INVESTMENT ADVISORS LLC|BEVERLY INVESTMENT ADVISORS LLC|9701 WILSHIRE BOULEVARD|10TH FL.|BEVERLY HILLS CA 90212|USA|||  ||CANON J. PRICE|310-246-1200|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|04/15/2004|0|0|0|0|0|0
Los Angeles Regional Office| 124085|801-64446|FINANCIAL SECURITY SOLUTIONS, CORP.|FINANCIAL SECURITY SOLUTIONS, CORP.|18401 BURBANK BLVD., SUITE 209||TARZANA CA 91356|USA|||  ||KAREN MALKOFF-HATTON|818-344-7177|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/15/2005|0|0|0|0|0|0
Los Angeles Regional Office| 124298|801-62374|YOSEMITE CAPITAL MANAGEMENT|YOSEMITE CAPITAL MANAGEMENT, LLC|17501 EAST 17TH STREET|SUITE 100|TUSTIN CA 92780|USA|||  ||PAUL H. HECKLER|714-730-3310|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|09/26/2003|0|0|0|0|0|0
Los Angeles Regional Office| 124393|801-65016|OMNIQUEST CAPITAL, LLC|OMNIQUEST CAPITAL, LLC|11111 SANTA MONICA BLVD.|SUITE 1400|LOS ANGELES CA 90025|USA|||  ||ELOISE YELLEN CLARK|310-473-3018|Limited Liability Company|Other|APPROVED|11/17/2005|0|0|0|0|0|0
Los Angeles Regional Office| 124462|801-61657|WEALTH MANAGEMENT & BUSINESS CONCEPTS|WEALTH MANAGEMENT & BUSINESS CONCEPTS|23201 LAKE CENTER DRIVE|SUITE 214|LAKE FOREST CA 92630|USA|||  ||ANGIE KUNO|949-829-9622|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|12/06/2002|0|0|0|0|0|0
Los Angeles Regional Office| 124465|801-61667|GUINNESS ATKINSON ASSET MANAGEMENT, INC.|GUINNESS ATKINSON ASSET MANAGEMENT, INC.|21550 OXNARD STREET, SUITE 750||WOODLAND HILLS CA 91367|USA|||  ||JAMES ATKINSON|818 716-2739|Corporation|Portfolio management for investment companies|APPROVED|12/10/2002|0|0|0|0|0|0
Los Angeles Regional Office| 124492|801-66847|HAWTREE ADVISORY GROUP, LLC|HAWTREE ADVISORY GROUP, LLC|6069 E. GRANT ROAD||TUCSON AZ 85712-2318|USA|||  ||SAMUEL E. HAWTREE|520-886-5161|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|07/10/2006|0|0|0|0|0|0
Los Angeles Regional Office| 124791|801-61873|OXFORD INVESTMENT PARTNERS, LLC|OXFORD INVESTMENT PARTNERS, LLC|2390 E. CAMELBACK ROAD|SUITE 202|PHOENIX AZ 85016|USA|||  ||WALTER CLARKE|602-381-1000|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/16/2003|0|1|1|0|0|0
Los Angeles Regional Office| 124990|801-62443|GAINSBOROUGH FINANCIAL CONSULTANTS, INC.|GAINSBOROUGH FINANCIAL CONSULTANTS, INC.|11625 BARRINGTON COURT|SUITE #201B|LOS ANGELES CA 90049-2828|USA|||  ||ANITA O'CONNOR|714-637-9012|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/04/2004|0|0|0|0|0|0
Los Angeles Regional Office| 125126|801-61765|A&M INVESTMENT MANAGEMENT|A&M INVESTMENT MANAGEMENT|750 B STREET, SUITE 2870||SAN DIEGO CA 92101-8132|USA|||  ||MEIERHOFER, STEFAN|619-239-1445|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/01/2003|0|0|0|0|0|0
Los Angeles Regional Office| 125243|801-62730|WIMMER ASSOCIATES LLC|WIMMER ASSOCIATES I, LLC|350 WEST COLORADO BOULEVARD|SUITE 200|PASADENA CA 91105-1855|USA|||  ||KATHERINE J. WIMMER|626-683-3150|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|01/22/2004|0|0|0|0|0|0
Los Angeles Regional Office| 125275|801-63950|HILLEGAS ADVISORY SERVICES|HILLEGAS, CRAIG JAMES|8035 ENTRADA DE LUZ WEST||SAN DIEGO CA 92127|USA|||  ||CRAIG HILLEGAS|760-489-2781|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|02/11/2005|0|0|0|0|0|0
Los Angeles Regional Office| 125410|801-61905|RICE HALL JAMES & ASSOCIATES LLC|RICE HALL JAMES & ASSOCIATES LLC|600 WEST BROADWAY SUITE 1000||SAN DIEGO CA 92101-3383|USA|||  ||DEMPSTER, DONALD O.|619-239-9005|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/13/2003|0|0|0|0|0|0
Los Angeles Regional Office| 125713|801-64157|INSPIRED FINANCIAL|INSPIRED FINANCIAL LLC|5011 ARGOSY AVE|STE. 7|HUNTINGTON BEACH CA 92649|USA|||  ||EVELYN ZOHLEN|714-971-0663|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Other|APPROVED|04/08/2005|0|0|0|0|0|0
Los Angeles Regional Office| 125748|801-61912|INDEX STREET ADVISORS, INC.|INDEX STREET ADVISORS, INC.|713 GOLDENROD AVE||CORONA DEL MAR CA 92625-2148|USA|||  ||DAN PURCELL|949-480-9134|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|03/21/2003|0|0|0|0|0|0
Los Angeles Regional Office| 125790|801-62010|PACIFICA CAPITAL INVESTMENTS|PACIFICA CAPITAL INVESTMENTS LLC|5119 EL MIRLO||RANCHO SANTA FE CA 92067|USA|P.O. BOX 710||RANCHO SANTA FE CA 92067|USA|STEVEN C. LEONARD|858-759-6800|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|05/16/2003|0|0|0|0|0|0
Los Angeles Regional Office| 125820|801-67217|SILVERSAGE ADVISORS|SILVERSAGE ADVISORS|19200 VON KARMAN AVENUE,|SUITE 370|IRVINE CA 92612|USA|||  ||JEFFREY M. GARELL|949-223-5175|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|02/09/2007|0|0|0|0|0|0
Los Angeles Regional Office| 126442|801-61957|NEIMAN CAPITAL MANAGEMENT, LLC|NEIMAN CAPITAL MANAGEMENT, LLC|6325 LA VALLE PLATEADA|BOX 205|RANCHO SANTA FE CA 92067-0205|USA|721 ENSENADA CT||SAN DIEGO CA 92109|USA|HARVEY NEIMAN|858-759-4223|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Selection of other advisers|APPROVED|04/01/2003|0|0|0|0|0|0
Los Angeles Regional Office| 126752|801-66660|CARDIFF PARK ADVISORS,LLC|CARDIFF PARK ADVISORS,LLC|2257 VISTA LA NISA||CARLSBAD CA 92009|USA|||  ||JOHN MICHAEL GORLOW|760-635-7526|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/03/2006|0|0|0|0|0|0
Los Angeles Regional Office| 126777|801-64265|SAGEVIEW ADVISORY GROUP, LLC|SAGEVIEW ADVISORY GROUP, LLC|2010 MAIN ST.,|SUITE 1220|IRVINE CA 92614|USA|||  ||RANDALL LONG|949-955-1395|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|05/31/2005|0|0|0|0|0|0
Los Angeles Regional Office| 126800|801-65051|REIS INVESTMENT MANAGEMENT, INC.|REIS INVESTMENT MANAGEMENT, INC.|8950 VILLA LA JOLLA DRIVE|SUITE C 110|LA JOLLA CA 92037|USA|||  ||JOHN C. REIS|858-455-5522|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/01/2006|0|0|0|0|0|0
Los Angeles Regional Office| 126826|801-62160|SB CAPITAL MANAGEMENT, INC.|SB CAPITAL MANAGEMENT, INC.|6345 BALBOA BLVD.,BUILDING 4|SUITE 375|ENCINO CA 91316|USA|||  ||JILL HERBERT|818-774-1000 X 181|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/24/2003|0|0|0|0|0|0
Los Angeles Regional Office| 126981|801-62086|MICHAEL J.D. MCCALL, INC.|MICHAEL J.D. MCCALL, INC.|222 SOUTH FIGUEROA STREET|SUITE 1917|LOS ANGELES CA 90012|USA|P.O. BOX 71525||LOS ANGELES CA 90071|USA|MICHAEL J.D. MCCALL|213-217-5191|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/19/2003|0|0|0|0|0|0
Los Angeles Regional Office| 127075|801-62337|INSYMPHONY CAPITAL ADVISORS, LLC|INSYMPHONY CAPITAL ADVISORS, LLC|2525 EAST CAMELBACK ROAD|SUITE 1050|PHOENIX AZ 85016|USA|||  ||ROSE V. HORTON|602-381-0177|Limited Liability Company|Other|APPROVED|10/03/2003|0|0|0|0|0|0
Los Angeles Regional Office| 127077|801-62071|FOUR CORNERS CAPITAL MANAGEMENT, LLC|FOUR CORNERS CAPITAL MANAGEMENT, LLC|515 SOUTH FLOWER STREET|SUITE 1600|LOS ANGELES CA 90071|USA|||  ||BRETT BYRD|213-233-4447|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|05/29/2003|0|10|0|0|0|0
Los Angeles Regional Office| 127079|801-62307|INSYMPHONY PRIVATE CAPITAL, LLC|INSYMPHONY PRIVATE CAPITAL, LLC|2525 EAST CAMELBACK ROAD|SUITE 1050|PHOENIX AZ 85016|USA|||  ||ROSE V. HORTON|602-381-0177|Limited Liability Company|Other|APPROVED|08/28/2003|0|0|0|0|0|0
Los Angeles Regional Office| 127218|801-62116|NUVEEN INVESTMENTS INSTITUTIONAL SERVICES GROUP LLC|NUVEEN INVESTMENTS INSTITUTIONAL SERVICES GROUP LLC|2049 CENTURY PARK EAST 18TH FLOOR||LOS ANGELES CA 90067|USA|||  ||SANDRA P. TICHENOR|310-552-5194|Limited Liability Company|Other|APPROVED|06/11/2003|0|0|0|0|0|0
Los Angeles Regional Office| 127284|801-63281|PRUDENT INVESTORS NETWORK, INC.|PRUDENT INVESTORS NETWORK, INC.|2598 FORTUNE WAY|SUITE G|VISTA CA 92081-8442|USA|||  ||LEE H. ANKE|(760) 597-9255|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|07/09/2004|0|0|0|0|0|0
Los Angeles Regional Office| 127309|801-67551|COOKE WEALTH MANAGEMENT, LLC|COOKE WEALTH MANAGEMENT, LLC|1811 EAST GARRY AVENUE||SANTA ANA CA 92705|USA|||  ||JOHN THOMAS COOKE|949-724-3880|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|02/12/2007|0|0|0|0|0|0
Los Angeles Regional Office| 127317|801-63286|MYOJO ASSET MANAGEMENT HAWAII LLC|MYOJO ASSET MANAGEMENT HAWAII LLC|1441 KAPIOLANI BLVD.|SUITE 808|HONOLULU HI 96814-4404|USA|||  ||CHARLES E. HALL, JR.|(717) 258-0701|Limited Liability Company|Selection of other advisers, Other|APPROVED|06/30/2004|0|0|0|0|0|0
Los Angeles Regional Office| 127517|801-67190|WEALTH MANAGEMENT SOLUTIONS|WEALTH MANAGEMENT SOLUTIONS, LLC|8550 E. SHEA BOULEVARD, SUITE 130||SCOTTSDALE AZ 85260|USA|||  ||DAVID ROSENTHAL|4806094334|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|11/01/2006|0|0|0|0|0|0
Los Angeles Regional Office| 127615|801-64719|PACIFIC INVESTMENT ADVISORS, LLC|PACIFIC INVESTMENT ADVISORS, LLC|5439 SENECA PLACE||SIMI VALLEY CA 93063|USA|2470 STEARNS STREET, #328||SIMI VALLEY CA 93063|USA|STEPHEN K. VAUGHEN|805-955-0650|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|09/30/2005|0|0|0|0|0|0
Los Angeles Regional Office| 127704|801-67234|PERSPECTIVE FINANCIAL SERVICES LLC|PERSPECTIVE FINANCIAL SERVICES LLC|1440 E. MISSOURI AVENUE|SUITE C250|PHOENIX AZ 85014|USA|||  ||MIKE MCCANN|602-281-4357|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|11/02/2006|0|1|0|0|0|0
Los Angeles Regional Office| 127711|801-62433|ORIGIN FINANCIAL GROUP LLC|ORIGIN FINANCIAL GROUP LLC|4224 WAIALEA AVENUE #413||HONOLULU HI 96816|USA|||  ||PAUL G ZEISEL|808-395-8500|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|10/20/2003|0|0|0|0|0|0
Los Angeles Regional Office| 127737|801-63364|DBN WEALTH MANAGEMENT, LLC|DBN WEALTH MANAGEMENT, LLC|200 EAST CARRILLO ST STE 302||SANTA BARBARA CA 93101|USA|||  ||MATTHEW J. LUM|805-962-2261|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Other|APPROVED|07/30/2004|0|0|0|0|0|0
Los Angeles Regional Office| 127761|801-69273|CAMBRIDGE WEALTH MANAGEMENT|JACOBS, ALAN, MARTIN|3717 EAST THOUSAND OAKS BLVD.,|SUITE 262|WESTLAKE VILLAGE CA 91362|USA|||  ||ALAN JACOBS|805-413-1144|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|06/12/2008|0|0|0|0|0|0
Los Angeles Regional Office| 127774|801-62243|GKM ADVISERS, LLC|GKM ADVISERS, LLC|11150 SANTA MONICA BLVD.,|SUITE 850|LOS ANGELES CA 90025|USA|||  ||TIMOTHY J. WAHL|310-268-2600|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies|APPROVED|07/03/2003|0|0|0|0|0|0
Los Angeles Regional Office| 127924|801-62287|STRATEGIC FINANCIAL|KEN GROSS FINANCIAL, INC.|ONE BOARDWALK AVENUE,|SUITE 103|THOUSAND OAKS CA 91360|USA|||  ||KENNETH GROSS|805-494-1825|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|09/08/2003|0|0|0|0|0|0
Los Angeles Regional Office| 127960|801-62327|PATHWAYS FINANCIAL PARTNERS,INC.|PATHWAYS FINANCIAL PARTNERS,INC.|4760 NORTH ORACLE ROAD,|SUITE 306|TUCSON AZ 85705|USA|||  ||DEIRDRE KOCHANSKI|520-299-5875|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|09/11/2003|0|0|0|0|0|0
Los Angeles Regional Office| 127964|801-62272|CRANE ASSET MANAGEMENT, LLC|CRANE ASSET MANAGEMENT, LLC|8383 WILSHIRE BOULEVARD,|SUITE 850|BEVERLY HILLS CA 90211|USA|||  ||SHARON E. BLUNK|323-852-9300|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/21/2003|0|0|0|0|0|0
Los Angeles Regional Office| 128024|801-63976|THE MUTUAL FUND STORE|TMFS-LAS VEGAS, LLC|1750 N. BUFFALO DRIVE SUITE 103|SAME|LAS VEGAS NV 89128|USA|||  ||CRAIG WALTERS|702-651-6464|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|06/09/2005|0|0|0|0|0|0
Los Angeles Regional Office| 128043|801-62390|LIEBAU ASSET MANAGEMENT CO., LLC|LIEBAU ASSET MANAGEMENT CO., LLC|301 E. COLORADO BLVD,SUITE 810||PASADENA CA 91101-1901|USA|P.O. BOX 2200||PASADENA CA 91102-2200|USA|FREDERIC JACK LIEBAU, JR.|626-795-5200|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/14/2003|0|0|0|0|0|0
Los Angeles Regional Office| 128117|801-62687|BRISTLECONE VALUE PARTNERS, LLC|BRISTLECONE VALUE PARTNERS, LLC|10880 WILSHIRE BOULEVARD, SUITE 880||LOS ANGELES CA 90024|USA|||  ||JEAN-LUC NOUZILLE|310-806-4141|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/15/2004|0|0|0|0|0|0
Los Angeles Regional Office| 128151|801-64511|SOHO CAPITAL LLC|SOHO CAPITAL LLC|2432 RAILWAY AVENUE|SUITE I/#428|LOS OLIVOS CA 93441|USA|PO BOX 428||LOS OLIVOS CA 93441-0428|USA|FRANK T. TROISE|866-294-7913|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|07/12/2005|0|0|0|0|0|0
Los Angeles Regional Office| 128173|801-62328|PALISADES INVESTMENT PARTNERS, LLC|PALISADES INVESTMENT PARTNERS, LLC|1453 THIRD STREET PROMENADE|SUITE 310|SANTA MONICA CA 90401|USA|||  ||QUINN R. STILLS|310-656-6300|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/11/2003|0|0|0|0|0|0
Los Angeles Regional Office| 128211|801-63033|JEFFERIES CAPITAL MANAGEMENT, INC.|JEFFERIES CAPITAL MANAGEMENT, INC.|11100 SANTA MONICA BLVD.|11TH FLOOR|LOS ANGELES CA 90025|USA|||  ||ALYSSA TABORA|310-914-1252|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/15/2004|0|0|0|0|0|0
Los Angeles Regional Office| 128240|801-66521|TEMPLETON FINANCIAL SERVICES INC.|TEMPLETON FINANCIAL SERVICES INC.|3115 S PRICE ROAD, STE 130||CHANDLER AZ 85248|USA|||  ||LEONARD E. TEMPLETON, JR.|480.883.1073|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/02/2006|0|0|0|0|0|0
Los Angeles Regional Office| 128435|801-62353|SYCUAN CAPITAL MANAGEMENT, INC.|SYCUAN CAPITAL MANAGEMENT, INC.|3007 DEHESA ROAD||EL CAJON CA 92019|USA|||  ||JEFF PROVENCE|619-444-4043|Corporation|Portfolio management for investment companies, Selection of other advisers|APPROVED|10/10/2003|0|0|0|0|0|0
Los Angeles Regional Office| 128439|801-67918|HARRISON - DE CHARON, L.L.C.|HARRISON - DE CHARON, L.L.C.|5151 SHOREHAM PLACE|SUITE 200|SAN DIEGO CA 92122-5940|USA|||  ||RENE DE CHARON|858-558-8707|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/15/2007|0|0|0|0|0|0
Los Angeles Regional Office| 128473|801-62367|WEST OAK CAPITAL, LLC|WEST OAK CAPITAL, LLC|2801 TOWNSGATE ROAD|SUITE 112|WESTLAKE VILLAGE CA 91361|USA|||  ||BYRON B. SNIDER|805-230-8282|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|09/17/2003|0|0|0|0|0|0
Los Angeles Regional Office| 128549|801-67602|WEALTH ENGINEERING, LLC|WEALTH ENGINEERING, LLC|6619 N. SCOTTSDALE RD.||SCOTTSDALE AZ 85250|USA|||  ||DAVID FERNANDEZ|480-296-2042|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|03/08/2007|0|0|0|0|0|0
Los Angeles Regional Office| 128557|801-62417|ALCENTRA, INC.|ALCENTRA, INC.|10877 WILSHIRE BOULEVARD|SUITE 1550|LOS ANGELES CA 90024-4351|USA|||  ||FRANCES ANN REGALADO|310-281-5949|Corporation|Other|APPROVED|10/06/2003|0|0|0|0|0|0
Los Angeles Regional Office| 128563|801-62437|DOUBLE EAGLE PARTNERS, LLC|DOUBLE EAGLE PARTNERS, LLC|100 BAYVIEW CIRCLE, SUITE 500||NEWPORT BEACH CA 92660|USA|||  ||SUSAN M. MCGLYNN|(949) 823-7751|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|10/31/2003|0|0|0|0|0|0
Los Angeles Regional Office| 128580|801-62399|POWER ASSET MANAGEMENT LLC|POWER ASSET MANAGEMENT LLC|2321 ROSECRANS AVENUE|SUITE 2240|EL SEGUNDO CA 90245|USA|||  ||MICHAEL R. POWER|310-643-0050|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|09/26/2003|0|0|0|0|0|0
Los Angeles Regional Office| 128588|801-62431|WEALTH MANAGEMENT NETWORK LLC|WEALTH MANAGEMENT NETWORK LLC|610 NEWPORT CENTER DRIVE|STE 280|NEWPORT BEACH CA 92660|USA|||  ||LAINE R. AINSWORTH|949-720-9980X204|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|10/10/2003|0|0|0|0|0|0
Los Angeles Regional Office| 128621|801-65581|ALJ CAPITAL MANAGEMENT, LLC|ALJ CAPITAL MANAGEMENT, LLC|6300 WILSHIRE BOULEVARD|SUITE 700|LOS ANGELES CA 90048|USA|||  ||JEFFREY FISHMAN|323-651-3508|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/27/2006|0|0|0|0|0|0
Los Angeles Regional Office| 128726|801-62610|GREENBERG GRAHAM ADVISORS LLC|GREENBERG GRAHAM ADVISORS LLC|2600 MICHELSON DRIVE, SUITE 1700||IRVINE CA 92612|USA|||  ||ROBERT J. GREENBERG|714-437-0040|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/09/2004|0|0|0|0|0|0
Los Angeles Regional Office| 128934|801-67002|SELECT CAPITAL MANAGEMENT, INC.|SELECT CAPITAL MANAGEMENT, INC.|1875 CENTURY PARK EAST|SUITE 880|LOS ANGELES CA 90067-2501|USA|||  ||EFRAIN TRUJILLO|310-551-1087|Corporation|Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|07/24/2006|0|3|0|0|0|0
Los Angeles Regional Office| 129053|801-62559|DAFNA CAPITAL MANAGEMENT, LLC|DAFNA CAPITAL MANAGEMENT, LLC|10990 WILSHIRE BOULEVARD|SUITE 1400|LOS ANGELES CA 90024|USA|||  ||MANDANA HEDAYAT|310-724-5800|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/19/2003|0|8|0|0|0|0
Los Angeles Regional Office| 129090|801-68833|COAST WEALTH MANAGEMENT, INC.|COAST WEALTH MANAGEMENT, INC.|302 NORTH EL CAMINO REAL|SUITE 107|SAN CLEMENTE CA 92672|USA|||  ||MICHAEL VANDENBURG|949-366-5995|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/05/2008|0|0|0|0|0|0
Los Angeles Regional Office| 129104|801-62533|AFA ADVISOR SERVICES LLC|AFA ADVISOR SERVICES LLC|26637 WEST AGOURA ROAD|SUITE 100|CALABASAS CA 91302|USA|||  ||KRISTEN TABKE|(818) 401-1788|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|12/01/2003|0|2|0|0|0|0
Los Angeles Regional Office| 129367|801-62743|S&F INVESTMENT ADVISORS|FOX, ROGER BENNETT|10350 SANTA MONICA BLVD.,|SUITE 340|LOS ANGELES CA 90025|USA|||  ||ROGER FOX|310-203-4690|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|02/12/2004|0|0|0|0|0|0
Los Angeles Regional Office| 129505|801-62580|CAMDEN CAPITAL MANAGEMENT, LLC|CAMDEN CAPITAL MANAGEMENT, LLC|2321 ROSECRANS AVE. SUITE 4255||EL SEGUNDO CA 90245|USA|||  ||JOHN MICHAEL KRAMBEER|310-725-0210|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|01/02/2004|0|1|0|0|0|0
Los Angeles Regional Office| 129553|801-68271|KROHNE CAPITAL, LLC|KROHNE CAPITAL, LLC|5405 PACIFICA DRIVE||LA JOLLA CA 92037|USA|||  ||AXEL KROHNE|858-454-5789|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/20/2007|0|0|0|0|0|0
Los Angeles Regional Office| 129562|801-65021|ORBACH WATERS ADVISORS, INC.|ORBACH WATERS ADVISORS, INC.|32451 GOLDEN LANTERN|SUITE 307|LAGUNA NIGUEL CA 92677|USA|||  ||T. RANDOLPH ORBACH|949-489-0900|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/03/2006|0|0|0|0|0|0
Los Angeles Regional Office| 129630|801-66689|ITB ADVISORS|ARCH PEREGOFF, INC.|4275 EXECUTIVE SQUARE|SUITE 335 B|LA JOLLA CA 92037|USA|||  ||ARCH PEREGOFF|858-623-5401|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/12/2006|0|0|0|0|0|0
Los Angeles Regional Office| 129731|801-63480|CORNERSTONE ASSET MANAGEMENT, INC.|CORNERSTONE ASSET MANAGEMENT, INC.|2021 SPERRY AVE|STE. 43|VENTURA CA 93003|USA|||  ||CHARLIE MCNULTY|805-642-7506|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|09/09/2004|0|0|0|0|0|0
Los Angeles Regional Office| 129812|801-67858|WEALTH STRATEGIES BY BAYLISS & MCANINCH, INC.|WEALTH STRATEGIES BY BAYLISS & MCANINCH, INC.|1830 COLLEGE PARKWAY,|SUITE 200|CARSON CITY NV 89706|USA|||  ||CARRIE MCANINCH|775-883-9555|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers, Other|APPROVED|05/04/2007|0|0|0|0|0|0
Los Angeles Regional Office| 129822|801-62792|MATHON MANAGEMENT COMPANY, LLC|MATHON MANAGEMENT, LLC|6816 EAST BROWN ROAD||MESA AZ 85207|USA|||  ||TERRANCE J. SHANAHAN|480 558-8400|Limited Liability Company|Portfolio management for investment companies|APPROVED|03/02/2004|0|1|0|0|0|0
Los Angeles Regional Office| 129835|801-62647|DUNCAN-HURST CAPITAL MANAGEMENT, L.P.|DUNCAN-HURST CAPITAL MANAGEMENT, L.P.|4365 EXECUTIVE DRIVE|SUITE 1520|SAN DIEGO CA 92121-2100|USA|||  ||REBECCA LAFERNEY|858-597-4800|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/09/2004|0|1|0|0|0|0
Los Angeles Regional Office| 129898|801-62893|GR CAPITAL ASSET MANAGEMENT, LLC|GR CAPITAL ASSET MANAGEMENT, LLC|1103 QUAIL STREET||NEWPORT BEACH CA 92660|USA|||  ||TODD RUSTMAN|800-805-7526|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/24/2004|0|0|0|0|0|0
Los Angeles Regional Office| 129959|801-62650|TABR CAPITAL MANAGEMENT, LLC|TABR CAPITAL MANAGEMENT, LLC|500 N. STATE COLLEGE BLVD|SUITE 1320|ORANGE CA 92868|USA|||  ||ROBERT M. KARGENIAN|714-704-9180|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/05/2004|0|0|0|0|0|0
Los Angeles Regional Office| 130009|801-62977|PLAN SPONSOR SERVICES, LLC|PLAN SPONSOR SERVICES, LLC|2200 E. CAMELBACK RD|#130-B|PHOENIX AZ 85016|USA|||  ||STEPHEN J. TADDIE|602-277-4570|Limited Liability Company|Pension consulting services, Selection of other advisers, Other|APPROVED|04/30/2004|0|0|0|0|0|0
Los Angeles Regional Office| 130028|801-62978|GROWTH STRATEGIES, LLC|GROWTH STRATEGIES, LLC|2400 BROADWAY|SUITE 220|SANTA MONICA CA 90404|USA|||  ||MARK C. JOHNSON|310-573-8504|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/14/2004|0|0|0|0|0|0
Los Angeles Regional Office| 130074|801-63800|ARES MANAGEMENT LLC|ARES MANAGEMENT LLC|2000 AVENUE OF THE STARS,|12TH FLOOR|LOS ANGELES CA 90067|USA|||  ||KAREN TALLMAN|310-201-4203|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/31/2005|0|0|0|0|0|0
Los Angeles Regional Office| 130115|801-62719|ALPHAPOINT, INC.|ALPHAPOINT, INC.|6621 E. PACIFIC COAST HIGHWAY|SUITE 240|LONG BEACH CA 90803|USA|||  ||GUY L. MURANAKA|562-430-2454|Other (specify)|Pension consulting services|APPROVED|01/20/2004|0|0|0|0|0|0
Los Angeles Regional Office| 130179|801-62890|GSG CAPITAL ADVISORS|GOODSTEIN, GLENN S.|2308 CAMINO ROBLEDO||CARLSBAD CA 92009|USA|||  ||GLENN GOODSTEIN|760-634-5452|Sole Proprietorship|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/13/2004|0|0|0|0|0|0
Los Angeles Regional Office| 130242|801-62746|J.S. OLIVER CAPITAL MANAGEMENT, L.P.|J.S. OLIVER CAPITAL MANAGEMENT, L.P.|7960 ENTRADA LAZANJA||SAN DIEGO CA 92127|USA|||  ||IAN MAUSNER|(858) 756-8370|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/20/2004|0|0|0|0|0|0
Los Angeles Regional Office| 130243|801-62813|ARROYO INVESTMENT GROUP, LLC|ARROYO INVESTMENT GROUP, LLC|107 S. FAIR OAKS AVENUE,|SUITE 315|PASADENA CA 91105|USA|||  ||JOHN ODELL|626.844.1441|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|03/03/2004|0|0|0|0|0|0
Los Angeles Regional Office| 130431|801-67998|LIFE WEALTH MANAGEMENT, INC.|LIFE WEALTH MANAGEMENT INCORPORATED|27441 TOURNEY ROAD, SUITE 240||VALENCIA CA 91355|USA|||  ||JEFFERY S. PRESTON|877-590-5433|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/18/2007|0|0|0|0|0|0
Los Angeles Regional Office| 130494|801-63088|BROMAN & GREIG ASSET MANAGEMENT, LLC|BROMAN & GREIG ASSET MANAGEMENT, LLC|2811 WILSHIRE BLVD|SUITE 700|SANTA MONICA CA 90403|USA|||  ||ROBERT GREIG|310-829-7654|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|04/27/2004|0|0|0|0|0|0
Los Angeles Regional Office| 130624|801-63002|FOSTER INVESTMENT CONSULTING LLC|FOSTER INVESTMENT CONSULTING LLC|1000 WILSHIRE BOULEVARD|SUITE 1950|LOS AANGELES CA 90017|USA|||  ||CHERYL L. WIESE|213-612-7667|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/14/2004|0|0|0|0|0|0
Los Angeles Regional Office| 130651|801-65018|ASCENTIA CAPITAL PARTNERS, LLC|ASCENTIA CAPITAL PARTNERS, LLC|5470 KEITZKE LANE|SUITE 230|RENO NV 89511|USA|||  ||STEPHEN D. MCCARTY|775.828.4200|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/03/2005|0|0|0|0|0|0
Los Angeles Regional Office| 130762|801-62859|CAPITAL WEST PARTNERS, LLC|CAPITAL WEST PARTNERS, LLC|6842 E. TANQUE VERDE ROAD|SUITE D|TUCSON AZ 85715|USA|||  ||JASON CRANE|520-296-9803|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|03/11/2004|0|0|0|0|0|0
Los Angeles Regional Office| 130779|801-62907|NEOSHO CAPITAL LLC|NEOSHO CAPITAL LLC|4250 EXECUTIVE SQUARE|SUITE 545|LA JOLLA CA 92037|USA|||  ||CHRIS RICHEY|858 657 9040|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/05/2004|0|0|0|0|0|0
Los Angeles Regional Office| 130841|801-62915|CAPITAL FINANCIAL MANAGEMENT|SHELDON, KIRK ROY|2221 CAMINO DEL RIO SOUTH|SUITE 303|SAN DIEGO CA 92108-3718|USA|||  ||KIRK R. SHELDON|619-295-4883|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|03/17/2004|0|0|0|0|0|0
Los Angeles Regional Office| 130922|801-63049|BRICOLEUR CAPITAL MANAGEMENT|BRICOLEUR CAPITAL MANAGEMENT, LLC|16236 SAN DIEGUITO ROAD|BLDG. 2, SUITE 2-22|RANCHO SANTA FE CA 92067|USA|P.O. BOX 9933||RANCHO SANTA FE CA 92067|USA|TOLGA DEMIR|858-523-2000|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/19/2004|0|0|0|0|0|0
Los Angeles Regional Office| 130952|801-62933|PEAK INVESTMENTS, LLC|PEAK INVESTMENTS, LLC|865 SOUTH FIGUEROA STREET|SUITE 700|LOS ANGELES CA 90017|USA|||  ||RONALD J. KRYSTYNIAK|213-891-6311|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/25/2004|0|0|0|0|0|0
Los Angeles Regional Office| 131027|801-63174|INVESTMENT ADVISORS OF AMERICA, L.L.C.|INVESTMENT ADVISORS OF AMERICA, L.L.C.|4518 N. 32ND STREET||PHOENIX AZ 85018|USA|||  ||BEN SCHAUB|(602) 522-8800|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Market timing services|APPROVED|06/01/2004|0|0|0|0|0|0
Los Angeles Regional Office| 131029|801-63172|BERKSON ASSET MANAGEMENT, INC.|BERKSON ASSET MANAGEMENT, INC.|20501 VENTURA BLVD.|SUITE 225|WOODLAND HILLS CA 91364|USA|||  ||STEVEN M. BERKSON|818-713-8060|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/18/2004|0|0|0|0|0|0
Los Angeles Regional Office| 131097|801-64987|KWK MANAGEMENT LLC|KWK MANAGEMENT LLC|2301 ROSECRANS AVE.|SUITE 4195|EL SEGUNDO CA 90245|USA|||  ||CAROL K.S. WEISS|310-536-8676|Limited Liability Company|Other|APPROVED|12/08/2005|0|0|0|0|0|0
Los Angeles Regional Office| 131123|801-63202|NIEMANN ANALYTICS|NIEMANN ANALYTICS, INC|216 TERRACE VIEW||STATELINE NV 89449|USA|P.O. BOX 256||ZEPHER COVE NV 89448|U.S.A.|RICHARD WEST|800-622-1626|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/28/2004|0|0|0|0|0|0
Los Angeles Regional Office| 131140|801-63031|BRIAN CARRUTHERS & ASSOCIATES|CARRUTHERS, BRIAN, ROGER|301 FOREST AVENUE||LAGUNA BEACH CA 92651|USA|||  ||BRIAN R. CARRUTHERS|949-464-1900|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|04/13/2004|0|0|0|0|0|0
Los Angeles Regional Office| 131155|801-69262|RUNYON & BOWES LLC|RUNYON & BOWES LLC|4695 MACARTHUR COURT #1100||NEWPORT BEACH CA 92660|USA|||  ||ED RUNYON|949-460-0342|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/17/2008|0|0|0|0|0|0
Los Angeles Regional Office| 131221|801-63081|STONNINGTON GROUP, LLC|STONNINGTON GROUP, LLC|515 SOUTH FIGUEROA STREET|SUITE 1100|LOS ANGELES CA 90071|USA|||  ||NICHOLAS STONNINGTON|(213) 683-4511|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|04/30/2004|0|0|0|0|0|0
Los Angeles Regional Office| 131327|801-63044|PERITUS I ASSET MANAGEMENT, LLC|PERITUS I ASSET MANAGEMENT, LLC|26 WEST ANAPAMU STREET|3RD FLOOR|SANTA BARBARA CA 93101|USA|||  ||DAVID DESMOND|805-882-1100 X612|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/29/2004|0|0|0|0|0|0
Los Angeles Regional Office| 131359|801-63354|SALEM PARTNERS WEALTH MANAGEMENT, LLC|SALEM PARTNERS WEALTH MANAGEMENT, LLC|11111 SANTA MONICA BLVD|SUITE 1070|LOS ANGELES CA 90025|USA|||  ||DAVID DODSON|310-806-4214|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|07/23/2004|0|0|0|0|0|0
Los Angeles Regional Office| 131410|801-66668|ABACUS PORTFOLIOS|KUBERA PORTFOLIOS, LLC|17383 SUNSET BLVD|SUITE A360|PACIFIC PALISADES CA 90272|USA|||  ||JONATHAN D. BRUCE|310-566-1895|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/04/2006|0|0|0|0|0|0
Los Angeles Regional Office| 131454|801-64826|DORCHESTER CAPITAL ADVISORS, LLC|DORCHESTER CAPITAL ADVISORS, LLC|11111 SANTA MONICA BOULEVARD|SUITE 1250|LOS ANGELES CA 90025|USA|||  ||CRAIG T. CARLSON|310.402.5071|Limited Liability Company|Other|APPROVED|11/01/2005|0|0|0|0|0|0
Los Angeles Regional Office| 131458|801-63078|WATTS GWILLIAM & COMPANY, LLC|WATTS GWILLIAM & COMPANY, LLC|2730 S. VAL VISTA DR.|SUITE 124|GILBERT AZ 85295|USA|||  ||JEFFREY WATTS|480-889-8998|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/23/2004|0|0|0|0|0|0
Los Angeles Regional Office| 131483|801-63188|MILLER/RUSSELL & ASSOCIATES, INC.|MILLER/RUSSELL & ASSOCIATES, INC.|2701 E. CAMELBACK ROAD|SUITE 120|PHOENIX AZ 85016|USA|||  ||MAUREEN A. RZEPPA|602-468-1232|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|05/14/2004|0|0|0|0|0|0
Los Angeles Regional Office| 131530|801-66729|STRATEGIC ASSET MANAGEMENT GROUP, LLC|STRATEGIC ASSET MANAGEMENT GROUP, LLC|12520 HIGH BLUFF DRIVE|SUITE 385|SAN DIEGO CA 92130|USA|||  ||R. J. "GORDON" TUDOR|858-794-2100|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/26/2006|0|0|0|0|0|0
Los Angeles Regional Office| 131563|801-63129|GREENBOOK INVESTMENT MANAGEMENT, INC.|GREENBOOK INVESTMENT MANAGEMENT, INC.|655 WEST BROADWAY|SUITE 1050|SAN DIEGO CA 92101|USA|||  ||LUANNE BOROWSKI|619-702-9764|Corporation|Financial planning services, Pension consulting services, Selection of other advisers|APPROVED|05/14/2004|2|14|2|0|0|0
Los Angeles Regional Office| 131619|801-63168|ARES CAPITAL MANAGEMENT LLC|ARES CAPITAL MANAGEMENT LLC|2000 AVENUE OF THE STARS|12TH FLOOR|LOS ANGELES CA 90067|USA|||  ||KAREN TALLMAN|310-201-4203|Limited Liability Company|Other|APPROVED|05/18/2004|0|0|0|0|0|0
Los Angeles Regional Office| 131650|801-63186|MANHATTAN WEALTH ADVISORS, INC.|MANHATTAN WEALTH ADVISORS, INC.|1230 ROSECRANS AVENUE #620|MANHATTAN TOWERS|MANHATTAN BEACH CA 90266|USA|||  ||YOUNG S. KIM-EPSTEIN|310-536-8208|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|05/21/2004|0|0|0|0|0|0
Los Angeles Regional Office| 131660|801-65209|AMERICAN ASSETS INVESTMENT MANAGEMENT, LLC|AMERICAN ASSETS INVESTMENT MANAGEMENT, LLC|11455 EL CAMINO REAL|SUITE 210|SAN DIEGO CA 92130|USA|||  ||ROBERT F. BARTON|858-350-2607|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/18/2006|0|0|0|0|0|0
Los Angeles Regional Office| 131692|801-63192|VERSANT CAPITAL MANAGEMENT, INC.|VERSANT CAPITAL MANAGEMENT, INC.|2425 EAST CAMELBACK ROAD|SUITE 950|PHOENIX AZ 85016-9260|USA|||  ||THOMAS J. CONNELLY|602-635-3760|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|05/21/2004|0|0|0|0|0|0
Los Angeles Regional Office| 131725|801-63301|BREAKWATER FUND MANAGEMENT, LLC|BREAKWATER FUND MANAGEMENT, LLC|701 SANTA MONICA BOULEVARD|SUITE 350|SANTA MONICA CA 90401|USA|||  ||GREGORY A. JORDAN|310-458-4300|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|06/29/2004|0|0|0|0|0|0
Los Angeles Regional Office| 131808|801-68519|WEALTH ENHANCEMENT & PRESERVATION, LLC|WEALTH ENHANCEMENT & PRESERVATION, LLC|1757 E. BASELINE ROAD, SUITE 137||GILBERT AZ 85233|USA|||  ||MICHAEL BRADLEY|480-633-8188|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|11/20/2007|0|0|0|0|0|0
Los Angeles Regional Office| 131836|801-63228|RHG ADVISORS LLC|RHG ADVISORS LLC|21320 N. 56TH STREET #1079||PHOENIX AZ 85054-5407|USA|||  ||RICHARD H. GILLONS|480-575-5480|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/18/2004|0|0|0|0|0|0
Los Angeles Regional Office| 131967|801-63237|WEST GATE ADVISORS, LLC|WEST GATE ADVISORS, LLC|11766 WILSHIRE BOULEVARD|SUITE 1580|LOS ANGELES CA 90025|USA|||  ||SCOTT DUBCHANSKY|310-966-8900|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/09/2004|0|0|0|0|0|0
Los Angeles Regional Office| 132063|801-64529|SCHULTZ FINANCIAL MANAGEMENT CORPORATION|SCHULTZ FINANCIAL MANAGEMENT CORPORATION|1171 APPIAN WAY||SANTA ANA CA 92705|USA|||  ||RICHARD SCHULTZ|714-731-0848|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|09/14/2005|0|0|0|0|0|0
Los Angeles Regional Office| 132093|801-63302|WATERLINE PARTNERS, LLC|WATERLINE PARTNERS, LLC|6701 CENTER DRIVE WEST|SUITE 955|LOS ANGELES CA 90045|USA|||  ||SCOTT KOCH|310.256.2573|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|07/09/2004|0|0|0|0|0|0
Los Angeles Regional Office| 132161|801-63361|COVINGTON CAPITAL MANAGEMENT|COVINGTON CAPITAL MANAGEMENT|601 SOUTH FIGUEROA STREET|SUITE 4400|LOS ANGELES CA 90017-5749|USA|||  ||DWIGHT LIU|213 629-7510|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/23/2004|0|0|0|0|0|0
Los Angeles Regional Office| 132167|801-63344|CLIFFWATER LLC|CLIFFWATER LLC|4640 ADMIRALTY WAY|SUITE 1101|MARINA DEL REY CA 90292-6623|USA|||  ||BARBARA SMITH|310-448-5015|Limited Liability Company|Pension consulting services, Selection of other advisers|APPROVED|07/08/2004|0|0|0|0|0|0
Los Angeles Regional Office| 132188|801-66784|EFFICIENT MARKET ADVISORS, LLC|EFFICIENT MARKET ADVISORS, LLC|1125 CAMINO DEL MAR|SUITE H|DEL MAR CA 92014|USA|||  ||HERB MORGAN|858-847-0690|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Market timing services, Other|APPROVED|04/26/2006|0|0|0|0|0|0
Los Angeles Regional Office| 132205|801-63473|SVOF/MM, LLC|SVOF/MM, LLC|2951 28TH STREET|SUITE 1000|SANTA MONICA CA 90405|USA|||  ||PAUL LESLIE DAVIS|310-899-4925|Limited Liability Company|Portfolio management for investment companies|APPROVED|08/27/2004|0|0|0|0|0|0
Los Angeles Regional Office| 132295|801-63394|CHATTERTON & ASSOCIATES, THE WEALTH MANAGEMENT TEAM, INC.|CHATTERTON & ASSOCIATES, THE WEALTH MANAGEMENT TEAM, INC.|3111 NORTH TUSTIN AVENUE, SUITE 105||ORANGE CA 92865|USA|||  ||ROBERT D. CHATTERTON, JR.|714-572-2050|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers, Other|APPROVED|08/06/2004|0|0|0|0|0|0
Los Angeles Regional Office| 132373|801-63380|SEDONA ASSET MANAGEMENT SERVICES, LLC|SEDONA ASSET MANAGEMENT SERVICES, LLC|8432 EAST QUARTERHORSE TRAIL||SCOTTSDALE AZ 85258|USA|||  ||GEORGE STEER|480-614-5818|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|08/11/2004|0|0|0|0|0|0
Los Angeles Regional Office| 132402|801-67230|OPPORTUNITY RESEARCH GROUP, LLC|OPPORTUNITY RESEARCH GROUP, LLC|11111 SANTA MONICA BLVD|SUITE 1450|LOS ANGELES CA 90025|USA|||  ||MARK MINICHIELLO|310-444-0939|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|10/26/2006|0|0|0|0|0|0
Los Angeles Regional Office| 132405|801-63400|SHANLEY ASSET MANAGEMENT, INC.|SHANLEY ASSET MANAGEMENT, INC.|340 N. WESTLAKE BLVD.|SUITE 230|WESTLAKE VILLAGE CA 91362|USA|||  ||KEVIN SHANLEY|805-777-1780|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|08/03/2004|0|0|0|0|0|0
Los Angeles Regional Office| 132410|801-68104|KENFIELD CAPITAL STRATEGIES|STRATEGIC INVESTMENT ADVISORS, INC.|11900 W. OLYMPIC BLVD.|SUITE 520|LOS ANGELES CA 90064|USA|||  ||KEN WALTZER|310-734-4740|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|07/02/2007|0|0|0|0|0|0
Los Angeles Regional Office| 132479|801-63399|A T FUNDS, LLC|A T FUNDS, LLC|300 PACIFIC COAST HIGHWAY, SUITE 305||HUNTINGTON BEACH CA 92648|USA|||  ||SHARON GOLDBERG|714-374-5485|Limited Liability Company|Portfolio management for investment companies|APPROVED|08/02/2004|0|9|0|0|0|0
Los Angeles Regional Office| 132553|801-63477|A.Q. JOHNSON & CO., INC.|A.Q. JOHNSON & CO., INC.|7855 IVANHOE AVENUE SUITE 210||LA JOLLA CA 92037|USA|||  ||NATALIE M. GUMINA|(858) 454-4837|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/30/2004|0|0|0|0|0|0
Los Angeles Regional Office| 132609|801-65139|M.A.G. CAPITAL, LLC|M.A.G. CAPITAL, LLC|555 S. FLOWER STREET|SUITE 4200|LOS ANGELES CA 90071|USA|||  ||JEFF GROVES|213-533-8288|Limited Liability Company|Other|APPROVED|01/13/2006|0|0|1|0|0|0
Los Angeles Regional Office| 132659|801-63504|PACIFIC ISLANDS FINANCIAL MANAGEMENT, LLC|PACIFIC ISLANDS FINANCIAL MANAGEMENT, LLC|1244 KAUMUALII STREET||HONOLULU HI 96817|USA|||  ||DAVID M. KIRKEBY|808-441-4747|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|09/15/2004|0|0|0|0|0|0
Los Angeles Regional Office| 132731|801-63538|WINDOWPANE ADVISORS L.L.C.|WINDOWPANE ADVISORS L.L.C.|600 WEST BROADWAY STREET|SUITE 1225|SAN DIEGO CA 92101|USA|||  ||BARBARA MALONE|619-231-9102|Limited Liability Company|Portfolio management for investment companies, Selection of other advisers|APPROVED|09/24/2004|0|0|0|0|0|0
Los Angeles Regional Office| 132815|801-63726|OPENSHAW'S FAMILY FINANCIAL NETWORK, LLC|OPENSHAW'S FAMILY FINANCIAL NETWORK, LLC|9800 S. LA CIENEGA, BLVD #410||INGLEWOOD CA 90301|USA|||  ||JENNIFER OPENSHAW|8772732244|Limited Liability Company|Financial planning services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|01/03/2005|0|0|0|0|0|0
Los Angeles Regional Office| 132831|801-66788|IRONWOOD ASSET MANAGEMENT, LLC|IRONWOOD ASSET MANAGEMENT, LLC|17015 N. SCOTTSDALE ROAD, SUITE 235||SCOTTSDALE AZ 85255|USA|||  ||GARY STRINGER|480-473-3455|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/23/2006|0|0|0|0|0|0
Los Angeles Regional Office| 132837|801-63821|ALPHA CENTAURI WEALTH MANAGEMENT INC.|ALPHA CENTAURI WEALTH MANAGEMENT INC.|333 CITY BOULEVARD WEST|SUITE 2010|ORANGE CA 92868|USA|||  ||BLAKE BJORDAHL|714-456-1790|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|01/21/2005|0|0|0|0|0|0
Los Angeles Regional Office| 132931|801-69427|THE J R BAKER GROUP|FFR FINANCIAL & INSURANCE SERVICES LLC|560 MCMURRAY ROAD||BUELLTON CA 93427|USA|PO BOX 66||BUELLTON CA 93427|USA|KATHRYN COURAIN|805-688-8562|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|07/30/2008|0|0|0|0|0|0
Los Angeles Regional Office| 132955|801-68982|TAYLOR WEALTH MANAGEMENT, LLC|TAYLOR WEALTH MANAGEMENT, LLC|3655 TORRANCE BLVD.|SUITE 347|TORRANCE CA 90503|USA|||  ||DOUGLAS E. TAYLOR|310-540-8000|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|03/31/2008|0|0|0|0|0|0
Los Angeles Regional Office| 133013|801-68399|ETHANOL CAPITAL MANAGEMENT LLC|ETHANOL CAPITAL MANAGEMENT LLC|5151 EAST BROADWAY|SUITE 510|TUCSON AZ 85711|USA|||  ||SCOTT BRITTENHAM|520-628-2000|Limited Liability Company|Other|APPROVED|10/26/2007|0|1|0|0|0|0
Los Angeles Regional Office| 133020|801-69276|HANSCH FINANCIAL GROUP, LLC|HANSCH FINANCIAL GROUP, LLC|30448 RANCHO VIEJO ROAD|SUITE 180|SAN JUAN CAPISTRANO CA 92675|USA|||  ||DAVID HANSCH|949-661-5225|Limited Liability Company|Financial planning services, Selection of other advisers, Other|APPROVED|06/16/2008|0|0|0|0|0|0
Los Angeles Regional Office| 133202|801-63676|UNIFIED WEALTH MANAGEMENT, LLC|UNIFIED WEALTH MANAGEMENT, LLC.|20645 NORTH PIMA ROAD|SUITE 160|SCOTTSDALE AZ 85255|USA|||  ||RICHARD BOEHM|480-668-3237|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|11/19/2004|0|0|0|0|0|0
Los Angeles Regional Office| 133260|801-63757|CONWAY CAPITAL MANAGEMENT, INC.|CONWAY CAPITAL MANAGEMENT, INC.|3500 W. OLIVE AVENUE|SUITE 300|BURBANK CA 91505|USA|||  ||DANIEL E. CONWAY|818-973-2763|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|12/16/2004|0|0|0|0|0|0
Los Angeles Regional Office| 133318|801-63642|CLEARWATER WEALTH MANAGEMENT|CLEARWATER WEALTH MANAGEMENT, LLC|10091 PARK RUN DRIVE|SUITE 200|LAS VEGAS NV 89145|USA|||  ||D. CARL RICHARDS, III|702-889-4500|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|11/12/2004|0|0|0|0|0|0
Los Angeles Regional Office| 133387|801-63715|OMNICAP GROUP LLC|OMNICAP GROUP LLC|555 WEST FIFTH STREET|46TH FLOOR|LOS ANGELES CA 90013|USA|||  ||MARCIA QUIROZ|213-629-6044|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|12/03/2004|0|0|0|0|0|0
Los Angeles Regional Office| 133459|801-63865|TG CAPITAL MANAGEMENT LLC|TG CAPITAL MANAGEMENT LLC|450 NEWPORT DRIVE|SUITE 440|NEWPORT BEACH CA 92660|USA|||  ||DAVID B. GREENWALD|949-219-0040|Limited Liability Company|Other|APPROVED|02/17/2005|0|0|0|0|0|0
Los Angeles Regional Office| 133490|801-63841|MITCHELL, PORTER & WILLIAMS, INC.|MITCHELL, PORTER & WILLIAMS, INC.|11601 WILSHIRE BLVD., SUITE 500||LOS ANGELES CA 90025|USA|||  ||THOMAS L. MITCHELL|310-827-5934|Corporation|Portfolio management for individuals and/or small businesses|APPROVED-120|02/04/2005|0|0|0|0|0|0
Los Angeles Regional Office| 133540|801-63746|INDEPENDENCE CAPITAL MANAGEMENT, LLC|INDEPENDENCE CAPITAL MANAGEMENT, LLC|201 SOUTH LAKE AVENUE|SUITE 303|PASADENA CA 91101|USA|||  ||DONOVAN T. GARCIA|626-584-6168|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/03/2005|0|0|0|0|0|0
Los Angeles Regional Office| 133563|801-63848|MERRITHEW & THORSTEN, INC.|MERRITHEW & THORSTEN, INC.|9820 WILLOW CREEK ROAD|SUITE 200|SAN DIEGO CA 92131|USA|||  ||LESLIE R. MERRITHEW|858-547-1845|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Publication of periodicals or newsletters|APPROVED|08/16/2005|0|0|0|0|0|0
Los Angeles Regional Office| 133573|801-63828|GKM NEWPORT GENERATION ADVISORS, LLC|GKM NEWPORT GENERATION ADVISORS, LLC|11150 SANTA MONICA BLVD.|SUITE 825|LOS ANGELES CA 90025|USA|||  ||JONATHAN R. BLOCH|310-268-2621|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/28/2005|0|0|0|0|0|0
Los Angeles Regional Office| 133611|801-63816|WOLMAN WEALTH MANAGEMENT, INC|WOLMAN WEALTH MANAGEMENT, INC.|10640 ROCHESTER AVE||LOS ANGELES CA 90024|USA|PO BOX 251499||LOS ANGELES CA 90025|USA|JEFFREY|310-234-1992|Corporation|Financial planning services, Selection of other advisers|APPROVED|02/17/2005|0|0|0|0|0|0
Los Angeles Regional Office| 133619|801-63956|LEWIS CAPITAL MANAGEMENT|LEWIS CAPITAL MANAGEMENT, LLC|9454 WILSHIRE BLVD.|SUITE M1|BEVERLY HILLS CA 90212|USA|||  ||SCOTT LEWIS|(310) 276-1262|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|02/17/2005|0|0|0|0|0|0
Los Angeles Regional Office| 133658|801-63960|RAWDIN-BARON FINANCIAL, INC.|RAWDIN-BARON FINANCIAL, INC.|1621 GRAND AVENUE SUITE C||SAN DIEGO CA 92109|USA|P.O. BOX 90487||SAN DIEGO CA 92169-2487|USA|BRUCE RAWDIN-BARON|858-483-7500|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|03/14/2005|0|0|0|0|0|0
Los Angeles Regional Office| 133674|801-63985|AMERICAN WEALTH MANAGEMENT LLC|AMERICAN WEALTH MANAGEMENT LLC|11291 E VIA LINDA|SUITE #132|SCOTTSDALE AZ 85259|USA|||  ||J C DURNIN|480-451-9881|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|03/07/2005|0|0|0|0|0|0
Los Angeles Regional Office| 133680|801-68216|ABSOLUTE RETURN CAPITAL ADVISORS, LLC.|ABSOLUTE RETURN CAPITAL ADVISORS, LLC.|1901 AVENUE OF THE STARS, 2ND FLOOR||LOS ANGELES CA 90067|USA|||  ||ROBERT HSU|310-275-3731|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/02/2007|0|0|0|0|0|0
Los Angeles Regional Office| 133692|801-64262|SENTINEL ASSET MANAGEMENT, INC.|SENTINEL ASSET MANAGEMENT, INC.|445 MARINE VIEW AVENUE||DEL MAR CA 92014|USA|||  ||JOHN WELLS|858-793-4848|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/04/2005|0|0|0|0|0|0
Los Angeles Regional Office| 133701|801-66591|MJM401K, LLC|MJM401K, LLC|4647 N.32ND ST|SUITE 200|PHOENIX AZ 85018-3345|USA|||  ||MICHAEL MALONE|(602) 224-5599|Limited Liability Company|Pension consulting services|APPROVED|03/28/2006|0|0|0|0|0|0
Los Angeles Regional Office| 133719|801-63805|MAINSTREET CAPITAL ADVISORS, LLC|MAINSTREET CAPITAL ADVISORS, LLC|6525 W. WARM SPRINGS RD.||LAS VEGAS NV 89118|USA|||  ||RICK PHILLIPS|702-932-5330|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/28/2005|0|0|0|0|0|0
Los Angeles Regional Office| 133763|801-64721|AIG FINANCIAL ADVISORS, INC.|AIG FINANCIAL ADVISORS, INC.|2800 NORTH CENTRAL AVENUE|SUITE 2100|PHOENIX AZ 85004|USA|||  ||KAREN HUSTON|602-744-3217|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|10/03/2005|0|5|3|0|0|0
Los Angeles Regional Office| 133776|801-63810|FARAH ADVISORY SERVICES, LLC|FARAH ADVISORY SERVICES, LLC|369 SAN MIGUEL DRIVE|SUITE 350|NEWPORT BEACH CA 92660|USA|||  ||FARAH, MICHAEL P.|949-719-2625|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/28/2005|0|0|0|0|0|0
Los Angeles Regional Office| 133810|801-63809|IFC ADVISORY|CALIFORNIA WEALTH MANAGEMENT GROUP|6101 W. CENTINELA AVE.|SUITE 335|CULVER CITY CA 90230|USA|||  ||HEATH BIDDLECOME|310-665-0570|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/14/2005|0|0|0|0|0|0
Los Angeles Regional Office| 133862|801-63909|SEQUOIA FINANCIAL ADVISORS, INC.|SEQUOIA FINANCIAL ADVISORS, INC.|5635 EAST THOMAS ROAD||PHOENIX AZ 85018|USA|||  ||MICHAEL FISCHER|480-421-0600|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|03/10/2005|0|0|0|0|0|0
Los Angeles Regional Office| 133881|801-63923|NEWPORT CAPITAL ASSET MANAGEMENT GROUP, LLC|NEWPORT CAPITAL ASSET MANAGEMENT GROUP, LLC|15 CORPORATE PLAZA SUITE 15||NEWPORT BEACH CA 92660|USA|||  ||JOHN VASQUEZ|949/494-3531|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|03/14/2005|0|0|0|0|0|0
Los Angeles Regional Office| 133904|801-63906|SILVER OAK WEALTH ADVISORS|SILVER OAK WEALTH ADVISORS, LLC|10940 WILSHIRE BLVD.|18TH FLOOR|LOS ANGELES CA 90024|USA|10940 WILSHIRE BLVD.|18TH FLOOR|LOS ANGELES CA 90024|USA|JOEL FRAMSON|310-661-0553|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|04/01/2005|0|0|0|0|0|0
Los Angeles Regional Office| 133949|801-64028|STONE INVESTMENT ADVISORY SERVICES, INC.|STONE INVESTMENT ADVISORY SERVICES, INC.|502 EAST JOHN STREET||CARSON CITY NV 89706|USA|6325-9 FALLS OF NEUSE ROAD PMB #268||RALEIGH NC 27615-6809|USA|THOMAS G. STONE|(919)676-0081|Corporation|Pension consulting services, Publication of periodicals or newsletters, Market timing services, Other|APPROVED|03/28/2005|0|0|0|0|0|0
Los Angeles Regional Office| 133950|801-68357|REED & BALL, INC.|REED & BALL, INC.|1000 NEWBURY ROAD|SUITE 205|THOUSAND OAKS CA 91320|USA|||  ||DEBORAH F. REED|(805) 376-2779|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|09/19/2007|0|0|0|0|0|0
Los Angeles Regional Office| 134021|801-63945|TEN ASSET MANAGEMENT, INC.|TEN ASSET MANAGEMENT, INC.|171 SAXONY ROAD|SUITE 105|ENCINITAS CA 92024|USA|||  ||DENNIS ROY|760 943-7799|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/11/2005|0|1|0|0|0|0
Los Angeles Regional Office| 134197|801-63904|TRILOGY INVESTMENT MANAGEMENT, LLC|TRILOGY INVESTMENT MANAGEMENT, LLC|121 SOUTH ROYAL ASCOT DRIVE||LAS VEGAS NV 89144|USA|||  ||CHRISTIAN R. BLUNK|(402) 392-1250|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/03/2005|0|0|0|0|0|0
Los Angeles Regional Office| 134246|801-63926|AAD CAPITAL MANAGEMENT L.P.|AAD CAPITAL MANAGEMENT L.P.|420 STEVENS AVENUE|SUITE 210|SOLANA BEACH CA 92075|USA|||  ||MEREDITH HOOKE|858-427-1431|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/09/2005|0|0|0|0|0|0
Los Angeles Regional Office| 134349|801-67039|OPIS ADVISORS, INC.|OPIS ADVISORS, INC.|30 HACKAMORE LANE|SUITE 1|BELL CANYON CA 91307-1065|USA|||  ||ALAN H. CAMPBELL|818-999-6747|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|08/04/2006|0|0|0|0|0|0
Los Angeles Regional Office| 134406|801-64047|LKL INVESTMENT COUNSEL LLC|LKL INVESTMENT COUNSEL LLC|2415 EAST CAMELBACK ROAD|SUITE 510|PHOENIX AZ 85016|USA|||  ||MARK H. LOVE|602-381-6985|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|04/08/2005|0|1|0|0|0|0
Los Angeles Regional Office| 134446|801-66451|FULLER ASSET MANAGEMENT, LLC|FULLER ASSET MANAGEMENT, LLC|7150 EAST CAMELBACK ROAD|SUITE 444|SCOTTSDALE AZ 85251|USA|||  ||LAWRENCE R. FULLER, II|480-477-8155|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|04/21/2006|0|0|0|0|0|0
Los Angeles Regional Office| 134453|801-66995|TOW FINANCIAL ADVISORS|STEPHAN TOW AND ASSOCIATES INSURANCE SERVICES INC.|14724 VENTURA BLVD|SUITE #501|SHERMAN OAKS CA 91403|USA|||  ||STEPHAN E. TOW|818-906-9301|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|07/20/2006|0|0|0|0|0|0
Los Angeles Regional Office| 134506|801-64219|ODER & STEWART INVESTMENT MANAGEMENT, LLC|ODER & STEWART INVESTMENT MANAGEMENT, LLC|21300 VICTORY BLVD|SUITE 1050|WOODLAND HILLS CA 91367|USA|||  ||JAMES D. STEWART|(818) 676-0036|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/10/2005|0|0|0|0|0|0
Los Angeles Regional Office| 134509|801-68629|COLE WEALTH MANAGEMENT, LLC|COLE WEALTH MANAGEMENT, LLC|14301 N 87TH ST|SUITE 307|SCOTTSDALE AZ 85260|USA|||  ||MARTIN T. COLE|480 275-6354|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/02/2008|0|0|0|0|0|0
Los Angeles Regional Office| 134562|801-68386|RED ROCK PRIVATE WEALTH CONSULTING LLC|RED ROCK PRIVATE WEALTH CONSULTING LLC|6817 S. EASTERN AVE.|STE. 101|LAS VEGAS NV 89119|USA|||  ||GREGORY DAVID PHELPS|702-987-1607|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/26/2007|0|0|0|0|0|0
Los Angeles Regional Office| 134577|801-64268|THEMIS ASSET STRATEGIES, LLC|THEMIS ASSET STRATEGIES, LLC|1999 AVENUE OF THE STARS|SUITE 3430|LOS ANGELES CA 90067|USA|||  ||MARLA WOOTON|310-728-1300|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/27/2005|0|0|0|0|0|0
Los Angeles Regional Office| 134600|801-64376|UNITED CAPITAL FINANCIAL ADVISERS, INC.|UNITED CAPITAL FINANCIAL ADVISERS, INC.|500 NEWPORT CENTER DRIVE|SECOND FLOOR|NEWPORT BEACH CA 92660|USA|||  ||CARYN WESTMAN|949-999-8500|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/09/2005|0|0|0|0|0|0
Los Angeles Regional Office| 134615|801-65248|DORCHESTER CAPITAL ADVISORS INTERNATIONAL, LLC|DORCHESTER CAPITAL ADVISORS INTERNATIONAL, LLC|11111 SANTA MONICA BLVD, SUITE 1250||LOS ANGELES CA 90025|USA|||  ||CRAIG T. CARLSON|(310) 402-5071|Limited Liability Company|Other|APPROVED|01/20/2006|0|0|0|0|0|0
Los Angeles Regional Office| 134727|801-64824|NEXCORE FINANCIAL SERVICES, INCORPORATED|NEXCORE FINANCIAL SERVICES, INCORPORATED|10509 VISTA SORRENTO PARKWAY|SUITE 300|SAN DIEGO CA 92121|USA|||  ||JAY SHELDON POTTER, JR.|858-658-9800|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|11/21/2005|0|1|0|0|0|0
Los Angeles Regional Office| 134934|801-64140|JSD FINANCIAL DESIGN|JSD FINANCIAL DESIGN|6263 N. SCOTTSDALE RD.   #290||SCOTTSDALE AZ 85250|USA|6362 N. SCOTTSDALE RD.  #290||SCOTTSDALE AZ 85250|USA|JOHN OBRIEN|480 473 3344|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/07/2005|0|0|0|0|0|0
Los Angeles Regional Office| 134971|801-68293|ROCKWATER MUNICIPAL ADVISORS, LLC|ROCKWATER MUNICIPAL ADVISORS, LLC|2010 MAIN STREET|SUITE 130|IRVINE CA 92614|USA|||  ||BETSY SHELTON|949-296-3972|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|08/27/2007|0|0|0|0|0|0
Los Angeles Regional Office| 135044|801-64174|ACACIA WEALTH ADVISORS, LLC|ACACIA WEALTH ADVISORS, LLC|245 SOUTH BEVERLY DRIVE||BEVERLY HILLS CA 90212-3807|USA|||  ||ALEV T. LEWIS|310-246-0530|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|04/15/2005|0|0|0|0|0|0
Los Angeles Regional Office| 135081|801-64460|INSPIRED CAPITALWORKS|ICW INVESTMENT ADVISORS, LLC|15210 NORTH SCOTTSDALE ROAD|SUITE 200|SCOTTSDALE AZ 85254|USA|||  ||VINCENT H. ROSSI|480-951-2900|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|06/23/2005|0|0|0|0|0|0
Los Angeles Regional Office| 135098|801-67395|SVL INVESTMENT MANAGEMENT|SVL HOLDING CORPORATION|1620 N. PLACENTIA AVE.|SUITE 100|PLACENTIA CA 92870|USA|||  ||STEVEN LE, PH.D.|714-986-2222|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/31/2007|0|1|0|0|0|0
Los Angeles Regional Office| 135143|801-66702|GREEN STREET INVESTORS, LLC|GREEN STREET INVESTORS, LLC|2901 WEST COAST HIGHWAY|SUITE 200, #23 & #24|NEWPORT BEACH CA 92663|USA|||  ||JANET L. ROSS|949-258-4330|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/02/2006|0|1|1|0|0|0
Los Angeles Regional Office| 135162|801-64520|APPLIED STRATEGIES AND COUNSEL, INC.|APPLIED STRATEGIES AND COUNSEL, INC.|8800 E. RAINTREE DR. STE. 185||SCOTTSDALE AZ 85260|USA|||  ||CHARLES D. HOLLANDER JR.|480-361-3055|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/15/2005|0|0|0|0|0|0
Los Angeles Regional Office| 135200|801-64504|JONES & COMPANY|JONES COMMODITIES, INC.|9484 DOUBLE R BOULEVARD|SUITE B|RENO NV 89521|USA|||  ||TRINI GUILLEN|(775) 746-7676|Corporation|Other|APPROVED|08/30/2005|0|0|0|0|0|0
Los Angeles Regional Office| 135304|801-64231|ROYAL PALMS CAPITAL, LLC|ROYAL PALMS CAPITAL, LLC|501 DEEP VALLEY DRIVE|STE. 305|ROLLING HILLS  EST. CA 90274|USA|||  ||KRISTIN HETZER|310 265-5939|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/17/2005|0|1|0|0|0|0
Los Angeles Regional Office| 135324|801-66437|401(K) GROUP|CAMPBELL, DAVID SCOTT|1239 VICTORIA STREET, SUITE D||COSTA MESA CA 92627|USA|||  ||DAVID SCOTT CAMPBELL|949-650-1024|Sole Proprietorship|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|04/18/2006|0|0|0|0|0|0
Los Angeles Regional Office| 135434|801-65229|VOYAGER MANAGEMENT, LLC|VOYAGER MANAGEMENT, LLC|11111 SANTA MONICA BLVD|SUITE 750|LOS ANGELES CA 90025|USA|||  ||GEORGE J. OLAH|424-652-7070|Limited Liability Company|Other|APPROVED|01/20/2006|0|0|0|0|0|0
Los Angeles Regional Office| 135521|801-64410|ENVISION CAPITAL MANAGEMENT LLC|ENVISION DIRECT LLC.|5000 BIRCH ST.|SUITE 2900|NEWPORT BEACH CA 92660|USA|5000 BIRCH ST.|SUITE#2900|NEWPORT BEACH CA 92660|USA|GARY HEADDING|949-679-0051|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|06/29/2005|0|0|0|0|0|0
Los Angeles Regional Office| 135666|801-64669|ANCHOR WEALTH MANAGEMENT|ANCHOR WEALTH MANAGEMENT|17870 CASTLETON ST.|SUITE 250|CITY OF INDUSTRY CA 91748|USA|||  ||JACK C LEE|626-810-2885|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/26/2005|0|0|0|0|0|0
Los Angeles Regional Office| 135676|801-64422|SEAHORSE CAPITAL, INC.|SEAHORSE CAPITAL, INC.|7590 FAY AVENUE|SUITE 520|LA JOLLA CA 92037|USA|||  ||MICHAEL R. FRAGER|888-732-3388|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/05/2005|0|0|0|0|0|0
Los Angeles Regional Office| 135701|801-64438|EAST WEST WEALTH MANAGEMENT, LLC|EAST WEST CAPITAL MANAGEMENT, LLC|55 MERCHANT STREET C139, SUITE 3020||HONOLULU HI 96813|USA|||  ||TODD E. SCHWARTZ|503.635.5244|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|07/07/2005|0|0|0|0|0|0
Los Angeles Regional Office| 135704|801-64439|KRAVITZ DAVIS SANSONE INC.|KRAVITZ DAVIS SANSONE INC.|15760 VENTURA BOULEVARD|SUITE 910|ENCINO CA 91436-3017|USA|||  ||LOUIS KRAVITZ|818-379-6150|Corporation|Pension consulting services, Selection of other advisers|APPROVED|06/23/2005|0|0|0|0|0|0
Los Angeles Regional Office| 135733|801-64432|TELESIS CAPITAL, LLC|TELESIS CAPITAL, LLC|MARINA STUDIOS, 4223 GLENCOE AVENUE|SUITE C207/209|MARINA DEL REY CA 90292|USA|||  ||ERIC CRESSMAN|310-574-8610|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/17/2005|0|0|0|0|0|0
Los Angeles Regional Office| 135814|801-64594|NETVISORS, INC.|NETVISORS, INC.|11 BOTTLEBRUSH||ALISO VIEJO CA 92656|USA|||  ||GEORGE JOSEPH CHARRON|949-280-9450|Corporation|Financial planning services, Publication of periodicals or newsletters|APPROVED|08/16/2005|0|0|0|0|0|0
Los Angeles Regional Office| 135861|801-64428|GPS PARTNERS LLC|GPS PARTNERS LLC|2120 COLORADO AVENUE|SUITE 250|SANTA MONICA CA 90404|USA|||  ||MATTHEW BELLER|310-496-5381|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|06/21/2005|0|0|0|0|0|0
Los Angeles Regional Office| 135916|801-64575|ARQUE & CO INCORORATED|ARQUE & CO INCORORATED|27520 HAWTHORNE BOULEVARD|SUITE 290|ROLLING HILL ESTATES CA 90274|USA|||  ||AUDREY M. KUWABARA|310-544-7870|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|09/19/2005|0|0|0|0|0|0
Los Angeles Regional Office| 136005|801-67100|RICHEY ADVISORS, INC.|RICHEY ADVISORS, INC.|110 E. WILSHIRE AVE.|STE. 307|FULLERTON CA 92832-1959|USA|||  ||J RICHEY|714-449-9696|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|08/29/2006|0|1|0|0|0|0
Los Angeles Regional Office| 136054|801-65891|PACIFICA WEALTH ADVISORS, INC.|PACIFICA WEALTH ADVISORS, INC.|26041 ACERO, SUITE 500||MISSION VIEJO CA 92691|USA|||  ||ROBERT PAGLIARINI|949-305-0500|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|01/24/2006|0|0|0|0|0|0
Los Angeles Regional Office| 136191|801-64560|WEST GATE HORIZONS ADVISORS, LLC|WEST GATE HORIZONS ADVISORS, LLC|333 SOUTH GRAND AVENUE|SUITE 4100|LOS ANGELES CA 90071|USA|||  ||MICHAEL HATLEY|213-621-3772|Limited Liability Company|Other|APPROVED|08/12/2005|0|0|0|0|0|0
Los Angeles Regional Office| 136207|801-66078|CAPITALWORKS QED|CAPITALWORKS QED LLC|5701 E. ABBEY RD||FLAGSTAFF AZ 86004-5807|USA|||  ||DOUGLAS E. DUNN|928-528-1410|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/31/2006|0|0|0|0|0|0
Los Angeles Regional Office| 136213|801-68872|QUANTUM WEALTH MANAGEMENT LLC|QUANTUM WEALTH MANAGEMENT LLC|429 SANTA MONICA BOULEVARD|STUITE 620|SANTA MONICA CA 90401|USA|||  ||DARIUS G. GAGNE|310-656-5250|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|02/27/2008|0|0|0|0|0|0
Los Angeles Regional Office| 136314|801-64549|IWP WEALTH MANAGEMENT LLC|IWP WEALTH MANAGEMENT LLC|2321 ROSECRANS AVENUE|SUITE 2240|EL SEGUNDO CA 90245|USA|||  ||CHARLES A. WILLHOIT|310-643-0050|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|07/20/2005|0|0|0|0|0|0
Los Angeles Regional Office| 136413|801-64741|WCM CAPITAL, INC.|WCM CAPITAL, INC.|10940 WILSHIRE BOULEVARD|SUITE 600|LOS ANGELES CA 90024|USA|||  ||ALAN SCHRAM|310.443.4160|Corporation|Other|APPROVED|10/12/2005|0|0|0|0|0|0
Los Angeles Regional Office| 136478|801-69026|PALO CAPITAL, INC.|PALO CAPITAL, INC.|31 OCEAN HEIGHTS||NEWPORT BEACH CA 92657|USA|||  ||KEVIN F. O'GRADY|949-715-2126|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/28/2008|0|0|0|0|0|0
Los Angeles Regional Office| 136482|801-64853|ASC TRUST CORPORATION|ASC TRUST CORPORATION|120 FATHER DUENAS AVE|CAPITOL PLAZA STE 110|HAGATNA GU 96910|USA|||  ||DONALD CLARK|671-477-2724|Corporation|Financial planning services, Other|APPROVED|04/20/2006|0|0|0|0|0|0
Los Angeles Regional Office| 136558|801-64615|401K FIDUCIARY SERVICES|401K FIDUCIARY SERVICES, INC.|21202 WHITEBARK||MISSION VIEJO CA 92692|USA|||  ||ROY PHILLIPS|949-951-2886|Corporation|Pension consulting services|APPROVED|08/15/2005|0|0|0|0|0|0
Los Angeles Regional Office| 136577|801-64637|SAGE CAPITAL ADVISORS, LLC|SAGE CAPITAL ADVISORS, LLC|5672 LA JOLLA BOULEVARD||LA JOLLA CA 92037|USA|||  ||DIANA BLAIR|858-459-0172|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/22/2005|0|0|0|0|0|0
Los Angeles Regional Office| 136680|801-68877|WIN TEAM INSURANCE SERVICES, INC.|WIN TEAM INSURANCE SERVICES, INC.|23 ORCHARD||LAKE FOREST CA 92630|USA|||  ||DAVID WINSTON CRIST|949-916-7500|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/23/2008|0|0|0|0|0|0
Los Angeles Regional Office| 136745|801-64693|BILTMORE WEALTH ADVISERS, LLC|BILTMORE WEALTH ADVISERS, LLC|2701 E. CAMELBACK ROAD|#170|PHOENIX AZ 85016|USA|||  ||CAPRICE MALLETT|602-273-7733|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|09/06/2005|0|0|0|0|0|0
Los Angeles Regional Office| 136753|801-64750|PI CAPITAL|PI CAPITAL INC.|11755 WILSHIRE BLVD.|SUITE 2300|LOS ANGELES CA 90025|USA|||  ||LYDIE LYONS|310-481-7151|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|10/03/2005|0|0|0|0|0|0
Los Angeles Regional Office| 136914|801-64689|WESTWOOD ASSET MANAGEMENT, LLC|WESTWOOD ASSET MANAGEMENT, LLC|1063 GAYLEY AVENUE|2ND FLOOR|LOS ANGELES CA 90024|USA|||  ||BYRON STEAD|310-208-2225|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/15/2005|0|0|0|0|0|0
Los Angeles Regional Office| 136929|801-68546|JLF ASSET MANAGEMENT, L.L.C.|JLF ASSET MANAGEMENT, L.L.C.|2775 VIA DE LA VALLE|SUITE 204|DEL MAR CA 92014|USA|||  ||HIEN TRAN|858-259-3443|Limited Liability Company|Other|APPROVED|11/21/2007|0|0|0|0|0|0
Los Angeles Regional Office| 136969|801-68517|TRINITY FINANCIAL PARTNERS|CLOVER FINANCIAL & INSURANCE SERVICES, INC.|701 N. HAVEN AVE, SUITE 280||ONTARIO CA 91764|USA|||  ||KARYN WIKOFF|909-481-4000|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|11/09/2007|0|0|0|0|0|0
Los Angeles Regional Office| 136984|801-64818|YIM INVESTMENT MANAGEMENT, LLC|YIM INVESTMENT MANAGEMENT, LLC|1025 PUNAHOU STREET||HONOLULU HI 96826|USA|||  ||SUSIE L. ING|808-955-8800|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|12/01/2005|0|1|0|0|0|0
Los Angeles Regional Office| 137070|801-68965|OPTIVEST, INC.|OPTIVEST, INC.|24901 DANA POINT HARBOR DRIVE|SUITE 230|DANA POINT CA 92629|USA|||  ||MARK VAN MOURICK|949-363-8686|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/26/2008|0|0|0|0|0|0
Los Angeles Regional Office| 137253|801-68123|TRUSTED FINANCIAL ADVISORS|MILLER GARY EDGAR|30101 TOWN CENTER DRIVE|SUITE 100|LAGUNA NIGUEL CA 92677|USA|||  ||GARY E MILLER|9492492057|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/10/2007|0|1|0|0|0|0
Los Angeles Regional Office| 137370|801-65140|IVORY INVESTMENT MANAGEMENT, L.P.|IVORY INVESTMENT MANAGEMENT, L.P.|11755 WILSHIRE BOULEVARD|SUITE 1350|LOS ANGELES CA 90025|USA|||  ||CHRIS WINKLER|310 899 7300|Partnership|Other|APPROVED|01/04/2006|0|0|0|0|0|0
Los Angeles Regional Office| 137432|801-66786|GUGGENHEIM PARTNERS ASSET MANAGEMENT, INC.|GUGGENHEIM PARTNERS ASSET MANAGEMENT, INC.|100 WILSHIRE BOULEVARD|5TH FLOOR|SANTA MONICA CA 90401|USA|||  ||ROY CORR|310-576-1270|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/14/2006|0|0|0|0|0|0
Los Angeles Regional Office| 137470|801-65513|INVESTMENT COUNSELORS OF REDLANDS LLC|INVESTMENT COUNSELORS OF REDLANDS LLC|101 E. REDLANDS BLVD. #138||REDLANDS CA 92373|USA|||  ||JIM HEINE|909.792.0711|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/23/2006|0|0|0|0|0|0
Los Angeles Regional Office| 137485|801-65869|AKANTHOS CAPITAL MANAGEMENT, LLC|AKANTHOS CAPITAL MANAGEMENT, LLC|21700 OXNARD STREET|SUITE 1520|WOODLAND HILLS CA 91367-7584|USA|||  ||THOMAS BOYACK|818-456-5220|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/30/2006|0|0|0|0|0|0
Los Angeles Regional Office| 137514|801-64857|TORTUGA ADVISERS LLC|TORTUGA ADVISERS LLC|2 N. LAKE AVENUE|SUITE 870|PASADENA CA 91101|USA|||  ||MICHAEL SCHAIBLE|626 683 2200|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/18/2005|0|0|0|0|0|0
Los Angeles Regional Office| 137673|801-64843|ANCORA WEST ADVISORS|ANCORA WEST ADVISORS, LLC|8630 TECHNOLOGY WAY|SUITE A|RENO NV 89521|USA|P.O. BOX 19427||RENO NV 89511|USA|JOSHUA BARONE|775-284-7778|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|10/21/2005|0|0|0|0|0|0
Los Angeles Regional Office| 137743|801-65903|NPB FINANCIAL GROUP, LLC|NPB FINANCIAL GROUP, LLC|3500 W. OLIVE AVENUE|THIRD FLOOR|BURBANK CA 91505|USA|||  ||NEAL E. NAKAGIRI|818-827-7132|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|01/27/2006|0|0|0|0|0|0
Los Angeles Regional Office| 137770|801-64864|PRIVATE WEALTH MANAGEMENT LLC|PRIVATE WEALTH MANAGEMENT LLC|1308 REISLING COURT||LAS VEGAS NV 89144|USA|||  ||DEON MARYANN BLANEY|702-734-1475|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|11/10/2005|0|0|0|0|0|0
Los Angeles Regional Office| 137789|801-64971|PORTFOLIO DESIGN ADVISORS|PORTFOLIO DESIGN ADVISORS|4332 CERRITOS AVENUE|SUITE 100|LOS ALAMITOS CA 90720-2557|USA|||  ||ELGONDE M SCHEFFY|818-246-9634|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|01/19/2006|0|0|0|0|0|0
Los Angeles Regional Office| 137852|801-66546|THE KELLER WEALTH ADVANTAGE, LLC|THE KELLER WEALTH ADVANTAGE, LLC|18101 VON KARMAN AVE  STE 700||IRVINE CA 92612-1051|USA|||  ||GREGORY S. BRUCE|949-476-0300|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|04/26/2006|0|0|0|0|0|0
Los Angeles Regional Office| 137975|801-66321|HONUA INVESTMENT MANAGEMENT, INC.|HONUA INVESTMENT MANAGEMENT, INC.|1601 KAPIOLANI BOULEVARD|SUITE 910|HONOLULU HI 96814|USA|||  ||CHRISTOPHER WHANG|808-949-9988|Corporation|Other|APPROVED|06/22/2006|0|0|0|0|0|0
Los Angeles Regional Office| 138107|801-65458|TORREY PINES CAPITAL MANAGEMENT, LP|TORREY PINES CAPITAL MANAGEMENT, LP|4365 EXECUTIVE DRIVE, SUITE 1550||SAN DIEGO CA 92121|USA|||  ||SAMANTHA M. SACKS|(858) 623-8220|Partnership|Other|APPROVED|02/01/2006|0|0|0|0|0|0
Los Angeles Regional Office| 138123|801-65003|SANTA BARBARA ASSET MANAGEMENT, LLC|SANTA BARBARA ASSET MANAGEMENT, LLC|200 EAST CARRILLO STREET|SUITE 300|SANTA BARBARA CA 93101|USA|||  ||MARY E. KEEFE|312-917-7868|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/09/2005|0|0|0|0|0|0
Los Angeles Regional Office| 138223|801-65013|MCCOMSEY ASSET MANAGEMENT, LLC|MCCOMSEY ASSET MANAGEMENT, LLC|11400 W. OLYMPIC BLVD.|SUITE 300|LOS ANGELES CA 90064|USA|||  ||MAUREEN MCCOMSEY|310-473-7100|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/12/2005|0|0|0|0|0|0
Los Angeles Regional Office| 138337|801-65038|ERISEY WEALTH MANAGEMENT|ERISEY WEALTH MANAGEMENT LLC|4836 E. JUANA CT.||CAVE CREEK AZ 85331|USA|28248 N. TATUM BLVD.,|STE. B-1, #418|CAVE CREEK AZ 85331|USA|KENNETH R HARTLEY JR|480-473-4611|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/30/2006|0|0|1|0|0|0
Los Angeles Regional Office| 138374|801-65444|REGAL WEALTH GROUP INC.|REGAL WEALTH GROUP INC.|12501 SEAL BEACH BLVD, SUITE 280||SEAL BEACH CA 90740|USA|||  ||WILLIAM MALCOLM BEELER|562-799-1929|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers, Other|APPROVED|01/23/2006|0|0|0|0|0|0
Los Angeles Regional Office| 138476|801-65208|TRADEWINDS GLOBAL INVESTORS, LLC|TRADEWINDS GLOBAL INVESTORS, LLC|2049 CENTURY PARK EAST|20TH FLOOR|LOS ANGELES CA 90067-3120|USA|||  ||JANE K. CRIST|310-552-8915|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/16/2005|0|1|0|0|0|0
Los Angeles Regional Office| 138689|801-65675|FIRST Q CAPITAL, LLC|FIRST Q CAPITAL, LLC|888 SAN CLEMENTE DRIVE, SUITE 180||NEWPORT BEACH CA 92660|USA|||  ||JOSEPH SCHUCHERT, III|949-720-3000|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/27/2006|0|0|0|0|0|0
Los Angeles Regional Office| 138925|801-66651|CONSERVATIVE WEALTH MANAGEMENT LLC|CONSERVATIVE WEALTH MANAGEMENT LLC|7565 MULHOLLAND DRIVE||LOS ANGELES CA 90046|USA|||  ||PHILIP DEMUTH|323-876-3300|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/24/2006|0|0|0|0|0|0
Los Angeles Regional Office| 138937|801-67117|WAVE WEALTH MANAGEMENT LLC|WAVE WEALTH MANAGEMENT LLC|479 OCEAN AVE., SUITE D||LAGUNA BEACH CA 92651|USA|||  ||RICHARD B. MANCHESTER|949-497-9100|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|09/05/2006|0|0|0|0|0|0
Los Angeles Regional Office| 138978|801-65586|EMPYREAN CAPITAL PARTNERS, LP|EMPYREAN CAPITAL PARTNERS, LP|10250 CONSTELLATION BLVD.|SUITE 2950|LOS ANGELES CA 90067|USA|||  ||ANTHONY HYNES|310-843-3060|Partnership|Other|APPROVED|01/26/2006|0|0|0|0|0|0
Los Angeles Regional Office| 138980|801-65689|GIOVINE CAPITAL GROUP LLC|GIOVINE CAPITAL GROUP LLC|1333 2ND STREET, SUITE 650||SANTA MONICA CA 90401|USA|||  ||DAVID BEACH|310-587-2009|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/27/2006|0|0|0|0|0|0
Los Angeles Regional Office| 139018|801-65848|SAYBROOK TAX-EXEMPT ADVISORS, LLC|SAYBROOK TAX-EXEMPT ADVISORS, LLC|401 WILSHIRE BLVD|SUITE 850|SANTA MONICA CA 90401|USA|||  ||BARBARA LUZZATTO|310-899-9200|Limited Liability Company|Other|APPROVED|02/01/2006|0|1|0|0|0|0
Los Angeles Regional Office| 139020|801-65733|MONT PELERIN CAPITAL, LLC|MONT PELERIN CAPITAL, LLC|660 NEWPORT CENTER DRIVE|SUITE 1220|NEWPORT BEACH CA 92660|USA|||  ||CHRISTOPHER AINSWORTH|949-706-6707|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/23/2006|0|0|0|0|0|0
Los Angeles Regional Office| 139022|801-66131|TERRA RESOURCE INVESTMENT MANAGEMENT, INC.|TERRA RESOURCE INVESTMENT MANAGEMENT, INC.|7770 EL CAMINO REAL||CARLSBAD CA 92009|USA|||  ||RIA GOST|866-531-8746|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/01/2006|0|6|1|0|0|0
Los Angeles Regional Office| 139095|801-65823|SIGNAL CAPITAL MANAGEMENT, LLC|SIGNAL CAPITAL MANAGEMENT, LLC|1800 CENTURY PARK EAST|SUITE 600|LOS ANGELES CA 90067|USA|||  ||ARNOLD KLEIN|310-284-3706|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|02/01/2006|0|0|0|0|0|0
Los Angeles Regional Office| 139165|801-66115|THOMSON FINANCIAL ADVISORS LLC.|THOMSON FINANCIAL ADVISORS LLC.|10360 E.JENAN DRIVE||SCOTTSDALE AZ 85260|USA|||  ||BRENDAN SHAW|480-661-5051|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|02/08/2006|0|0|0|0|0|0
Los Angeles Regional Office| 139279|801-66345|MACQUARIE FUNDS MANAGEMENT|MACQUARIE FUNDS MANAGEMENT (USA) INC.|OCEAN RIDGE, 5796 ARMADA DRIVE|SUITE 150|CARLSBAD CA 92008|USA|||  ||SUZANNE CHMURA|212 231-1591|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/09/2006|0|11|0|0|0|0
Los Angeles Regional Office| 139300|801-66476|PLANPREP|PLANPREP LLC|11112 VISTA SORRENTO PKWY|# 201|SAN DIEGO CA 92130|USA|||  ||BURTON WILLIAMSON|858-259-5436|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/27/2006|0|0|0|0|0|0
Los Angeles Regional Office| 139309|801-66360|STRATEGIC GLOBAL ADVISORS, LLC|STRATEGIC GLOBAL ADVISORS, LLC|100 BAYVIEW CIRCLE, SUITE 500||NEWPORT BEACH CA 92660|USA|||  ||ASHLEY L. BURKHARDT DUVA|949-706-2640|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/09/2006|0|0|0|0|0|0
Los Angeles Regional Office| 139370|801-66377|KAUFMAN + BERNSTEIN, INC.|KAUFMAN + BERNSTEIN, INC.|2049 CENTURY PARK EAST,|SUITE 2500|LOS ANGELES CA 90067|USA|||  ||HOWARD M. BERNSTEIN|310.277.1900|Corporation|Financial planning services, Pension consulting services, Selection of other advisers, Other|APPROVED|03/13/2006|0|1|0|0|0|0
Los Angeles Regional Office| 139401|801-66142|CARMICHAEL STRATEGIES LLC|CARMICHAEL STRATEGIES LLC|1507 W PARKSIDE LANE||PHOENIX AZ 85027|USA|||  ||RALPH W CARMICHAEL|(623) 580-9500|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/01/2006|0|0|0|0|0|0
Los Angeles Regional Office| 139600|801-66280|BUECHLER CAPITAL ASSET MANAGEMENT, LLC|BUECHLER CAPITAL ASSET MANAGEMENT, LLC|7825 FAY AVE|#200|LA JOLLA CA 92037|USA|||  ||WILLIAM BUECHLER|858-456-5514|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|03/20/2006|0|2|0|0|0|0
Los Angeles Regional Office| 139707|801-66401|THALASSA CAPITAL LLC|THALASSA CAPITAL LLC|8827 WEST OLYMPIC BLVD.||BEVERLY HILLS CA 90211|USA|269 SOUTH BEVERLY DRIVE, SUITE 1204||BEVERLY HILLS CA 90212|USA|YOURI BUJKO|(310) 867-2255|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/16/2006|0|0|0|0|0|0
Los Angeles Regional Office| 139785|801-66386|CLARIVEST ASSET MANAGEMENT LLC|CLARIVEST ASSET MANAGEMENT LLC|11452 EL CAMINO REAL|SUITE 250|SAN DIEGO CA 92130|USA|||  ||TIFFANY AYRES|858-480-2447|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/09/2006|0|0|0|0|0|0
Los Angeles Regional Office| 139940|801-66611|TORREY GROWTH & INCOME ADVISORS, LLC|TORREY GROWTH & INCOME ADVISORS, LLC|120 BIRMINGHAM DRIVE|SUITE 250|CARDIFF BY THE SEA CA 92007|USA|||  ||GEORGE R. HOOVER, JR.|760-274-2744|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|05/02/2006|0|0|0|0|0|0
Los Angeles Regional Office| 139945|801-67693|KOCH GLOBAL CAPITAL, LLC|KOCH GLOBAL CAPITAL, LLC|17550 NORTH PERIMETER DRIVE|SUITE 300|SCOTTSDALE AZ 85255|USA|||  ||JENNIFER PARKER|480-419-3622|Limited Liability Company|Other|APPROVED|04/03/2007|0|1|0|0|0|0
Los Angeles Regional Office| 139954|801-66576|BELL STRATEGIC INVESTMENTS, INC.|BELL STRATEGIC INVESTMENTS, INC.|2866 GLENVIEW WAY||ESCONDIDO CA 92025|USA|||  ||RICHARD J. BELL|760-489-8509|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|04/11/2006|0|0|0|0|0|0
Los Angeles Regional Office| 139971|801-66920|LAMNETH CAPITAL|CANFIELD, BRYAN BOYD|30981 VIA ESTENAGA||SAN JUAN CAPISTRANO CA 92675|USA|||  ||BRYAN CANFIELD|949-874-5309|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|06/22/2006|0|0|0|0|0|0
Los Angeles Regional Office| 139979|801-66493|PLATINUM CAPITAL MANAGEMENT (USA) LLC|PLATINUM CAPITAL MANAGEMENT (USA) LLC|11601 WILSHIRE BOULEVARD|5TH FLOOR|LOS ANGELES CA 90025|USA|||  ||ANDREW SPRINGER|310-433-1112|Limited Liability Company|Other|APPROVED|04/07/2006|0|0|0|0|0|0
Los Angeles Regional Office| 140010|801-66523|FOCUSED INVESTORS LLC|FOCUSED INVESTORS LLC|9777 WILSHIRE BOULEVARD|SUITE 910|BEVERLY HILLS CA 90212-2020|USA|||  ||MICHAEL KROMM|310-734-1213|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|06/28/2006|0|0|0|0|0|0
Los Angeles Regional Office| 140115|801-66566|WEALTH ANALYTICS PARTNERS, LLC|WEALTH ANALYTICS PARTNERS, LLC|12520 HIGH BLUFF DRIVE|SUITE 385|SAN DIEGO CA 92130|USA|||  ||TROY DAUM|858-794-2100|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/03/2006|0|0|0|0|0|0
Los Angeles Regional Office| 140120|801-69268|CAPITAL STRATEGIES GROUP, LLC|CAPITAL STRATEGIES GROUP, LLC|2151 E. BASELINE ROAD|SUITE 101|TEMPE AZ 85283|USA|||  ||GEOFFREY W. WHITE|480-635-4050|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/05/2008|0|0|0|0|0|0
Los Angeles Regional Office| 140153|801-68986|INVESTUS FINANCIAL|INVESTUS FINANCIAL PLANNING, INC.|1765 SANTA ANA AVE UNIT U-202||COSTA MESA CA 92627|USA|P.O BOX 2043||NEWPORT BEACH CA 92659|USA|HENK PIETERS|949-645-1403|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|03/31/2008|0|0|0|0|0|0
Los Angeles Regional Office| 140159|801-66532|NICHOLAS INVESTMENT PARNTERS, L.P.|NICHOLAS INVESTMENT PARNTERS, L.P.|6451 EL SICOMERO STREET||RANCHO SANTA FE CA 92067|USA|PO BOX 2828||DEL MAR CA 92014|USA|ARTHUR GREG GLEESON|858.759.4545|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/17/2006|0|0|0|0|0|0
Los Angeles Regional Office| 140208|801-67121|EAGLE LAKE CAPITAL, LLC|EAGLE LAKE CAPITAL, LLC|2450 COLORADO AVENUE|SUITE 100 EAST TOWER|SANTA MONICA CA 90404|USA|||  ||MATTHEW WHITING|310-633-2319|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/25/2006|0|0|0|0|0|0
Los Angeles Regional Office| 140292|801-67188|ADVANCED EQUITIES ASSET MANAGEMENT|ADVANCED EQUITIES ASSET MANAGEMENT, INC.|655 W. BROADWAY|12TH FLOOR|SAN DIEGO CA 92101|USA|PO BOX 85549||SAN DIEGO CA 92186-5549|USA|LUANNE BOROWSKI|619-702-9600|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/28/2006|4|36|4|0|0|0
Los Angeles Regional Office| 140305|801-66803|LOURD CAPITAL MANAGEMENT|LOURD CAPITAL, LLC|350 S. BEVERLY DRIVE|#360|BEVERLY HILLS CA 90212|USA|||  ||DAVID R. BARBER|800-780-9858|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/24/2006|0|0|0|0|0|0
Los Angeles Regional Office| 140352|801-66759|PENSION PERFORMANCE ADVISORS, INC.|PENSION PERFORMANCE ADVISORS, INC.|23046 AVENIDA DE LA CARLOTA|SUITE 350|LAGUNA HILLS CA 92653|USA|26895 ALISO CREEK ROAD|SUITE B578|ALISO VIEJO CA 92656-5301|USA|HOWARD MAZER|949-831-6311|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Other|APPROVED|06/02/2006|0|0|0|0|0|0
Los Angeles Regional Office| 140451|801-66674|RVW INVESTING, LLC|RVW INVESTING, LLC|1880 CENTURY PARK EAST|STE. 200|LOS ANGELES CA 90067|USA|||  ||JONATHAN GERBER|310-945-4000|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/21/2006|0|0|1|0|0|0
Los Angeles Regional Office| 140542|801-67199|HERITAGE WEALTH MANAGEMENT, LLC|HERITAGE WEALTH MANAGEMENT, LLC|13520 EVENING CREEK DRIVE NORTH|SUITE 100|SAN DIEGO CA 92128|USA|||  ||RYAN BOWERS|858-679-5000|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|10/05/2006|0|0|0|0|0|0
Los Angeles Regional Office| 140639|801-66839|SOVEREIGN WEALTH ADVISORS LLC|SOVEREIGN WEALTH ADVISORS LLC|166 WEST MAIN STREET|SUITE 200|MESA AZ 85201|USA|||  ||VAN HOFFMAN|480-294-6520|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|06/12/2006|0|0|0|0|0|0
Los Angeles Regional Office| 140667|801-66776|WESTLAKE FINANCIAL ADVISORS LLC|WESTLAKE FINANCIAL ADVISORS LLC|4195 E. THOUSAND OAKS|SUITE 125|WESTLAKE VILLAGE CA 91362|USA|||  ||DANIEL F CASEY|805 371-4777|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/01/2006|0|0|0|0|0|0
Los Angeles Regional Office| 140700|801-66777|STRATA CAPITAL MANAGEMENT LP|STRATA CAPITAL MANAGEMENT LP|9665 WILSHIRE BLVD. SUITE 505||BEVERLY HILLS CA 90212|USA|||  ||SWIFT BARNES|310-228-4185|Partnership|Other|APPROVED|06/08/2006|0|0|0|0|0|0
Los Angeles Regional Office| 140722|801-67097|TED BUCHAN & COMPANY|TED BUCHAN & COMPANY, LLC|11777 BERNARDO PLAZA COURT|SUITE 109|SAN DIEGO CA 92128|USA|||  ||EDWARD J. BUCHAN|858-605-0686|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|08/18/2006|0|0|0|0|0|0
Los Angeles Regional Office| 140764|801-66836|MARTIN KELLY CAPITAL MANAGEMENT, LLC|MARTIN KELLY CAPITAL MANAGEMENT, LLC|322 8TH STREET|SUITE 100|DEL MAR CA 92014|USA|||  ||DONALD MARTIN STUTHERS|858-663-4598|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/30/2006|0|0|0|0|0|0
Los Angeles Regional Office| 140795|801-66823|GUNDERSON CAPITAL MANAGEMENT INC.|GUNDERSON CAPITAL MANAGEMENT INC.|550 STARGAZE DRIVE|SUITE 16|OCEANSIDE CA 92054|USA|||  ||BILL GUNDERSON|(760) 736-8258|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|06/13/2006|0|0|0|0|0|0
Los Angeles Regional Office| 140824|801-67215|MJL ADVISORS, INC.|MJL ADVISORS, INC.|200 E. CARRILLO ST.|SUITE 302|SANTA BARBARA CA 93101|USA|||  ||RICHARD A. SCHUETTE|805-962-8455|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|10/05/2006|0|0|0|0|0|0
Los Angeles Regional Office| 140825|801-67288|ANODOS ADVISORS, LLC|ANODOS ADVISORS, LLC|1334 ANACAPA STREET||SANTA BARBARA CA 93101|USA|||  ||DEBRA NICHOLS|(805) 899-1244|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|12/08/2006|0|0|0|0|0|0
Los Angeles Regional Office| 140923|801-66849|L & S ADVISORS, INC|L & S ADVISORS, INC|12121 WILSHIRE BLVD|SUITE 1100|LOS ANGELES CA 90025-1123|USA|||  ||SY LIPPMAN|310-893-6060|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/05/2006|0|0|0|0|0|0
Los Angeles Regional Office| 140980|801-66987|LEVINE LEICHTMAN CAPITAL PARTNERS, INC.|LEVINE LEICHTMAN CAPITAL PARTNERS, INC.|335 N. MAPLE DRIVE|SUITE 240|BEVERLY HILLS CA 90210|USA|||  ||STEPHEN HOGAN|310-275-5335|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/10/2006|0|0|0|0|0|0
Los Angeles Regional Office| 141007|801-67668|FINANCIAL SOLUTIONS GROUP, LLC|FINANCIAL SOLUTIONS GROUP, LLC|772 TOWN & COUNTRY ROAD||ORANGE CA 92868|USA|6700 E PACIFIC COAST HIGHWAY|SUITE 291|LONG BEACH CA 90803|USA|CLYDE KENZIERSKI|714-565-1020|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|04/12/2007|0|0|0|0|0|0
Los Angeles Regional Office| 141091|801-68901|GALLOWAY ASSET MANAGEMENT LLC|GALLOWAY ASSET MANAGEMENT LLC|1930 N. ARBOLEDA|SUITE 117|MESA AZ 85213|USA|||  ||MICHAEL J. GALLOWAY|(480)325-8668|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/20/2008|0|0|0|0|0|0
Los Angeles Regional Office| 141109|801-67004|DELTA GLOBAL ADVISORS|DELTA GLOBAL ADVISORS, INC.|17011 BEACH BLVD.|#510|HUNTINGTON BEACH CA 92647|USA|||  ||CHARLES PATRICK HANLON|714-960-0302|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies|APPROVED|07/10/2006|0|0|0|0|0|0
Los Angeles Regional Office| 141125|801-67037|HOYLECOHEN, LLC|HOYLECOHEN, LLC|9350 WAXIE WAY|SUITE 500|SAN DIEGO CA 92123|USA|||  ||RON MENNELLA|858 576 7300|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|07/21/2006|0|0|0|0|0|0
Los Angeles Regional Office| 141136|801-67285|RPS|RETIREMENT PLAN SOLUTIONS LLC|1228 E PRINCE ROAD||TUCSON AZ 85719|USA|||  ||MARY CHERBA|520-408-7777|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|01/03/2007|0|0|0|0|0|0
Los Angeles Regional Office| 141150|801-67029|COOR CAPITAL, LLC|COOR CAPITAL, LLC|14362 N. FRANK LLOYD WRIGHT BLVD.|SUITE 1240|SCOTTSDALE AZ 85260|USA|||  ||GABRIEL FENTON|480-889-8970|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/17/2006|0|0|0|0|0|0
Los Angeles Regional Office| 141250|801-67025|MORTON CAPITAL MANAGEMENT|MORTON CAPITAL MANAGEMENT|23945 CALABASAS ROAD, SUITE 203||CALABASAS CA 91302|USA|||  ||PRISCILLA A. BREHM|818 591-6201|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/01/2006|0|1|0|0|0|0
Los Angeles Regional Office| 141260|801-67065|FORCE CAPITAL PARTNERS, LLC|FORCE CAPITAL PARTNERS, LLC|209 KINGSBURY GRADE, STE. 2J||STATELINE NV 89449|USA|PO BOX 740||ZEPHYR COVE NV 89448|USA|CASEY MASLONKA|775-586-9370|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|08/10/2006|0|0|0|0|0|0
Los Angeles Regional Office| 141303|801-67068|MASON & ASSOCIATES, INC.|MASON & ASSOCIATES, INC.|7474 NORTH FIGUEROA STREET|SUITE 100|LOS ANGELES CA 90041|USA|||  ||ANNE KIM|323-254-3072|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|08/03/2006|0|0|0|0|0|0
Los Angeles Regional Office| 141335|801-67056|HALLADOR INVESTMENT ADVISORS, INC.|HALLADOR INVESTMENT ADVISORS, INC.|555 DALE DRIVE||INCLINE VILLAGE NV 89451-8302|USA|||  ||STEPHEN R. CHANECKA|916-290-1820|Corporation|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|08/09/2006|0|0|0|0|0|0
Los Angeles Regional Office| 141380|801-67095|NETWIDE CAPITAL, LLC|NETWIDE CAPITAL, LLC|14362 N. FRANK LLOYD WRIGHT BLVD. SUITE 1240||SCOTTSDALE AZ 85260|USA|||  ||GABRIEL FENTON|480-889-8970|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/18/2006|0|0|0|0|0|0
Los Angeles Regional Office| 141417|801-67071|OCEANSTONE CAPITAL MANAGEMENT, INC|OCEANSTONE CAPITAL MANAGEMENT, INC|7334 SPINNAKER STREET||CARLSBAD CA 92011|USA|P.O. BOX 130982||CARLSBAD CA 92013|USA|JAMES J. WANG|760-602-0103|Corporation|Portfolio management for investment companies|APPROVED|08/04/2006|0|0|0|0|0|0
Los Angeles Regional Office| 141422|801-67361|KINGSROAD FINANCIAL INSURANCE SERVICES, INC.|KINGSROAD FINANCIAL INSURANCE SERVICES, INC.|5405 MOREHOUSE DRIVE|SUITE 230|SAN DIEGO CA 92121|USA|||  ||LARRY KRIESMER|858-452-4930|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|01/08/2007|0|0|0|0|0|0
Los Angeles Regional Office| 141436|801-62510|SELEZNOV CAPITAL ADVISORS LLC|SELEZNOV CAPITAL ADVISORS LLC|7702 E. DOUBLETREE RANCH RD.|SUITE 300|SCOTTSDALE AZ 85258|USA|||  ||MARK SELEZNOV|480-951-4001|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|11/13/2003|0|1|0|0|0|0
Los Angeles Regional Office| 141445|801-67161|MULLINTBG ADVISORS|MULLIN TBG ADVISORY SERVICES, LLC|610 NEWPORT CENTER DRIVE|SUITE 950|NEWPORT BEACH CA 92660|USA|||  ||ROBERT SHIER|949-760-6215|Limited Liability Company|Financial planning services, Selection of other advisers, Other|APPROVED|09/18/2006|0|0|0|0|0|0
Los Angeles Regional Office| 141463|801-67133|FUGEN CAPITAL MANAGEMENT, LLC|FUGEN CAPITAL MANAGEMENT, LLC|SEVEN WATERFRONT PLAZA|500 ALA MOANA BLVD, SUITE 400|HONOLULU HI 96813|USA|||  ||GORDON HO|631-805-1235|Limited Liability Company|Other|APPROVED|09/26/2006|0|0|0|0|0|0
Los Angeles Regional Office| 141464|801-67115|PRIVEE CAPITAL MANAGEMENT HAWAII, LLC|PRIVEE CAPITAL MANAGEMENT HAWAII, LLC|1132 BISHOP STREET, SUITE 1400|SUITE 1400|HONOLULU HI 96813-2807|USA|||  ||GILES HUNT|808-538-2101|Limited Liability Company|Other|APPROVED|10/20/2006|0|0|0|0|0|0
Los Angeles Regional Office| 141775|801-67209|TRICOR ADVISORY SERVICES, LLC|TRICOR ADVISORY SERVICES, LLC|7201 W. LAKE MEAD BLVD.|SUITE 580|LAS VEGAS NV 89128|USA|||  ||FRANK AGUILAR|702-254-1263|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/17/2006|0|0|0|0|0|0
Los Angeles Regional Office| 141823|801-67160|FIRST PACIFIC ADVISORS, LLC|FIRST PACIFIC ADVISORS, LLC|11400 WEST OLYMPIC BOULEVARD|SUITE 1200|LOS ANGELES CA 90064|USA|||  ||J. RICHARD ATWOOD|(310) 996-5458|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/29/2006|0|0|0|0|0|0
Los Angeles Regional Office| 141926|801-67203|WEALTHTRUST ARIZONA|WEALTHTRUST ARIZONA LLC|8434 E. SHEA BOULEVARD||SCOTTSDALE AZ 85260|USA|||  ||DONALD R. EBEY JR|480-483-7300|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|10/04/2006|0|0|0|0|0|0
Los Angeles Regional Office| 142121|801-67311|TRIPACIFIC CAPITAL ADVISORS, LLC|TRIPACIFIC CAPITAL ADVISORS, LLC|2020 MAIN STREET|SUITE 1100|IRVINE CA 92614|USA|||  ||SUSAN VAVAK|949-724-5900|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|11/21/2006|0|0|0|0|0|0
Los Angeles Regional Office| 142170|801-69221|FINANCIAL ADVISERS OF AMERICA, LLC|FINANCIAL ADVISERS OF AMERICA, LLC|1930 PALOMAR POINT WAY|SUITE 104|CARLSBAD CA 92008|USA|||  ||KEN JOHNSTON|(760) 444-6300|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|06/11/2008|0|1|0|0|0|0
Los Angeles Regional Office| 142180|801-67247|CRITERION WEALTH MANAGEMENT|CRITERION INSURANCE SERVICES, INC.|26650 N. THE OLD ROAD|SUITE 212|VALENCIA CA 91381|USA|||  ||ROBERT GRAVETTE|661-254-2543|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|10/17/2006|0|0|0|0|0|0
Los Angeles Regional Office| 142510|801-67481|SOHO FINANCIAL SERVICES LLC|SOHO FINANCIAL SERVICES LLC|2432 RAILWAY AVENUE|SUITE I/#428|LOS OLIVOS CA 93441|USA|P.O. BOX 428||LOS OLIVOS CA 93441-0428|USA|FRANK T. TROISE|866-294-7913|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/25/2007|0|0|0|0|0|0
Los Angeles Regional Office| 142527|801-67379|CALLAN CAPITAL, LLC|CALLAN CAPITAL, LLC|1250 PROSPECT STREET|SUITE 1|LA JOLLA CA 92037|USA|||  ||TREVOR M. CALLAN|858-551-3800|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|01/03/2007|0|0|0|0|0|0
Los Angeles Regional Office| 142617|801-67498|TAYLOR FRIGON CAPITAL MANAGEMENT LLC|TAYLOR FRIGON CAPITAL MANAGEMENT LLC|950 JENSEN ROAD||PASO ROBLES CA 93446|USA|||  ||GERARD J. FRIGON|805-226-0280|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/05/2007|0|0|0|0|0|0
Los Angeles Regional Office| 142618|801-68456|THE WEALTH COLLABORATIVE, INC.|THE WEALTH COLLABORATIVE, INC.|21550 OXNARD STREET|SUITE 990|WOODLAND HILLS CA 91367|USA|||  ||JEFFREY BYRON WHEELER|818-444-7981|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|10/24/2007|0|0|0|0|0|0
Los Angeles Regional Office| 142853|801-68267|TERWIN MONEY MANAGEMENT LLC|TERWIN MONEY MANAGEMENT LLC|21700 OXNARD BLVD.|SUITE 950|WOODLAND HILLS CA 91367|USA|||  ||KAREN SCHNURR|818-887-3860|Limited Liability Company|Other|APPROVED|08/16/2007|0|0|0|0|0|0
Los Angeles Regional Office| 142987|801-67519|BANTA ASSET MANAGEMENT LP|BANTA ASSET MANAGEMENT LP|517 30TH STREET||NEWPORT BEACH CA 92663|USA|||  ||STEPHEN BANTA|949-673-9944|Partnership|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/29/2007|0|0|0|0|0|0
Los Angeles Regional Office| 143011|801-67695|WATERLINE CONSULTING, LLC|WATERLINE CONSULTING, LLC|6701 CENTER DRIVE WEST|SUITE 955|LOS ANGELES CA 90045|USA|||  ||SCOTT KOCH|310.256.2573|Limited Liability Company|Other|APPROVED|04/02/2007|0|0|0|0|0|0
Los Angeles Regional Office| 143041|801-68318|THE ELEMENTS FINANCIAL GROUP, LLC|THE ELEMENTS FINANCIAL GROUP, LLC|245 FISCHER AVE|SUITE A-4|COSTA MESA CA 92626|USA|||  ||LAURA LYON|909-624-9200|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|09/27/2007|6|0|0|0|0|0
Los Angeles Regional Office| 143097|801-67581|TRINITY CAPITAL MANAGEMENT, LLC|TRINITY CAPITAL MANAGEMENT, LLC|1334 ANACAPA STREET|SUITE A|SANTA BARBARA CA 93101|USA|||  ||FRED FISHER|(805) 963-0500|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/23/2007|0|0|0|0|0|0
Los Angeles Regional Office| 143258|801-67580|SILVERSTONE WEALTH MANAGEMENT, LLC|SILVERSTONE WEALTH MANAGEMENT, LLC|10091 PARK RUN DRIVE|SUITE 200|LAS VEGAS NV 89145|USA|||  ||TODD D. QUINN|702.997.5335|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Other|APPROVED|02/23/2007|0|0|0|0|0|0
Los Angeles Regional Office| 143295|801-67646|STRATEGIC DEVELOPMENT INVESTMENTS, LLC|STRATEGIC DEVELOPMENT INVESTMENTS, LLC|11150 W. OLYMPIC BLVD.|SUITE 910|LOS ANGELES CA 90064-1817|USA|||  ||KENNETH E. MAYNE|310-477-0617|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|04/03/2007|0|0|0|0|0|0
Los Angeles Regional Office| 143344|801-67634|HUBER CAPITAL MANAGEMENT LLC|HUBER CAPITAL MANAGEMENT LLC|10940 WILSHIRE BLVD., SUITE 925||LOS ANGELES CA 90024-3915|USA|||  ||GARY THOMAS|310-207-8400|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/07/2007|0|0|0|0|0|0
Los Angeles Regional Office| 143420|801-67719|EXETER FINANCIAL, LLC|EXETER FINANCIAL, LLC|7001 N. SCOTTSDALE ROAD|SUITE 2020|SCOTTSDALE AZ 85253|USA|||  ||STEPHEN HARRISON|480-588-0825|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/05/2007|0|0|0|0|0|0
Los Angeles Regional Office| 143442|801-67763|COPPERWYND FINANCIAL|COPPERWYND FINANCIAL, LLC|14201 N. 87TH STREET|SUITE B 121|SCOTTSDALE AZ 85260|USA|||  ||DAVID DAUGHTREY|480-348-2100|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|04/13/2007|0|0|0|0|0|0
Los Angeles Regional Office| 143478|801-67727|CHECCHI CAPITAL ADVISERS, LLC|CHECCHI CAPITAL ADVISERS, LLC|190 N. CANON DRIVE|SUITE 402|BEVERLY HILLS CA 90210|USA|||  ||ADAM DEAN CHECCHI|310-432-0010|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/17/2007|0|0|0|0|0|0
Los Angeles Regional Office| 143514|801-67905|PCG ASSET MANAGEMENT, LLC|PCG ASSET MANAGEMENT, LLC|1200 PROSPECT ST., SUITE 200||LA JOLLA CA 92037|USA|||  ||ROBERT D. CONCA|8584566000|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Other|APPROVED|05/21/2007|0|0|0|0|0|0
Los Angeles Regional Office| 143597|801-68396|GURTIN FIXED INCOME MANAGEMENT, LLC|GURTIN FIXED INCOME MANAGEMENT, LLC|440 STEVENS AVENUE|SUITE 260|SOLANA BEACH CA 92075|USA|||  ||GORDON SMITH|858-436-2210|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/10/2007|0|0|0|0|0|0
Los Angeles Regional Office| 143617|801-67796|BENEFIT FUNDING SERVICES GROUP|BFSG, LLC|2040 MAIN STREET, SUITE #150||IRVINE CA 92614|USA|||  ||TINA SCHACKMAN|949-955-0131|Limited Liability Company|Pension consulting services|APPROVED|04/17/2007|0|0|0|0|0|0
Los Angeles Regional Office| 143631|801-67815|PERSKY FINANCIAL MANAGEMENT, INC.|PERSKY FINANCIAL MANAGEMENT, INC.|12424 WILSHIRE BLVD., SUITE 600||LOS ANGELES CA 90025|USA|||  ||JOY MILAN|310-442-5200|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/08/2007|0|1|0|0|0|0
Los Angeles Regional Office| 143635|801-68079|STEPSTONE GROUP LLC|STEPSTONE GROUP LLC|8910 UNIVERSITY CENTER LANE|SUITE 615|SAN DIEGO CA 92122|USA|||  ||JOSE A. FERNANDEZ|858-558-9700|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|07/27/2007|0|0|0|0|0|0
Los Angeles Regional Office| 143844|801-68460|CHURCHILL PACIFIC ASSET MANAGEMENT LLC|CHURCHILL PACIFIC ASSET MANAGEMENT LLC|601 SOUTH FIGUEROA STREET|SUITE 3600|LOS ANGELES CA 90017|USA|||  ||GERHARD P. LOMBARD|213-489-3810|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/17/2007|0|0|0|0|0|0
Los Angeles Regional Office| 143923|801-67906|MAC WEALTH MANAGEMENT INC.|MAC WEALTH MANAGEMENT INC.|224 14TH STREET||MANHATTAN BEACH CA 90266|USA|||  ||RANDALL J. MCCUEN|310-546-2765|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/18/2007|0|0|0|0|0|0
Los Angeles Regional Office| 143996|801-67916|ONCUBIC, L.L.C.|ONCUBIC, L.L.C.|3655 NOBEL DR|SUITE 340|LA JOLLA CA 92122|USA|||  ||ANTHONY FERREIRA|888-619-5666 X2|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|06/11/2007|0|0|0|0|0|0
Los Angeles Regional Office| 144052|801-69139|ENVISION ASSET MANAGEMENT LLC|ENVISION ASSET MANAGEMENT LLC|1132 BISHOP STREET|SUITE 2099|HONOLULU HI 96813|USA|||  ||WILLIAM TODEBUSH|808-441-4903|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/19/2008|0|0|0|0|0|0
Los Angeles Regional Office| 144069|801-67988|SIGNATURE RESOURCES CAPITAL MANAGEMENT, LLC|SIGNATURE RESOURCES CAPITAL MANAGEMENT, LLC|2601 MAIN STREET|SUITE 700|IRVINE CA 92614|USA|||  ||MORGAN CHRISTEN|949-794-0800|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/08/2007|0|0|0|0|0|0
Los Angeles Regional Office| 144123|801-68183|ARCUS CAPITAL PARTNERS LLC|ARCUS CAPITAL PARTNERS LLC|369 SAN MIGUEL, STE. 300||NEWPORT BEACH CA 92660|USA|||  ||DARREN R. YOUNGMAN|949-706-5044|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/26/2007|0|0|0|0|0|0
Los Angeles Regional Office| 144275|801-69157|CENTURY CITY CAPITAL LLC|CENTURY CITY CAPITAL LLC|10530 CLARKSON ROAD||LOS ANGELES CA 90064|USA|||  ||BENNETT GROSS|310-839-2422|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED-120|05/19/2008|0|0|0|0|0|0
Los Angeles Regional Office| 144276|801-67996|CAPITAL WEALTH MANAGEMENT, INC.|CAPITAL WEALTH MANAGEMENT, INC.|14301 N. 87TH STREET|SUITE 216|SCOTTSDALE AZ 85260|USA|||  ||KEVIN BLOOD|(480) 393-3111|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/06/2007|0|0|0|0|0|0
Los Angeles Regional Office| 144358|801-68108|FUSION ASSET MANAGEMENT, LLC|FUSION ASSET MANAGEMENT, LLC|10425 DOUBLE R. BLVD.||RENO NV 89521|USA|||  ||GREG CHRISTIAN|775-825-4555|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/06/2007|0|0|0|0|0|0
Los Angeles Regional Office| 144370|801-68036|LOF LOPEZ & ASSOCIATES, LLC|LOF LOPEZ & ASSOCIATES, LLC|4757 E. CAMP LOWELL DR.||TUCSON AZ 85712|USA|||  ||CHRIS LOPEZ|520-881-2523|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|06/28/2007|0|1|0|0|0|0
Los Angeles Regional Office| 144378|801-68084|GENDREAU & ASSOCIATES, INC.|GENDREAU & ASSOCIATES, INC.|72 RITZ COVE||MONARCH BEACH CA 92629|USA|||  ||JACQUES GENDREAU|949-500-3460|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|07/06/2007|0|0|0|0|0|0
Los Angeles Regional Office| 144404|801-68207|CORPORATE METRIX, INC.|CORPORATE METRIX, INC.|19200 VAN KARMEN|AVENUE #400|IRVINE CA 92612|USA|PO BOX 17687||IRVINE CA 92623-7687|USA|JAWAD ANSARI|949-302-9999|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|07/30/2007|0|0|0|0|0|0
Los Angeles Regional Office| 144648|801-68231|DIVERSIFIED CAPITAL MANAGEMENT, LLC|DIVERSIFIED CAPITAL MANAGEMENT, LLC|1112 E. GRAND AVE||ARROYO GRANDE CA 93420|USA|||  ||PAUL J. LAUGHTON|805-489-6700|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|08/03/2007|0|0|0|0|0|0
Los Angeles Regional Office| 144652|801-68193|BGR FINANCIAL GROUP, LLC|BGR FINANCIAL GROUP, LLC|3567 EAST SUNRISE DRIVE|SUITE 119|TUCSON AZ 85718|USA|||  ||LYNSEY RICHTER|520-795-6600|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/26/2007|0|0|0|0|0|0
Los Angeles Regional Office| 144711|801-68192|MOGUL WEALTH MANAGEMENT, INC.|MOGUL WEALTH MANAGEMENT, INC.|22937 ARLINGTON AVE.||TORRANCE CA 90501-5463|USA|||  ||PHILLIP ERNEST COOK|310-325-9002|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/01/2007|0|0|0|0|0|0
Los Angeles Regional Office| 144720|801-68218|ALPHA FIDUCIARY|ADPB ENTERPRISES, INC.|12806 N. 119TH STREET||SCOTTSDALE AZ 85259|USA|||  ||ARTHUR T. DOGLIONE|480-505-4035|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|08/02/2007|0|0|0|0|0|0
Los Angeles Regional Office| 144765|801-68262|GOLDEN YEARS RETIREMENT SPECIALISTS, INC.|GOLDEN YEARS RETIREMENT SPECIALISTS, INC.|820 MILILANI STREET, SUITE 401||HONOLULU HI 96813|USA|||  ||MICHELLE H. TUCKER|808-531-5391 / 808-791-1444|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|08/28/2007|0|0|0|0|0|0
Los Angeles Regional Office| 144789|801-68311|PACIFIC WEALTH STRATEGIES GROUP, INC.|PACIFIC WEALTH STRATEGIES GROUP, INC.|2345 EDGEWATER WAY||SANTA BARBARA CA 93109|USA|||  ||ERIN J. NEIL|805-965-5449|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|09/14/2007|0|0|0|0|0|0
Los Angeles Regional Office| 144858|801-68370|PENSION MAXIMA INVESTMENT ADVISORY, INC.|PENSION MAXIMA INVESTMENT ADVISORY, INC.|1108 SOUTH BALDWIN AVENUE|SUITE 210|ARCADIA CA 91007|USA|||  ||BONNIE YAM|626.294.9381|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Other|APPROVED|09/19/2007|0|0|0|0|0|0
Los Angeles Regional Office| 144896|801-68298|ICE CANYON LLC|ICE CANYON LLC|2000 AVENUE OF THE STARS|11TH FLOOR|LOS ANGELES CA 90067|USA|||  ||DOUGLAS A. ANDERSON|310-272-1000|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/31/2007|0|0|0|0|0|0
Los Angeles Regional Office| 144906|801-68369|MAR VISTA INVESTMENT PARTNERS, LLC|MAR VISTA INVESTMENT PARTNERS, LLC|100 WILSHIRE BLVD.|SUITE 1000|SANTA MONICA CA 90401-1121|USA|||  ||JOHN QUEEN|310-260-6077|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|10/04/2007|0|1|0|0|0|0
Los Angeles Regional Office| 144908|801-68314|EUDAIMONIA ASSET MANAGEMENT, LLC|EUDAIMONIA ASSET MANAGEMENT, LLC|580 2ND STREET|SUITE 102|ENCINITAS CA 92024|USA|||  ||DEREK JOHN GAERTNER|858-479-5075|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|09/28/2007|0|2|0|0|0|0
Los Angeles Regional Office| 145045|801-68377|POWERS CAPITAL INVESTMENTS, INC.|POWERS CAPITAL INVESTMENTS, INC.|8141 EAST KAISER BLVD.|SUITE 300|ANAHEIM HILLS CA 92808-2241|USA|||  ||MICHAEL ALLBEE|714-282-1566|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|09/25/2007|0|0|0|0|0|0
Los Angeles Regional Office| 145242|801-68407|PENSION ARCHITECTS ADVISORY GROUP, LLC|PENSION ARCHITECTS ADVISORY GROUP, LLC|257 SOUTH FAIR OAKS|SUITE 200|PASADENA CA 91105|USA|||  ||DAVID R. PENNIALL|626-795-3062|Limited Liability Company|Pension consulting services|APPROVED|10/15/2007|0|0|0|0|0|0
Los Angeles Regional Office| 145247|801-68497|ABRIDGE PARTNERS, LLC|ABRIDGE PARTNERS, LLC|21700 E. COPLEY DRIVE, SUITE 120||DIAMOND BAR CA 91765|USA|||  ||ROBERT BIRGEN|909-860-9992|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|10/25/2007|0|0|0|0|0|0
Los Angeles Regional Office| 145250|801-68455|POPLAR FOREST CAPITAL LLC|POPLAR FOREST CAPITAL LLC|70 S. LAKE AVENUE|SUITE 930|PASADENA CA 91101-4703|USA|||  ||MCANIFF, PETER, JAMES|626-304-6040|Limited Liability Company|Portfolio management for individuals and/or small businesses, Other|APPROVED|10/31/2007|0|0|0|0|0|0
Los Angeles Regional Office| 145341|801-68664|FRONTIER MARKET ASSET MANAGEMENT, LLC|FRONTIER MARKET ASSET MANAGEMENT, LLC|2218 AVENIDA DE LA PLAYA||LA JOLLA CA 92037|USA|||  ||J. NIEL ARMSTRONG|415 677-1557|Limited Liability Company|Portfolio management for individuals and/or small businesses, Other|APPROVED-120|01/11/2008|0|0|0|0|0|0
Los Angeles Regional Office| 145363|801-68490|REGATTA CAPITAL GROUP, LLC|REGATTA CAPITAL GROUP, LLC|2301 ROSECRANS AVE.|SUITE 2160|EL SEGUNDO CA 90245|USA|||  ||RUSSELL MOHBERG|310-725-9102|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|11/13/2007|0|0|0|0|0|0
Los Angeles Regional Office| 145451|801-68550|THE GARRETT GROUP|TGG MANAGEMENT COMPANY INC.|1953 SAN ELIJO AVE.|SUITE 203|CARDIFF BY THE SEA CA 92007|USA|||  ||J. ANDREW RUFF|858-546-0421|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED-120|11/26/2007|0|0|0|0|0|0
Los Angeles Regional Office| 145472|801-68469|DOLLAR CRISIS AND RECOVERY PARTNERS|DOLLAR CRISIS AND RECOVERY PARTNERS, LP|81790 GOLDEN STAR WAY||LA QUINTA CA 92253|USA|||  ||MICHAEL J MCDONALD|760-564-0202|Partnership|Portfolio management for investment companies|APPROVED|11/02/2007|0|0|0|0|0|0
Los Angeles Regional Office| 145520|801-68486|JRJ MANAGEMENT, L.L.C.|JRJ MANAGEMENT, L.L.C.|33717 N. SCOTTSDALE ROAD|STE. 120|SCOTTSDALE AZ 85266|USA|||  ||JAMES JUNDT|4806217382|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|11/06/2007|0|0|0|0|0|0
Los Angeles Regional Office| 145530|801-68580|SFE INVESTMENT COUNSEL INC.|SFE INVESTMENT COUNSEL INC.|1000 WILSHIRE BOULEVARD, STE. 1950||LOS ANGELES CA 90017|USA|||  ||TERI MCCASLAND|(213) 612-0220|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|10/24/2007|0|2|0|0|0|0
Los Angeles Regional Office| 145547|801-68631|PEARL RIVER CAPITAL MANAGEMENT, LLC|PEARL RIVER CAPITAL MANAGEMENT, LLC|1901 AVENUE OF THE STARS|2ND FLOOR|LOS ANGELES CA 90067|USA|||  ||ROBERT HSU|310-470-6482|Limited Liability Company|Other|APPROVED|01/02/2008|0|0|0|0|0|0
Los Angeles Regional Office| 145566|801-68850|LUMINOUS CAPITAL, LLC|LUMINOUS CAPITAL, LLC|2049 CENTURY PARK EAST|SUITE 320|LOS ANGELES CA 90067|USA|||  ||MATTHEW A. SONNEN|(424) 204-0871|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/15/2008|0|1|0|0|0|0
Los Angeles Regional Office| 145634|801-68554|WRIGHT FUND MANAGEMENT, LLC|WRIGHT FUND MANAGEMENT, LLC|3420 OCEAN PARK BLVD.|STE 3060|SANTA MONICA CA 90405|USA|||  ||DAVID C. WRIGHT|310/452-1887|Limited Liability Company|Portfolio management for investment companies|APPROVED|11/30/2007|0|0|0|0|0|0
Los Angeles Regional Office| 145740|801-68680|ALPHA TITANS INC.|ALPHA TITANS INC.|30 EL PASEO BUILDING||SANTA BARBARA CA 93101|USA|||  ||KELLY KAESER|805-963-2661|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/02/2008|0|0|0|0|0|0
Los Angeles Regional Office| 145777|801-68951|MOZAIC, LLC|MOZAIC, LLC|9401 WILSHIRE BOULEVARD, SUITE 760||BEVERLY HILLS CA 90212|USA|||  ||CHRISTOPHER J. ZYDA|415-601-6123|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/18/2008|0|0|0|0|0|0
Los Angeles Regional Office| 145897|801-68634|PREMIER FINANCIAL PLANNING, INC.|PREMIER FINANCIAL PLANNING, INC.|16935 WEST BERNARDO DRIVE|SUITE 103|SAN DIEGO CA 92127|USA|||  ||PATRICIA PATTERSON|(858) 613-1300|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|01/02/2008|0|0|0|0|0|0
Los Angeles Regional Office| 145898|801-68669|KENSINGTON AMI, LLC|KENSINGTON AMI, LLC|12725 VENTURA BLVD.|SUITE D|STUDIO CITY CA 91604|USA|||  ||BENJAMIN LUPU|818-505-9551|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|01/15/2008|0|0|0|0|0|0
Los Angeles Regional Office| 145901|801-69203|TRW INVESTMENTS, LLC|TRW INVESTMENTS, LLC|707 WILSHIRE BOULEVARD|STE 5350|LOS ANGELES CA 90017-3606|USA|||  ||TODD RANDALL WALSH|800-343-0449|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/27/2008|0|1|0|0|0|0
Los Angeles Regional Office| 145931|801-68752|R. E. WACKER ASSOCIATES, INC.|R. E. WACKER ASSOCIATES, INC.|973 HIGUERA STREET, SUITE A||SAN LUIS OBISPO CA 93401|USA|||  ||BRYAN KRILL|805-541-1308 EXT. 13|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|01/04/2008|0|0|0|0|0|0
Los Angeles Regional Office| 146042|801-68795|BLOCK WEALTH MANAGEMENT, INC|BLOCK WEALTH MANAGEMENT, INC|433 WEST GRAND AVENUE||ESCONDIDO CA 92025|USA|||  ||KIRK BLOCK|760-796-5550 X14|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|01/28/2008|0|0|0|0|0|0
Los Angeles Regional Office| 146052|801-68696|UNIVERSA INVESTMENTS L.P.|UNIVERSA INVESTMENTS L.P.|1414 SECOND STREET||SANTA MONICA CA 90401|USA|||  ||MARK W. SPITZNAGEL|(310) 566-5560|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/17/2008|0|0|0|0|0|0
Los Angeles Regional Office| 146056|801-68709|SCOT MCCORMICK LLC|SCOT MCCORMICK LLC|730 SAND HILL ROAD|SUITE 310|RENO NV 89521|USA|1635 VILLAGE CENTER CIRCLE|SUITE 140|LAS VEGAS NV 89134|USA|SCOT LYLE MCCORMICK|702-898-1102|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/17/2008|0|0|0|0|0|0
Los Angeles Regional Office| 146121|801-68771|COUNTRYWIDE ALTERNATIVE ASSET MANAGEMENT INC.|COUNTRYWIDE ALTERNATIVE ASSET MANAGEMENT INC.|4500 PARK GRANADA||CALABASAS CA 91302|USA|||  ||RORY D'AMORE|818-225-4546|Corporation|Security ratings or pricing services, Other|APPROVED|01/29/2008|0|3|0|0|0|0
Los Angeles Regional Office| 146216|801-68765|CARPENTER FUND MANAGER GP, LLC|CARPENTER FUND MANAGER GP, LLC|5 PARK PLAZA|SUITE 950|IRVINE CA 92614|USA|||  ||ROBERT SJOGREN|949-579-1448|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/15/2008|0|0|0|0|0|0
Los Angeles Regional Office| 146255|801-68830|ARISTON SERVICES GROUP, LLC|ARISTON SERVICES GROUP, LLC|550 WEST C STREET|SUITE 1860|SAN DIEGO CA 92101|USA|||  ||PETER SHENAS|619-241-2326|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/05/2008|0|0|0|0|0|0
Los Angeles Regional Office| 146343|801-68838|A&S CAPITAL MANAGEMENT, LLC|A&S CAPITAL MANAGEMENT, LLC|136A 27TH STREET||CHULA VISTA CA 91911|USA|||  ||TIMOTHY P. ALTREE|619-4233140|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED-120|02/05/2008|0|0|0|0|0|0
Los Angeles Regional Office| 146587|801-68903|CARLSBAD WEALTH ADVISORY GROUP, INC.|CARLSBAD WEALTH ADVISORY GROUP, INC.|5927 BALFOUR CT, SUITE 207||CARLSBAD CA 92008|USA|||  ||ANDREW PHILLIP SONTAG|760-607-0812|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/04/2008|0|0|0|0|0|0
Los Angeles Regional Office| 146778|801-69089|TAX EFFICIENT ASSET MANAGEMENT SOLUTION, INC.|TAX EFFICIENT ASSET MANAGEMENT SOLUTION, INC.|8105 IRVINE CENTER DRIVE|SUITE 780|IRVINE CA 92618|USA|||  ||TIMOTHY VOORHEES|949-468-2100|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED-120|04/23/2008|0|0|0|0|0|0
Los Angeles Regional Office| 146786|801-68966|TRIAD INVESTMENT MANAGEMENT, LLC|TRIAD INVESTMENT MANAGEMENT, LLC|260 NEWPORT CENTER DRIVE|SUITE 100|NEWPORT BEACH CA 92660|USA|||  ||JOHN EDWARD HELDMAN|949-999-3337|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|03/27/2008|0|0|0|0|0|0
Los Angeles Regional Office| 146797|801-69088|COOLWATER CAPITAL MANAGEMENT, LLC|COOLWATER CAPITAL MANAGEMENT, LLC|2525 E. CAMELBACK ROAD|SUITE 136|PHOENIX AZ 85016|USA|||  ||WILLIAM D. HINZ II|602-553-7440|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|04/10/2008|0|0|0|0|0|0
Los Angeles Regional Office| 146814|801-69034|SOLITUDE CANYON INVESTMENT ADVISORS, LLC|SOLITUDE CANYON INVESTMENT ADVISORS, LLC|9835 N SOLITUDE CANYON||FOUNTAIN HILLS AZ 85268|USA|||  ||RANDOLPH REINWASSER|480-248-7386|Limited Liability Company|Other|APPROVED|04/14/2008|0|0|0|0|0|0
Los Angeles Regional Office| 146872|801-69345|ANCHOR CAPITAL MANAGEMENT GROUP, LLC|ANCHOR CAPITAL MANAGEMENT GROUP, LLC|16140 SAND CANYON AVENUE|SUITE 101|IRVINE CA 92618|USA|||  ||DENNIS BARKER|949-341-0000 X 4100|Limited Liability Company|Portfolio management for investment companies|APPROVED|06/26/2008|0|0|0|0|0|0
Los Angeles Regional Office| 146929|801-69299|CRESPI CAPITAL ADVISORS, LLC|CRESPI CAPITAL ADVISORS, LLC|31432 JULIANA FARMS RD||SAN JUAN CAPISTRANO CA 92675|USA|||  ||TODD MILLER|949-485-2446|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED-120|07/01/2008|0|0|0|0|0|0
Los Angeles Regional Office| 146959|801-69102|MALAGA COVE CAPITAL, LLC|MALAGA COVE CAPITAL, LLC|425 VIA CORTA|SUITE 203|PALOS VERDES ESTATES CA 90274|USA|||  ||ALFRED WALSH|(310) 421-2141|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|05/05/2008|0|0|0|0|0|0
Los Angeles Regional Office| 147023|801-69119|KINGSBRIDGE PRIVATE WEALTH MANAGEMENT, INC.|KINGSBRIDGE PRIVATE WEALTH MANAGEMENT, INC.|9505 HILLWOOD DRIVE|SUITE #100|LAS VEGAS NV 89134|USA|||  ||DAVID DUNN|702-947-5160|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED-120|05/05/2008|0|0|0|0|0|0
Los Angeles Regional Office| 147101|801-69113|PNMAC CAPITAL MANAGEMENT, LLC|PNMAC CAPITAL MANAGEMENT, LLC|27001 AGOURA ROAD, SUITE 350||CALABASAS CA 91301|USA|||  ||JEFF GROGIN|818 224-7050|Limited Liability Company|Other|APPROVED-120|05/06/2008|0|0|0|0|0|0
Los Angeles Regional Office| 147165|801-69421|CAPITAL INSIGHT PARTNERS, LLC|CAPITAL INSIGHT PARTNERS, LLC|9922 E. DALE LANE||SCOTTSDALE AZ 85262|USA|||  ||KRISTEN L. NELSON|480-236-1841|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED-120|07/14/2008|0|0|0|0|0|0
Los Angeles Regional Office| 147268|801-69210|U.S. ONE, INC.|U.S. ONE, INC.|9190 DOUBLE DIAMOND PKWY||RENO NV 89521|USA|P.O. BOX 17073||RENO NV 89511||PAUL HRABAL|775-329-5500|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|05/27/2008|0|0|0|0|0|0
Los Angeles Regional Office| 147271|801-69194|PAYDEN/KDS INVESTMENT ADVISERS LLC|PAYDEN/KDS INVESTMENT ADVISERS LLC|333 SOUTH GRAND AVENUE|32ND FLOOR|LOS ANGELES CA 90071|USA|||  ||EDWARD S. GARLOCK|213-830-4255|Limited Liability Company|Portfolio management for investment companies|APPROVED-120|05/27/2008|0|0|0|0|0|0
Los Angeles Regional Office| 147297|801-69332|GRADNEY & VISTICA FINANCIAL MANAGEMENT, LLC|GRADNEY & VISTICA FINANCIAL MANAGEMENT, LLC|2710 LOKER AVENUE WEST|SUITE 370|CARLSBAD CA 92010|USA|||  ||TODD SCHWARTZ|(503) 635-5244|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED-120|07/09/2008|0|0|0|0|0|0
Los Angeles Regional Office| 147363|801-69271|MERCER ADVISORS|MERCER GLOBAL ADVISORS INC.|7201 EAST PRINCESS BLVD.||SCOTTSDALE AZ 85255|USA|||  ||SCOTT KVANCZ|(800) 258-1559|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Other|APPROVED|05/30/2008|1|0|0|0|0|0
Los Angeles Regional Office| 147588|801-69349|GROSS DOMESTIC PRODUCT, INC|GROSS DOMESTIC PRODUCT, INC|1404 WENDY WAY||MANHATTAN BEACH CA 90266|USA|||  ||SCOTT BELL|310-341-2890|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED-120|07/25/2008|0|0|0|0|0|0
Los Angeles Regional Office| 147852|801-69462|LEGACY ESTATE AND INSURANCE PLANNING|DENNIS MICHAEL CHANT|2230 TERRAZA PLACE||FULLERTON CA 92835|USA|||  ||DENNIS CHANT|714-525-9833|Sole Proprietorship|Financial planning services, Selection of other advisers|APPROVED-120|07/25/2008|0|0|0|0|0|0
Miami Regional Office|     25|801-57874|ALLEN & COMPANY OF FLORIDA, INC.|ALLEN & COMPANY OF FLORIDA, INC.|1401 SOUTH FLORIDA AVE||LAKELAND FL 33803|USA|||  ||RALPH C. ALLEN|863-688-9000|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/21/2000|0|5|0|0|0|0
Miami Regional Office|    705|801-10418|RAYMOND JAMES & ASSOCIATES, INC.|RAYMOND JAMES & ASSOCIATES, INC.|880 CARILLON PARKWAY||ST PETERSBURG FL 33716|USA|||  ||ROB ECKARDT|727-567-1316|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Market timing services|APPROVED|12/19/1974|9|42|1|0|0|0
Miami Regional Office|   4806|801-40228|MUTUAL SERVICE CORPORATION|MUTUAL SERVICE CORPORATION|250 AUSTRALIAN AVENUE S, SUITE 1800||WEST PALM BEACH FL 33401|USA|||  ||TIMOTHY J. LYLE|561-835-4100 EXT 3203|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|12/11/1991|0|34|3|0|0|0
Miami Regional Office|   6694|801-34205|RAYMOND JAMES FINANCIAL SERVICES|RAYMOND JAMES FINANCIAL SERVICES, INC.|880 CARILLON PKWY||ST. PETERSBURG FL 33716|USA|PO BOX 12749||ST. PETERSBURG FL 33733-2749|USA|JASON S. THACKERAY|727-567-3072|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|04/10/1989|0|17|1|0|0|0
Miami Regional Office|   8096|801-57928|POPULAR SECURITIES, INC.|POPULAR SECURITIES, INC.|POPULAR CENTER, 209 PONCE DE LEON|SUITE 1200|HATO REY PR 00918|USA|||  ||MARIA T HERRERA|787-296-0630|Corporation|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|09/29/2000|0|0|0|0|0|0
Miami Regional Office|  12963|801-39736|MONEY CONCEPTS CAPITAL CORP|MONEY CONCEPTS CAPITAL CORP|11440 NORTH JOG ROAD||PALM BEACH GARDENS FL 33418-3764|USA|||  ||TERRI WALSH|561-472-2000|Corporation|Financial planning services|APPROVED|10/07/1991|0|8|12|0|0|0
Miami Regional Office|  12984|801-56411|INVEST FINANCIAL CORPORATION|IFC HOLDINGS, INC.|8745 HENDERSON ROAD|SUITE 300|TAMPA FL 33634|USA|||  ||RUTH BURGESS|(813) 880-5300|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters, Other|APPROVED|04/26/1999|0|27|3|0|0|0
Miami Regional Office|  13366|801-67061|BROOKSTONE INVESTMENT ADVISORY SERVICES|BROOKSTONE SECURITIES, INC.|520 SOUTH FLORIDA AVENUE||LAKELAND FL 33801|USA|||  ||DAVID W. LOCY|863-687-3679|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|08/03/2006|0|1|0|0|0|0
Miami Regional Office|  16164|801-38618|INTERSECURITIES, INC.|INTERSECURITIES, INC.|570 CARILLON PARKWAY||ST PETERSBURG FL 33716-1202|USA|PO BOX 9053||CLEARWATER FL 33758-9053|USA|MICHAEL EMMETT SCHERRMAN|(727) 299-1706|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|05/16/1991|0|10|0|0|0|0
Miami Regional Office|  16776|801-61237|PREMIERETRADE SECURITIES, INC.|PREMIERETRADE SECURITIES, INC.|220 E. CENTRAL PARKWAY|SUITE 1020|ALTAMONTE SPRINGS FL 32701|UNITED STATES|||  ||LISA B. KEPICS|(407) 215-7734 X 151|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|06/19/2002|0|0|0|0|0|0
Miami Regional Office|  17486|801-63426|G. A. REPPLE & COMPANY|G. A. REPPLE & COMPANY|101 NORMANDY ROAD||CASSELBERRY FL 32707|USA|||  ||SANDRA J ALBANO|407-339-9090|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|09/16/2004|0|2|0|0|0|0
Miami Regional Office|  17609|801-60636|GUNNALLEN FINANCIAL, INC|GUNNALLEN FINANCIAL, INC|5002 WEST WATERS AVE||TAMPA FL 33634-1313|USA|||  ||ANDREW BUTTE|813-282-0808|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|11/02/2001|0|22|0|0|0|0
Miami Regional Office|  17705|801-67030|SOCHET & COMPANY, INC.|SOCHET & COMPANY, INC.|1602 MICANOPY AVENUE||MIAMI FL 33133|USA|||  ||IRA SOCHET|305-858-2291|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/17/2006|0|0|0|0|0|0
Miami Regional Office|  19836|801-54838|INVESTMENTS BY PLANNERS, INC.|INVESTMENTS BY PLANNERS, INC.|2500 N. MILITARY TRAIL|SUITE 285|BOCA RATON FL 33431|USA|||  ||CLIFFORD N. SAGINOR|561-998-0909|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/05/1997|0|0|0|0|0|0
Miami Regional Office|  24125|801-33382|BAXTER FINANCIAL CORPORATION|BAXTER FINANCIAL CORPORATION|1200 NORTH FEDERAL HIGHWAY|#424|BOCA RATON FL 33432-2847|USA|||  ||ROHE, RONALD FRANCIS|954-561-395-2155|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies|APPROVED|11/18/1988|0|0|0|0|0|0
Miami Regional Office|  29722|801-60427|NEWPORT GROUP SECURITIES, INC.|NEWPORT GROUP SECURITIES, INC.|300 INTERNATIONAL PARKWAY|SUITE 270|HEATHROW FL 32746|USA|||  ||KEN GOODALL|407-333-2095|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|07/20/2001|0|0|0|0|0|0
Miami Regional Office|  30624|801-58144|DBA SESLIA SECURITIES|SESLIA VIRGIN ISLANDS SECURITIES, INC.|2107 CRYSTAL GADE #7A||ST. THOMAS VI 00802|USA|||  ||THOMAS E. CONK|973-744-3307|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/17/2000|0|0|0|0|0|0
Miami Regional Office|  35971|801-13542|DALE K. EHRHART, INC.|DALE K. EHRHART, INC.|101 W VENICE AVE|STE 10|VENICE FL 34285|USA|||  ||MICKI GETTE, ED.D|941-485-8220|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/17/1978|0|0|3|0|0|0
Miami Regional Office|  39164|801-68364|1ST DISCOUNT BROKERAGE, INC.|1ST DISCOUNT BROKERAGE, INC.|515 N. FLAGLER DRIVE|SUITE 703|WEST PALM BEACH FL 33401|USA|||  ||YULIA KALK|561-515-3200|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|09/27/2007|0|4|0|0|0|0
Miami Regional Office|  41506|801-63071|STERLING FINANCIAL INVESTMENT GROUP, INC.|STERLING FINANCIAL INVESTMENT GROUP, INC.|1200 N. FEDERAL HIGHWAY|SUITE 400|BOCA RATON FL 33432|USA|||  ||ROBERT MATEICKA|561.886.2313|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED-120|05/11/2004|0|3|0|0|0|0
Miami Regional Office|  41716|801-50126|FIRST SECURITY CAPITAL MANAGEMENT, INC.|FIRST SECURITY CAPITAL MANAGEMENT, INC.|125 MIAMI AVENUE WEST|SUITE B|VENICE FL 34285-2411|USA|||  ||DENNIS MAKAREWICZ|941-483-3732|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|09/15/1995|0|1|0|0|0|0
Miami Regional Office|  41791|801-56796|SANTANDER SECURITIES|SANTANDER SECURITIES CORPORATION|SANTANDER TOWER B7 TABONUCO STREET|SUITE 1800|GUAYNABO PR 00968-3028|USA|||  ||ANA SUAREZ|787-759-5378|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|09/02/1999|0|0|0|0|0|0
Miami Regional Office|  41835|801-45766|TIMOTHY PARTNERS, LTD.|TIMOTHY PARTNERS, LTD.|1055 MAITLAND CENTER COMMONS||MAITLAND FL 32751|USA|||  ||COVERT, TERRY|407-644-1986|Partnership|Portfolio management for investment companies|APPROVED|02/07/1994|0|0|0|0|0|0
Miami Regional Office|  43730|801-61348|AMERICAN SECURITIES GROUP, INC.|AMERICAN SECURITIES GROUP, INC.|400 SOUTH DIXIE HIGHWAY|SUITE 220|BOCA RATON FL 33432|USA|||  ||PAUL PERKINS|561-362-4343|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|07/30/2002|0|2|0|0|0|0
Miami Regional Office| 104672|801-29456|PRIVATE CAPITAL MANAGEMENT, LP|PRIVATE CAPITAL MANAGEMENT, LP|8889 PELICAN BAY BOULEVARD, SUITE 500||NAPLES FL 34108-7512|USA|||  ||VICTOR FERNANDEZ|(239) 254-2547|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|05/14/1987|0|1|0|0|0|0
Miami Regional Office| 104711|801-33972|TOBIAS FINANCIAL ADVISORS, INC.|TOBIAS FINANCIAL ADVISORS, INC.|1000 S. PINE ISLAND ROAD|SUITE 250|PLANTATION FL 33324|USA|||  ||TOBIAS, BENJAMIN ALAN|954-424-1660|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/27/1989|0|0|0|0|0|0
Miami Regional Office| 104761|801-13887|LEGEND ADVISORY CORP|LEGEND ADVISORY CORP|4600 EAST PARK DRIVE, SUITE 300||PALM BEACH GARDENS FL 33410|USA|3920 RCA BLVD., SUITE 2004||PALM BEACH GARDENS FL 33410|US|HALVOSA, JAMES J|561-694-0110|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/27/1978|0|4|0|0|0|0
Miami Regional Office| 104872|801-33360|CHARTER INVESTMENT ADVISORS INC|CHARTER INVESTMENT ADVISORS INC|5956 TURKEY LAKE RD.|SUITE 1|ORLANDO FL 32819-4202|USA|||  ||RODGERS, PAULA A|407-226-1112|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|12/23/1988|0|0|0|0|0|0
Miami Regional Office| 104914|801-35294|CPS INVESTMENT ADVISORS|CHAS. P. SMITH & ASSOCIATES, PA, CPA'S|1509 SOUTH FLORIDA AVENUE||LAKELAND FL 33803|USA|||  ||PETER C. GOLOTKO|863-688-1725|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|10/06/1989|0|0|0|0|0|0
Miami Regional Office| 104959|801-26603|ECKHOUSE KULMAN & ASSOCIATES INC|ECKHOUSE KULMAN & ASSOCIATES INC|2298 NW BOCA RATON BLVD.|SUITE 18|BOCA RATON FL 33431|USA|||  ||KULMAN, PEYTON SALSBURY|561-395-0771|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/24/1986|0|0|0|0|0|0
Miami Regional Office| 105104|801-17302|EARL M FOSTER ASSOCIATES|FOSTER EARL M ASSOCIATES INC|7241 SW 168TH ST.|SUITE C|MIAMI FL 33157|USA|||  ||PENICHET, MARTHA E.|305-232-4000|Corporation|Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|06/25/1982|0|0|0|0|0|0
Miami Regional Office| 105145|801-57660|NETWORTH ASSET MANAGEMENT, INC|NETWORTH ASSET MANAGEMENT, INC|606 BALD EAGLE DRIVE|SUITE 302|MARCO ISLAND FL 34145|USA|||  ||SPAETH, JONI RAE|763-786-2019|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|06/07/2000|0|1|0|0|0|0
Miami Regional Office| 105261|801-33920|AFT, FORSYTH & BENT LLC|AFT, FORSYTH & BENT LLC|400 ROYAL PALM WAY, SUITE 410||PALM BEACH FL 33480|USA|||  ||DAVID FORSYTH|561 296-6680|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|03/24/1989|0|0|0|0|0|0
Miami Regional Office| 105262|801-24433|TAPLIN CANIDA & HABACHT INC|TAPLIN CANIDA & HABACHT INC|1001 BRICKELL BAY DRIVE|SUITE 2100|MIAMI FL 33131-4940|USA|||  ||CANIDA, TERE ALVAREZ|305-379-2100|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/13/1985|0|0|0|0|0|0
Miami Regional Office| 105284|801-33677|BALLIETT FINANCIAL SERVICES, INC.|BALLIETT FINANCIAL SERVICES, INC.|631 SOUTH ORLANDO AVE|SUITE 400|WINTER PARK FL 32789-7121|USA|||  ||RICHARD ALMEIDA|407-740-5111|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/10/2003|0|0|0|0|0|0
Miami Regional Office| 105323|801-32554|WASMER SCHROEDER & CO INC|WASMER SCHROEDER & CO INC|600 FIFTH AVENUE SOUTH|SUITE 210|NAPLES FL 34102|USA|||  ||HAINES, JOSEPHINE M.|239-263-6877|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/29/1988|0|0|0|0|0|0
Miami Regional Office| 105326|801-27723|LBS CAPITAL MANAGEMENT INC|LBS CAPITAL MANAGEMENT INC|311 PARK PLACE BLVD SUITE 190||CLEARWATER FL 33759|USA|||  ||JAMES ALEXANDER ACKLES|727-726-5656|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|09/08/1986|0|2|0|0|0|0
Miami Regional Office| 105375|801-32172|PROVISE MANAGEMENT GROUP, LLC|PROVISE MANAGEMENT GROUP, LLC|611 DRUID RD E. STE 105||CLEARWATER FL 33756|USA|||  ||V. RAYMOND FERRARA, CFP|727-441-9022|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|06/02/1988|0|2|0|0|0|0
Miami Regional Office| 105397|801-14090|PROFESSIONAL ADVISORY SERVICES INC|PROFESSIONAL ADVISORY SERVICES INC|2770 INDIAN RIVER BLVD|SUITE 204|VERO BEACH FL 32960|USA|||  ||CAROL LIGON BIEBER|772-778-0552|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|10/11/1978|0|0|0|0|0|0
Miami Regional Office| 105564|801-20962|ST JOHNS WEALTH MANAGEMENT|ST JOHNS INVESTMENT MANAGEMENT CO|10060 SKINNER LAKE DR.|SUITE 501|JACKSONVILLE FL 32246|USA|||  ||BILL WEAVER|904-399-0662|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/28/1984|0|2|1|0|0|0
Miami Regional Office| 105587|801-66411|ZPR INVESTMENT MANAGEMENT INC|ZPR INVESTMENT MANAGEMENT INC|1642 N VOLUSIA AVE|SUITE 102|ORANGE CITY FL 32763-3841|USA|||  ||BAUCHLE, THEODORE ARTHUR|386-775-1177|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/12/2006|0|0|0|0|0|0
Miami Regional Office| 105683|801-6135|OMNIVEST RESEARCH CORPORATION|OMNIVEST RESEARCH CORPORATION|201 CENTER ROAD STE TWO||VENICE FL 34285|USA|||  ||CALDWELL, JR ROLAND GEORGE|941-493-3600|Corporation|Portfolio management for investment companies|APPROVED|12/11/1969|0|0|0|0|0|0
Miami Regional Office| 105714|801-29339|SUMMIT WEALTH MANAGEMENT, INC|SUMMIT WEALTH MANAGEMENT|2731 S. MAGUIRE RD||OCOEE FL 34761|USA|||  ||ANGELO ALLECA|716-812-9807|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/04/1987|0|0|0|0|0|0
Miami Regional Office| 105720|801-32146|RESOURCE CONSULTING GROUP|RESOURCE CONSULTING GROUP INC|301 E. PINE STREET, SUITE 300||ORLANDO FL 32801|USA|P. O. BOX 4930||ORLANDO FL 32802-4930|USA|MASUR, MICHAEL T.|407-422-0252|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/02/1988|0|0|0|0|0|0
Miami Regional Office| 105801|801-23187|AUGUSTINE ASSET MANAGEMENT INC|AUGUSTINE ASSET MANAGEMENT INC|1551 ATLANTIC BLVD|SUITE 103|JACKSONVILLE FL 32207-3369|USA|||  ||TUCKER, LORRAINE H|904-396-6944|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/05/1985|0|0|0|0|0|0
Miami Regional Office| 105823|801-34908|KATHLEEN DAY & ASSOCIATES, INC.|KATHLEEN DAY & ASSOCIATES, INC.|7355 SW 87TH AVE|STE 300|MIAMI FL 33173|USA|||  ||HARLOW, CAROL|(305)274-1600|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|07/20/1989|0|0|0|0|0|0
Miami Regional Office| 105860|801-19096|HAMNER WILLIAM MURRAY|HAMNER WILLIAM MURRAY|1860 FOREST HILL BLVD|SUITE 103|WEST PALM BEACH FL 33406|USA|||  ||DOYLE, KAY R|561 - 439-3588|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/24/1983|0|0|0|0|0|0
Miami Regional Office| 105862|801-47774|GLOBAL INVESTMENT ADVISER LC|GLOBAL INVESTMENT ADVISER LC|700 VILLAGE SQUARE CROSSING|SUITE 103|PALM BEACH GARDENS FL 33410|USA|||  ||SCHOLLA, PETER|561 630-8601|Limited Liability Company|Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|11/10/1994|0|0|0|0|0|0
Miami Regional Office| 105899|801-36461|TIMUCUAN ASSET MANAGEMENT INC|TIMUCUAN ASSET MANAGEMENT INC|200 WEST FORSYTH STREET|SUITE 1600|JACKSONVILLE FL 32202|USA|PO BOX 52898||JACKSONVILLE FL 32201|USA|MANN, WILLIAM RANDALL|904-356-1739|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/01/1990|0|0|0|0|0|0
Miami Regional Office| 105923|801-38841|CHARLES D. HYMAN & COMPANY|CHARLES D. HYMAN & COMPANY|224 PONTE VEDRA PARK BLVD.|SUITE 200|PONTE VEDRA BEACH FL 32082|USA|||  ||HYMAN, CHARLES D|904-543-0360|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|05/10/1991|0|0|0|0|0|0
Miami Regional Office| 105955|801-15844|MOWELL FINANCIAL GROUP, NA|MOWELL FINANCIAL GROUP NA CORP|407 EAST 6TH AVENUE||TALLAHASSEE FL 32303|USA|||  ||SCOTT, CAROLINE M|850-386-6161|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/16/1981|0|2|0|0|0|0
Miami Regional Office| 105961|801-24343|BARROW INVESTMENT MANAGEMENT INC|BARROW INVESTMENT MANAGEMENT INC|3800 BAY TO BAY BLVD|STE 21|TAMPA FL 33629|USA|||  ||MICHEL, KIM|813-831-4191|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/29/1985|0|0|0|0|0|0
Miami Regional Office| 105966|801-46613|DELTA ADVISORY SERVICES INC|DELTA ADVISORY SERVICES INC|130 CROWN OAK CENTRE DR||LONGWOOD FL 32750-6166|USA|||  ||KEPICS, LISA BETH|407-331-9213|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Market timing services|APPROVED|05/26/1994|0|0|0|0|0|0
Miami Regional Office| 105983|801-42708|INTEGRITY MANAGEMENT & RESEARCH INC|INTEGRITY MANAGEMENT & RESEARCH INC|221 PENSACOLA ROAD||VENICE FL 34285|USA|||  ||CURCIO, RICHARD FRANK|941-484-4000|Corporation|Portfolio management for investment companies|APPROVED|11/16/1992|0|0|0|0|0|0
Miami Regional Office| 106038|801-23136|21TH CENTURY ADVISORS INC|21ST CENTURY ADVISORS INC|401 WEST LINTON BLVD.SUITE 202||DELRAY BEACH FL 33444|USA|||  ||BROWN, KENNETH W|561-393-6900|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Market timing services|APPROVED|01/08/1985|0|1|1|0|0|0
Miami Regional Office| 106039|801-46059|HANSBERGER GLOBAL INVESTORS, INC.|HANSBERGER GLOBAL INVESTORS, INC.|401 EAST LAS OLAS BOULEVARD|SUITE 1700|FORT LAUDERDALE FL 33301-2230|USA|||  ||BYRON FRANCIS BOWMAN|(954) 713-2533|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/15/1994|0|5|0|0|0|0
Miami Regional Office| 106093|801-15180|POLEN CAPITAL MANAGEMENT, LLC|POLEN CAPITAL MANAGEMENT, LLC|2700 N. MILITARY TRAIL|SUITE 230|BOCA RATON FL 33431|USA|||  ||STANLEY C. MOSS|561-241-2425|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/07/1980|0|0|0|0|0|0
Miami Regional Office| 106130|801-31473|CAMPBELL CAPITAL MANAGEMENT INC|CAMPBELL CAPITAL MANAGEMENT INC|9400 S DADELAND BLVD|STE 111|MIAMI FL 33156-2811|USA|||  ||CAMPBELL, CLAY GILE|305-670-3140|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|04/01/1988|0|0|0|0|0|0
Miami Regional Office| 106132|801-36865|WEST BAY CAPITAL LLC|WEST BAY CAPITAL LLC|220 LAUREL LANE||PONTE VEDRA BEACH FL 32082|USA|||  ||GIRASOLE, ROBERT V|904-273-5742|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|06/29/1990|0|0|0|0|0|0
Miami Regional Office| 106180|801-44986|H.B. GOFMAN ASSOCIATES INC|H.B. GOFMAN ASSOCIATES INC|2055 WOOD STREET, SUITE 200||SARASOTA FL 34237|USA|||  ||GOFMAN, HERBERT BURTON|941-955-8100|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|10/20/1993|0|0|0|0|0|0
Miami Regional Office| 106224|801-52027|HARVEY CAPITAL MANAGEMENT INC|HARVEY CAPITAL MANAGEMENT INC|400 ROYAL PALM WAY|SUITE 400|PALM BEACH FL 33480|USA|||  ||HARVEY, ROBERT|561-804-9181|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/28/1996|0|0|0|0|0|0
Miami Regional Office| 106232|801-19735|DELTA ASSOCIATES INC|DELTA ASSOCIATES INC DBA D.R.G. INVESTMENT MANAGEMENT|3440 GULF OF MEXICO DRIVE|#15|LONGBOAT KEY FL 34228|USA|||  ||GEIS, DAVID R|941 383 0373|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|09/19/1983|0|0|0|0|0|0
Miami Regional Office| 106245|801-51822|FERRELL WEALTH MANAGEMENT INC.|FERRELL WEALTH MANAGEMENT INC.|1400 W FAIRBANKS AVE|SUITE 202|WINTER PARK FL 32789|USA|||  ||LEE, STEPHEN|407-629-7008|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|05/17/1996|0|0|0|0|0|0
Miami Regional Office| 106262|801-10647|DOUGLAS CAPITAL MANAGEMENT INC|DOUGLAS CAPITAL MANAGEMENT INC|814 HIGHWAY A1A NORTH|SUITE 201|PONTE VEDRA BEACH FL 32082-3212|USA|||  ||DOUGLAS, JAMES A|904-285-7866|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/21/1975|0|0|0|0|0|0
Miami Regional Office| 106299|801-39323|INGHAM GROUP|INGHAM RUSSELL INVESTMENT ADVISORS INC|9155 S. DADELAND BLVD., SUITE 1512||MIAMI FL 33156|USA|||  ||NEWMAN, ANDREW|305-671-2200|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|06/27/1991|0|0|0|0|0|0
Miami Regional Office| 106347|801-46248|WOOD ASSET MANAGEMENT INC|WOOD ASSET MANAGEMENT INC|TWO NORTH TAMIAMI TRAIL|STE 1200|SARASOTA FL 34236|USA|||  ||JUDY A BENNETT|941-361-2195|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/13/1994|0|0|0|0|0|0
Miami Regional Office| 106363|801-41282|MONEY STRATEGIES INC|MONEY STRATEGIES INC|1341 BEDFORD DRIVE|SUITE B|MELBOURNE FL 32940|USA|||  ||FARRISH, JAMES ALEXANDER|321-723-0101|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/07/1992|0|0|0|0|0|0
Miami Regional Office| 106366|801-40397|FIRESTONE CAPITAL MANAGEMENT INC|FIRESTONE CAPITAL MANAGEMENT INC|1500 SAN REMO AVENUE|SUITE 176|CORAL GABLES FL 33146-3047|USA|||  ||JACK M. FIRESTONE|(305) 669-2119|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|12/16/1991|0|0|0|0|0|0
Miami Regional Office| 106436|801-53229|HAMMERMAN & STRICKLAND, LLC|HAMMERMAN & STRICKLAND, LLC|18544 N DALE MABRY HWY||LUTZ FL 33548-7900|USA|||  ||STRICKLAND, JAMES MICHAEL|813-265-4433|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|11/08/1996|0|0|0|0|0|0
Miami Regional Office| 106445|801-38344|SINGER XENOS WEALTH MANAGEMENT|SINGER & XENOS INC|800 DOUGLAS RD|SUITE 900|CORAL GABLES FL 33134|USA|||  ||SINGER, MARC H|305-443-0060|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/28/1991|0|0|0|0|0|0
Miami Regional Office| 106495|801-51517|CAPITAL MANAGEMENT ASSOCIATES, LLC|CAPITAL MANAGEMENT ASSOCIATES, LLC|6220 S. ORANGE BLOSSOM TRAIL|SUITE 145|ORLANDO FL 32809|USA|||  ||LANG, BETH ANNE|407-854-0040|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/15/1996|0|0|0|0|0|0
Miami Regional Office| 106532|801-47251|INVESTOR SOLUTIONS|MANAGED ACCOUNT SERVICES INC|3250 MARY STREET|SUITE 207|COCONUT GROVE FL 33133|USA|||  ||DAVID SEIGLIE|305-443-3339|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|08/19/1994|0|0|0|0|0|0
Miami Regional Office| 106553|801-28870|LASHBROOK FINANCIAL ADVISORS PA|LASHBROOK FINANCIAL ADVISORS, PA|4481 STIRLING ROAD||FT LAUDERDALE FL 33314|USA|||  ||LASHBROOK,GARTH DAVID|954-581-8112|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|01/30/1987|0|0|0|0|0|0
Miami Regional Office| 106611|801-31635|DAVID W. TICE & ASSOCIATES, LLC|DAVID W. TICE & ASSOCIATES, LLC|43-46 NORRE GADE SUITE 232||ST. THOMAS VI 00802|USA|P.O. BOX 267||ST. THOMAS VI 00804|USA|DAVID WAYNE TICE|(340) 715-5555|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/11/1988|0|0|0|0|0|0
Miami Regional Office| 106640|801-33726|WEISS CAPITAL MANAGEMENT, INC.|WEISS CAPITAL MANAGEMENT, INC.|7111 FAIRWAY DR|SUITE 102|PALM BEACH GARDENS FL 33418|USA|||  ||FAITH IMBERNON|561-515-8558, EXT 15433|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|01/19/1989|1|6|0|0|0|0
Miami Regional Office| 106714|801-45642|SPENCER INTERNATIONAL ADVISORS INC|SPENCER INTERNATIONAL ADVISORS INC|1401 SOUTH FORT HARRISON AVENUE||CLEARWATER FL 33756-2002|USA|||  ||WENDY A SPENCER|727-445-9473|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|01/25/1994|0|0|0|0|0|0
Miami Regional Office| 106737|801-44331|HOROWITZ & CO INC|HOROWITZ & CO INC|1555 N PARK DRIVE, STE 102||WESTON FL 33326|USA|||  ||HOROWITZ, ANDREW A.|954-349-0800|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters, Other|APPROVED|07/19/1993|0|0|0|0|0|0
Miami Regional Office| 106773|801-52020|ADVANCED INVESTMENT PARTNERS|ADVANCED INVESTMENT PARTNERS, LLC|100 MAIN STREET|SUITE 301|SAFETY HARBOR FL 34695-3657|USA|||  ||STYPUL, BRYAN EDWARD|727-799-3671|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/29/1996|0|0|0|0|0|0
Miami Regional Office| 106775|801-50497|BAUERLE FINANCIAL INC|BAUERLE FINANCIAL INC|505 EAST NEW YORK AVENUE||DELAND FL 32724|USA|||  ||BAUERLE, TODD ALEX|386-734-4548|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|11/01/1995|0|0|0|0|0|0
Miami Regional Office| 106791|801-41177|AVANTI INVESTMENT ADVISORS, INC.|AVANTI INVESTMENT ADVISORS, INC.|923 N. PENNSYLVANIA AVENUE||WINTER PARK FL 32789|USA|||  ||ROSEN, DAWN SARI|416-323-1393|Corporation|Other|APPROVED|04/02/1992|0|0|0|0|0|0
Miami Regional Office| 106841|801-22279|FUSCO FINANCIAL SERVICES INC|FUSCO FINANCIAL SERVICES INC|2402 NE 8TH AVE.||WILTON MANORS FL 33305|USA|||  ||MCMICHAEL, JOHANNA M|954-524-0900|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|11/05/1984|0|0|0|0|0|0
Miami Regional Office| 106963|801-42531|HOWLAND AND ASSOCIATES, LLC|HOWLAND AND ASSOCIATES, LLC|400 N TAMPA STREET|SUITE 1160|TAMPA FL 33602|USA|||  ||HOWLAND, D. S.|813-333-2900|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|10/13/1992|0|0|0|0|0|0
Miami Regional Office| 107117|801-39197|CNL FUND ADVISORS COMPANY|CNL FUND ADVISORS COMPANY|450 SOUTH ORANGE AVENUE|10TH FLOOR|ORLANDO FL 32801|USA|P.O. BOX 4920||ORLANDO FL 32802-4920|USA|PAUL SAINT-PIERRE|407-540-2599|Corporation|Portfolio management for investment companies|APPROVED|06/19/1991|0|0|0|0|0|0
Miami Regional Office| 107119|801-43838|STRATIGRAPHIC ASSET MANAGEMENT, INC.|STRATIGRAPHIC ASSET MANAGEMENT, INC.|804 DOUGLAS RD|SUITE 363|CORAL GABLES FL 33134|USA|||  ||BERNSTEIN, ALAN SAUL|305 447-0300|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/30/1993|0|0|0|0|0|0
Miami Regional Office| 107132|801-52936|HIGH STREET FINANCIAL INC|HIGH STREET FINANCIAL INC|12802 TAMPA OAKS BLVD,SUITE 405||TAMPA FL 33637|USA|||  ||BARTOLETTA,JOHN J|813-910-2500|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/20/1996|0|1|0|0|0|0
Miami Regional Office| 107194|801-13770|OHIGGINS ASSET MANAGEMENT INC|OHIGGINS ASSET MANAGEMENT INC|300 71ST STREET STE 425||MIAMI BEACH FL 33141|USA|||  ||BRIGGS,CHRISTOPHER MADDEN|305-861-1883|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/10/1978|0|0|0|0|0|0
Miami Regional Office| 107317|801-40319|COMPASS ADVISORS, LLC|COMPASS ADVISORS, LLC|201 S. BISCAYNE BLVD|TWENTY-EIGHTH FLOOR|MIAMI FL 33131|USA|1125 NW COUCH STREET|EIGHTH FLOOR|PORTLAND OR 97209|USA|KARL E. HAUSAFUS|503-241-7058|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|12/05/1991|0|0|2|0|0|0
Miami Regional Office| 107332|801-50347|MERCATOR ASSET MANAGEMENT LP|MERCATOR ASSET MANAGEMENT LP|5200 TOWN CENTER CIRCLE|SUITE 550|BOCA RATON FL 33486-1018|USA|||  ||VICTORIA JOH|561-361-1079|Partnership|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/09/1995|0|0|0|0|0|0
Miami Regional Office| 107376|801-53319|TRANSAMERICA ASSET MANAGEMENT, INC.|TRANSAMERICA ASSET MANAGEMENT, INC.|570 CARILLON PKWY||ST PETERSBURG FL 33716|USA|||  ||GALLAGHER, DENNIS PATRICK|727-299-1821|Corporation|Portfolio management for investment companies, Selection of other advisers|APPROVED|12/31/1996|0|1|0|0|0|0
Miami Regional Office| 107522|801-41473|STEINBERG GLOBAL ASSET MANAGEMENT LTD|STEINBERG GLOBAL ASSET MANAGEMENT LTD|5100 TOWN CENTER CIRCLE|SUITE 150|BOCA RATON FL 33486|USA|||  ||RICHARD D. STEINBERG|561-750-0800|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/12/1992|0|0|0|0|0|0
Miami Regional Office| 107608|801-49948|SAGE CAPITAL MANAGEMENT, LLC|SAGE CAPITAL MANAGEMENT, LLC|665 SOUTH ORANGE AVENUE|SUITE 3|SARASOTA FL 34236|USA|||  ||MICHAEL IPPOLITO|941-952-1032|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/18/1995|0|0|0|0|0|0
Miami Regional Office| 107629|801-38791|AEGIS FINANCIAL ADVISORS INC|AEGIS FINANCIAL ADVISORS INC|300 MAITLAND AVENUE||ALTAMONTE SPRINGS FL 32701|USA|||  ||JEROLD R. MEIER|407-831-3660|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|05/13/1991|0|0|0|0|0|0
Miami Regional Office| 107752|801-28105|AON INVESTMENT CONSULTING INC.|AON INVESTMENT CONSULTING INC.|7650 W COURTNEY CAMPBELL CAUSEWAY SUITE 1000|SUITE 1000|TAMPA FL 33607|USA|||  ||NICOLE ROBERTSON|404-240-7614|Corporation|Pension consulting services, Selection of other advisers, Other|APPROVED|10/09/1986|0|2|0|0|0|0
Miami Regional Office| 107813|801-57658|MARCHAND FARIES FINANCIAL MANAGEMENT INC|MARCHAND FARIES FINANCIAL MANAGEMENT INC|821 MONTEGO ROAD WEST||JACKSONVILLE FL 32216-9366|USA|||  ||STEPHEN TERRY FARIES|904-805-0207|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/20/2000|0|0|0|0|0|0
Miami Regional Office| 107833|801-57664|BLUE OCEAN CAPITAL|CPA ASSET MANAGEMENT GROUP, LLC|101 N. CLEMATIS STREET|SUITE 220|WEST PALM BEACH FL 33401|USA|P.O. BOX 3505||WEST PALM BEACH FL 33402-3505|USA|MARK B. ELHILOW|561-659-3301|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|06/22/2000|0|0|0|0|0|0
Miami Regional Office| 107935|801-56946|EMERALD ASSET ADVISORS LLC|EMERALD ASSET ADVISORS LLC|2843 EXECUTIVE PARK DRIVE||WESTON FL 33331|USA|||  ||DONNA NAITOVE|954-385-9624|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters, Other|APPROVED|09/24/2003|0|0|0|0|0|0
Miami Regional Office| 107967|801-55633|CAPLINGER MANAGEMENT|CAPLINGER GARY BERLIN|10625 N MILITARY TRAIL|SUITE 105|PALM BEACH GARDENS FL 33410-6548|USA|||  ||GARY B. CAPLINGER|561-649-9227|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|06/15/1998|0|0|0|0|0|0
Miami Regional Office| 107981|801-57639|NORTHSTAR CAPITAL MANAGEMENT INC|NORTHSTAR CAPITAL MANAGEMENT INC|3801 PGA BLVD|SUITE 904|PALM BEACH GARDENS FL 33410|USA|||  ||JASON J. MCPHARLIN|561-775-5880|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/28/2000|0|0|0|0|0|0
Miami Regional Office| 107987|801-54831|FAIRHOLME CAPITAL MANAGEMENT, L.L.C.|FAIRHOLME CAPITAL MANAGEMENT, L.L.C.|4400 BISCAYNE BOULEVARD|9TH FLOOR|MIAMI FL 33137|USA|||  ||BRUCE BERKOWITZ|305-358-3000|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|08/21/1997|0|6|0|0|0|0
Miami Regional Office| 108006|801-57005|EMPIRE INVESTMENT ADVISORS. INC|EMPIRE INVESTMENT ADVISORS INC|2170 WEST STATE ROAD 434|SUITE 100|LONGWOOD FL 32779|USA|2170 WEST STATE ROAD 434|SUITE 100|LONGWOOD FL 32779|USA|TAMMY KRAUS|407-774-1300|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|11/15/1999|0|0|0|0|0|0
Miami Regional Office| 108038|801-56858|INVESTMENT ADVISORY PROFESSIONALS LLC|INVESTMENT ADVISORY PROFESSIONALS LLC|400 S DIXIE HWY|SUITE 322|BOCA RATON FL 33432|USA|||  ||ARTHUR J. CANTER|(561)391-4477|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|09/22/1999|0|0|0|0|0|0
Miami Regional Office| 108058|801-55231|J L BAINBRIDGE % COMPANY, INC.|J L BAINBRIDGE % COMPANY, INC.|1582 MAIN STREET||SARASOTA FL 34236|USA|||  ||BARTON L. BAINBRIDGE|941-365-3435|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/01/1998|0|0|0|0|0|0
Miami Regional Office| 108061|801-56209|PMK CAPITAL ADVISORS INC|PMK CAPITAL ADVISORS INC|105 E. ATLANTIC AVENUE|SUITE 200|DELRAY BEACH FL 33444|USA|||  ||WENDY WURST|561-454-1770|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/29/1999|0|3|0|0|0|0
Miami Regional Office| 108212|801-49135|FOGEL CAPITAL MANAGEMENT INC|FOGEL CAPITAL MANAGEMENT INC|453 RIVERSIDE DRIVE||STUART FL 34994|USA|||  ||MICHAEL FOGEL|772-223-9686|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/31/1995|0|0|0|0|0|0
Miami Regional Office| 108289|801-62262|SUNCOAST EQUITY MANAGEMENT, INC.|SUNCOAST EQUITY MANAGEMENT, INC.|5550 W EXECUTIVE DR|SUITE 320|TAMPA FL 33609|USA|||  ||SEAN WRIGHT|813-963-0502|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|08/08/2003|0|0|0|0|0|0
Miami Regional Office| 108337|801-33176|EBER CAPITAL MANAGEMENT|EBER STEVEN L|5915 PONCE DE LEON BLVD|SUITE 45|CORAL GABLES FL 33146|USA|||  ||STEVE EBER|305-442-0900|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|10/28/1988|0|0|0|0|0|0
Miami Regional Office| 108369|801-20866|HERZFELD THOMAS J ADVISORS INC|HERZFELD THOMAS J ADVISORS INC|10491 SW 97TH AVENUE||MIAMI FL 33176|USA|P.O. BOX 161465||MIAMI FL 33116|USA|CECILIA GONDOR|305-271-1900|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters, Other|APPROVED|04/09/1984|0|1|0|0|0|0
Miami Regional Office| 108412|801-57040|A.T. WHITEHEAD, INC.|WHITEHEAD A T INC|4320 EL PRADO BLVD., SUITE 19||TAMPA FL 33629|USA|P. O. BOX 2245||SISTERS OR 97759|USA|ALLYN J. HARDMAN|541-549-6971|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/03/1999|0|0|0|0|0|0
Miami Regional Office| 108426|801-24583|TRUSTWELL FINANCIAL ADVISORS, LLC|TRUSTWELL FINANCIAL ADVISORS, LLC|8825 PERIMETER PARK BLVD.|SUITE 304|JACKSONVILLE FL 32216|USA|||  ||GARY WILLIAMS|904-996-7800|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/19/1985|0|0|0|0|0|0
Miami Regional Office| 108516|801-47894|INTREPID CAPITAL MANAGEMENT INC|INTREPID CAPITAL MANAGEMENT INC|3652 SOUTH THIRD STREET, SUITE 200||JACKSONVILLE BEACH FL 32250|USA|||  ||MARK F. TRAVIS|904-246-3433|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|11/28/1994|0|0|0|0|0|0
Miami Regional Office| 108530|801-56857|AMERICAN FINANCIAL ADVISORS INC|AMERICAN FINANCIAL ADVISORS INC|3361 ROUSE ROAD, SUITE 135||ORLANDO FL 32817|USA|||  ||DANIELLE PEPPARD|407-207-9006|Corporation|Financial planning services, Selection of other advisers|APPROVED|09/27/1999|0|0|0|0|0|0
Miami Regional Office| 108540|801-42402|AV ADVISORS LLC|AV ADVISORS LLC|255 ALHAMBRA CIRCLE|SUITE 1100|CORAL GABLES FL 33134|USA|||  ||SANDRA L. THOMASON|305-569-9500|Limited Liability Company|Pension consulting services|APPROVED|10/29/1992|1|0|0|0|0|0
Miami Regional Office| 108552|801-56951|THE HERZFELD GROUP|HERZFELD GROUP INC|1715 EAST BAY DRIVE|SUITE C|LARGO FL 33771|USA|||  ||PAUL VINCENT HERZFELD|727-587-0009|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|11/05/1999|0|3|0|0|0|0
Miami Regional Office| 108600|801-17065|PENINSULA ASSET MANAGEMENT INC|PENINSULA ASSET MANAGEMENT INC|1111 3RD AVENUE WEST|SUITE 340|BRADENTON FL 34205|USA|||  ||BRIAN S MILLER|(941) 748-8680|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|04/27/1982|0|0|0|0|0|0
Miami Regional Office| 108640|801-55611|HAISMAN WEALTH MANAGEMENT, INC.|HAISMAN WEALTH MANAGEMENT, INC.|6830 PORTO FINO CIRCLE|SUITE ONE|FORT MYERS FL 33912|USA|||  ||EVAN MCGRATH|239-939-3235|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|06/02/1998|0|0|0|0|0|0
Miami Regional Office| 108642|801-54716|COLBERT INVESTMENT MANAGEMENT CO|COLBERT INVESTMENT MANAGEMENT CO|1221 BRICKELL AVENUE|SUITE 1600|MIAMI FL 33131-3260|USA|||  ||KARIM ARMAND|305-400-9982|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/21/1997|0|0|0|0|0|0
Miami Regional Office| 108648|801-56677|THE LUBITZ FINANCIAL GROUP|LUBITZ LINDA S CFP PA|9130 S. DADELAND BLVD.|SUITE 1625|MIAMI FL 33156|USA|||  ||LINDA S. BOONE|305 670 4440|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/16/1999|0|0|0|0|0|0
Miami Regional Office| 108682|801-57171|SDR INVESTMENT MANAGEMENT, INC. DBA SILER FINANCIAL GROUP|SDR INVESTMENT MANAGEMENT, INC. DBA SILER FINANCIAL GROUP|705 D WEST SR 434||LONGWOOD FL 32750|USA|||  ||LEE A. SILER|407-831-8002|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Publication of periodicals or newsletters|APPROVED|01/08/2000|0|6|0|0|0|0
Miami Regional Office| 108694|801-54688|NATIONAL EQUITIES MANAGEMENT CO|NEMCO INSURANCE & FINANCIAL SERVICES CORP|399 WEST PALMETTO PARK ROAD, SUITE 200||BOCA RATON FL 33432|USA|P.O. BOX 272916||BOCA RATON FL 33427-2916|USA|HENRY NEMANICH|561-394-3519|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/03/1997|0|2|0|0|0|0
Miami Regional Office| 108761|801-57379|KING RIDGE ASSET MANAGEMENT LLC|KING RIDGE ASSET MANAGEMENT LLC|1235 SOUTHWINDS BLVD.||VERO BEACH FL 32963|USA|||  ||CHRISTINE M. BLAIR|888-291-0088|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|03/28/2000|0|0|0|0|0|0
Miami Regional Office| 108799|801-44576|FINANCIAL GUIDANCE GROUP, INC.|FINANCIAL GUIDANCE GROUP, INC.|788 SAMANTHA DRIVE||PALM HARBOR FL 34683-6200|USA|||  ||CARL F. VON DEM BUSSCHE, SR.|727-787-7526|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|08/20/1993|0|0|0|0|0|0
Miami Regional Office| 108806|801-49420|ICC CAPITAL MANAGEMENT INC|ICC CAPITAL MANAGEMENT INC|390 NORTH ORANGE AVENUE|27TH FLOOR|ORLANDO FL 32801|USA|||  ||STEVEN STACK|407-839-8440|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/20/1995|0|0|0|0|0|0
Miami Regional Office| 108831|801-55243|SAWGRASS ASSET MANAGEMENT LLC|SAWGRASS ASSET MANAGEMENT LLC|1579 THE GREENS WAY|SUITE 20|JACKSONVILLE FL 32250|USA|||  ||ANDREW MARTIN CANTOR|904-493-5513|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/13/1998|1|4|0|0|0|0
Miami Regional Office| 108976|801-66779|BREITER CAPITAL MANAGEMENT INC.|BREITER CAPITAL MANAGEMENT INC|101 SOUTH BAY BLVD. / SUITE B-4||ANNA MARIA FL 34216|USA|P.O. BOX 818||ANNA MARIA FL 34216|USA|THOMAS H. BREITER|941-778-1900|Corporation|Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers, Other|APPROVED|06/01/2006|0|1|0|0|0|0
Miami Regional Office| 108998|801-56818|FINANCIAL TRUST ASSET MANAGEMENT CHARTERED|FINANCIAL TRUST ASSET MANAGEMENT CHARTERED|5100 TOWN CENTER CIRCLE|SUITE 150|BOCA RATON FL 33486|USA|||  ||ARNO OTTO MAYER|561-391-8188|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|08/31/1999|0|0|0|0|0|0
Miami Regional Office| 109011|801-57738|INVESTACORP ADVISORY SERVICES INC|INVESTACORP ADVISORY SERVICES INC|15450 NEW BARN ROAD||MIAMI LAKES FL 33014|USA|||  ||CURT W. KNAPP|(305)828-2888|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|07/14/2000|0|3|0|0|0|0
Miami Regional Office| 109030|801-55770|DERIVATIVE CONSULTING GROUP LLC|DERIVATIVE CONSULTING GROUP LLC|53A COMPANY STREET|2ND FLOOR|CHRISTIANSTED VI 00820|USA|||  ||JOHN C. FRAZER|(340) 712-2600|Limited Liability Company|Other|APPROVED|09/30/1998|0|1|0|0|0|0
Miami Regional Office| 109079|801-55841|RIVERPLACE CAPITAL MANAGEMENT INC|RIVERPLACE CAPITAL MANAGEMENT INC|1301 RIVERPLACE BLVD|SUITE 2130|JACKSONVILLE FL 32207|USA|||  ||C. RONALD BELTON|904-346-3460|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/02/1998|0|0|0|0|0|0
Miami Regional Office| 109278|801-56752|GENSPRING FAMILY OFFICES, LLC|GENSPRING FAMILY OFFICES, LLC|3801 PGA BLVD.|SUITE 555|PALM BEACH GARDENS FL 33410|USA|||  ||ROBERT HILLE|561-746-8444|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|08/05/1999|0|2|0|0|0|0
Miami Regional Office| 109315|801-57854|ADAM FINANCIAL ASSOCIATES INC|ADAM FINANCIAL ASSOCIATES INC|2424 N. FEDERAL HIGHWAY|SUITE 369|BOCA RATON FL 33431|USA|||  ||MARI ADAM|561-417-0001|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|08/11/2000|0|0|0|0|0|0
Miami Regional Office| 109327|801-56627|PERSONAL FINANCIAL PROFILES INC|PERSONAL FINANCIAL PROFILES INC|2801 UNIVERSITY DR|STE 201B|CORAL SPRINGS FL 33065|USA|||  ||FRANK T. PUGLIESE|(954) 755-8647|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|06/23/1999|0|1|0|0|0|0
Miami Regional Office| 109337|801-57168|TIMPSON INVESTMENTS INC.|TIMPSON INVESTMENT INC|1177 GEORGE BUSH BLVD|READING ROOM 5TH FLOOR|DELRAY BEACH FL 33483|USA|||  ||CARL W. TIMPSON JR|(561) 243-2828|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|01/18/2000|0|2|0|0|0|0
Miami Regional Office| 109368|801-56201|COMMUNITY CAPITAL MANAGEMENT, INC.|COMMUNITY CAPITAL MANAGEMENT, INC.|2500 WESTON ROAD|SUITE 101|WESTON FL 33331|USA|||  ||BARBARA VANSCOY|877-272-1977|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/03/1999|0|1|1|0|0|0
Miami Regional Office| 109380|801-54709|DIMENSION CAPITAL MANAGEMENT LLC|DIMENSION CAPITAL MANAGEMENT LLC|ATT: ONOFRE TORRES|701 BRICKELL AVENUE, SUITE 850|MIAMI FL 33131|USA|||  ||ONOFRE TORRES|(305) 371-2776|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/18/1997|0|0|0|0|0|0
Miami Regional Office| 109419|801-55992|MOISAND FITZGERALD TAMAYO, LLC|MOISAND FITZGERALD TAMAYO, LLC|601 SOUTH LAKE DESTINY ROAD|SUITE 165|MAITLAND FL 32751-7482|USA|||  ||DANIEL MOISAND|407-869-6228|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/27/1998|0|0|0|0|0|0
Miami Regional Office| 109479|801-56787|TILLMAN HARTLEY LLC|TILLMAN HARTLEY LLC|HAILE VILLAGE CENTER|5346 SW 91ST TERRACE|GAINESVILLE FL 32608-7124|USA|||  ||MICHAEL TILLMAN|352-335-9015|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|08/20/1999|0|0|0|0|0|0
Miami Regional Office| 109485|801-56645|SUMMIT FINANCIAL GROUP INC|SUMMIT FINANCIAL GROUP INC|980 N. FEDERAL HIGHWAY|SUITE 310|BOCA RATON FL 33432|USA|980 N. FEDERAL HWY SUITE 310||BOCA RATON FL 33432|USA|MICHAEL HILL|(561)338-2614|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|08/02/1999|0|10|0|0|0|0
Miami Regional Office| 109492|801-55717|FLORIDA INVESTMENT ADVISERS|FLORIDA INVESTMENT ADVISERS INC|601 BAYSHORE BLVD.|SUITE 150|TAMPA FL 33606|USA|P.O. BOX ONE||TAMPA FL 33601-0001|USA|LORI NADGLOWSKI|813-998-2643|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/09/1998|0|0|0|0|0|0
Miami Regional Office| 109549|801-58048|ATLANTIC CAPITAL MANAGEMENT|ATLANTIC CAPITAL MANAGEMENT OF FLORIDA, INC.|560 VILLAGE BLVD|SUITE 260|WEST PALM BEACH FL 33409|USA|||  ||JEFFREY P SNIDER|561-686-6844|Corporation|Portfolio management for individuals and/or small businesses, Other|APPROVED|11/09/2000|0|0|0|0|0|0
Miami Regional Office| 109576|801-56976|WEALTH MANAGEMENT CORP|WEALTH MANAGEMENT CORP OF AMERICA INC|2941 KERRY FOREST PKWY||TALLAHASSEE FL 32309|USA|||  ||WILLIAM S. HORAK|850-894-7526|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|11/12/1999|0|0|1|0|0|0
Miami Regional Office| 109608|801-54966|GCM|GABLES CAPITAL MANAGEMENT INC|1201 BRICKELL AVENUE, SUITE 440||MIAMI FL 33131|USA|||  ||ERIC M. MCKENNA|(305) 374-9121|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|10/10/1997|0|0|0|0|0|0
Miami Regional Office| 109656|801-60066|FINANCIAL SERVICES NETWORK, INC|FINANCIAL SERVICES NETWORK, INC|766 HUDSON AVENUE|SUITE D|SARASOTA FL 34236|USA|||  ||RANDALL T. ARNAUD|941-366-0110|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|03/02/2001|0|0|0|0|0|0
Miami Regional Office| 109698|801-60104|EVENSKY & KATZ, LLC|EVENSKY & KATZ, LLC|2333 PONCE DE LEON BOULEVARD|SUITE 1100|CORAL GABLES FL 33134|USA|||  ||MENA BIELOW|305 448 8882|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|04/04/2001|0|0|0|0|0|0
Miami Regional Office| 109710|801-67363|PLANNED FINANCIAL GROWTH CO|CARL DAVID REINHOLD|629H NERITA ST||SANIBEL FL 33957-6808|USA|||  ||CARL REINHOLD|239-472-2682|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|01/03/2007|0|0|0|0|0|0
Miami Regional Office| 109869|801-60025|GENSPRING INTERNATIONAL LLC|GENSPRING INTERNATIONAL LLC|1200 BRICKELL AVENUE|SUITE 510|MIAMI FL 33131|USA|||  ||SANTIAGO ULLOA|(305) 825-2225|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/14/2001|0|0|0|0|0|0
Miami Regional Office| 110034|801-57334|ROGERS QUIMBY & ASSOCIATES|RQA INC.|1432 COURT ST||CLEARWATER FL 33756|USA|||  ||PATRICIA A. QUIMBY|727-446-2306|Corporation|Portfolio management for individuals and/or small businesses, Market timing services|APPROVED|03/02/2000|0|0|0|0|0|0
Miami Regional Office| 110134|801-19820|KEATING INVESTMENT COUNSELORS INC|KEATING INVESTMENT COUNSELORS INC|777 EAST ATLANTIC AVE|SUITE 303|DELRAY BEACH FL 33483|USA|||  ||LINDA F. SIERRA|561 278-7862|Corporation|Portfolio management for individuals and/or small businesses, Other|APPROVED|09/19/1983|0|0|0|0|0|0
Miami Regional Office| 110164|801-32111|BURGESS CHAMBERS & ASSOCIATES INC|BURGESS CHAMBERS & ASSOCIATES INC|601 N NEW YORK AVE|SUITE 200|WINTER PARK FL 32789|USA|||  ||SIDNEY TAYLOR|407-644-0111|Corporation|Pension consulting services, Selection of other advisers|APPROVED|05/23/1988|0|0|0|0|0|0
Miami Regional Office| 110209|801-60081|BAYSHORE CAPITAL ADVISORS, LLC|BAYSHORE CAPITAL ADVISORS, LLC|1700 SOUTH MACDILL AVENUE|SUITE 340|TAMPA FL 33629|USA|||  ||JOHN TOUCHTON|813-221-3400|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|03/09/2001|0|0|0|0|0|0
Miami Regional Office| 110237|801-57008|TRADEMARK CAPITAL MANAGEMENT INC|TRADEMARK CAPITAL MANAGEMENT INC|2323 CURLEW ROAD|SUITE 6D|DUNEDIN FL 34698|USA|||  ||STEVE ATHANASSIE|727-772-9500|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|11/18/1999|0|0|0|0|0|0
Miami Regional Office| 110248|801-43372|GREAT COMPANIES, INC.|GREAT COMPANIES, INC.|320 WEST KENNEDY BOULEVARD|SUITE 600|TAMPA FL 33606|USA|||  ||JULIE C. CARNEVALE|813-251-3055|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/23/1993|0|0|0|0|0|0
Miami Regional Office| 110295|801-55533|BUTENSKY & COHEN FINANCIAL SECURITY INC|BUTENSKY & COHEN FINANCIAL SECURITY INC|110 PROFESSIONAL DRIVE SUITE 104||PONTE VEDRA BEACH FL 32082|USA|||  ||JAN BUTENSKY|904-273-9850|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|05/13/1998|0|0|0|0|0|0
Miami Regional Office| 110635|801-57877|ALEXANDER READ INVESTMENT MANAGEMENT, INC.|ALEXANDER READ INVESTMENT MANAGEMENT, INC.|807 W MORSE BLVD #105||WINTER PARK FL 32789|USA|||  ||KERRY MERRIGAN|(407) 629-2746|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|08/21/2000|0|0|0|0|0|0
Miami Regional Office| 110649|801-55776|EAGLE BOSTON INVESTMENT MANAGMENT, INC.|EAGLE BOSTON INVESTMENT MANAGMENT, INC.|880 CARILLON PARKWAY||ST PETERSBURG FL 33716|USA|880 CARILLON PARKWAY||ST. PETERSBURG FL 33716|USA|DAMIAN D. SOUSA|727-567-4656|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/25/1998|0|0|0|0|0|0
Miami Regional Office| 110653|801-21343|EAGLE ASSET MANAGEMENT INC|EAGLE ASSET MANAGEMENT INC|880 CARILLON PKWY||ST. PETERSBURG FL 33716|USA|P. O. BOX 10520||ST. PETERSBURG FL 33733|USA|DAMIAN D. SOUSA|727-573-2453|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/01/1984|0|2|0|0|0|0
Miami Regional Office| 110819|801-49934|NOESIS CAPITAL MANAGEMENT CORP|NOESIS CAPITAL MANAGEMENT CORP|1801 CLINT MOORE ROAD|SUITE 100|BOCA RATON FL 33487|USA|||  ||CORY NASS|(561) 998-8884|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|09/05/1995|0|0|0|0|0|0
Miami Regional Office| 110904|801-26103|CICCARELLI ADVISORY SERVICES INC|CICCARELLI ADVISORY SERVICES INC|3066 TAMIAMI TRAIL NORTH|STE 202|NAPLES FL 34103|USA|||  ||GERAL SMITH|585-383-0180|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|12/31/1985|0|0|0|0|0|0
Miami Regional Office| 111036|801-52482|STONELEIGH INVESTMENT COUNSELING|LORING CATLIN|3055 CARDINAL DRIVE|SUITE 305|VERO BEACH FL 32963|USA|PO BOX 3524||VERO BEACH FL 32964-3524|USA|LORING CATLIN|772-234-1413|Sole Proprietorship|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|07/22/1996|0|0|0|0|0|0
Miami Regional Office| 111044|801-56525|CPA WEALTH MANAGEMENT SERVICES PA|CPA WEALTH MANAGEMENT SERVICES PA|215 BAYTREE DR||MELBOURNE FL 32940|USA|||  ||KAREN VANVONNO|321-254-1668|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|05/27/1999|0|0|0|0|0|0
Miami Regional Office| 111132|801-56394|LITCHFIELD, NELSON & COMPANY|LITCHFIELD & NELSON, INC|3033 RIVIERA DRIVE|SUITE 106|NAPLES FL 34103|USA|||  ||DENNIS NELSON|239-261-4800|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|04/05/1999|0|0|0|0|0|0
Miami Regional Office| 111318|801-57221|MACKE FINANCIAL ADVISORY GROUP|MACKE FINANCIAL ADVISORY GROUP|12699 NEW BRITTANY BLVD.||FORT MYERS FL 33907|USA|||  ||TODD C. MACKE|239-275-1122|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/07/2000|0|0|0|0|0|0
Miami Regional Office| 111370|801-15125|TEMPLETON INVESTMENT COUNSEL, LLC|TEMPLETON INVESTMENT COUNSEL, LLC|500 E. BROWARD BLVD|SUITE 2100|FT. LAUDERDALE FL 33394|USA|||  ||TIMOTHY S. STEARNS|(954) 527-7630|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/07/1980|0|3|2|0|0|0
Miami Regional Office| 111388|801-56788|FOUNDING PARTNERS CAPITAL MANAGEMENT COMPANY|FOUNDING PARTNERS CAPITAL MANAGEMENT COMPANY|5100 NORTH TAMIAMI TRAIL, SUITE 110|NEWGATE CENTER|NAPLES FL 34103|USA|||  ||WILLIAM L. GUNLICKS|239-514-2900|Corporation|Other|APPROVED|08/20/1999|0|1|0|0|0|0
Miami Regional Office| 111432|801-60578|RETIREMENT INVESTMENT ADVISORS|SHAW INVESTMENT ADVISORS, INC.|7700 N. KENDALL DRIVE SUITE 710||MIAMI FL 33156|USA|||  ||JAMES L. SHAW|305 595-2740|Corporation|Pension consulting services|APPROVED|09/17/2001|0|0|0|0|0|0
Miami Regional Office| 111485|801-60190|MONEY MANAGEMENT CONCEPTS INC.|MONEY MANAGEMENT CONCEPTS, INC.|1250 W. EAU GALLIE BLVD.- SUITE K||MELBOURNE FL 32935|USA|PO BOX 33937||INDIALANTIC FL 32903|USA|RICHARD O. JONES|(321) 253-3400|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/18/2001|0|0|0|0|0|0
Miami Regional Office| 111543|801-57324|LEVITT CAPITAL MANAGEMENT LLC|LEVITT CAPITAL MANAGEMENT LLC|101 N. FEDERAL HIGHWAY|SUITE 700|BOCA RATON FL 33432|USA|||  ||STEPHEN GRAY|561-893-9901|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|03/06/2000|0|0|0|0|0|0
Miami Regional Office| 111607|801-54870|ADHIA INVESTMENT ADVISORS INC.|ADHIA INVESTMENT ADVISORS INC.|1408 N. WESTSHORE BLVD|SUITE 611|TAMPA FL 33607|USA|||  ||HITESH (JOHN) P. ADHIA|(813) 289 8440|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/12/1998|0|0|0|0|0|0
Miami Regional Office| 111727|801-40331|LAMCO ADVISORY SERVICES INC.|LAMCO ADVISORY SERVICES INC.|1525 INTERNATIONAL PARKWAY|SUITE 2071|LAKE MARY FL 32746|USA|||  ||MARK LAMORIELLO|407-585-1160|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|12/27/1991|0|1|0|0|0|0
Miami Regional Office| 111800|801-56812|FIRSTRUST|FIRSTRUST LLC|1673 MASON AVE.|SUITE #100|DAYTONA BEACH FL 32117|USA|||  ||MICHAEL T. KOENIG|386-788-3737|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|08/30/1999|0|0|0|0|0|0
Miami Regional Office| 111846|801-57175|CONSULTIVA INTERNACIONAL, INC.|CONSULTIVA INTERNACIONAL INC|273 PONCE DE LEON AVE.|SUITE 1201|SAN JUAN PR 00917-1923|USA|||  ||MYRNA RIVERA|(787) 763-5868|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|02/08/2000|0|0|0|0|0|0
Miami Regional Office| 111855|801-58175|KOSS-OLINGER CONSULTING, INC.|KOSS-OLINGER CONSULTING, INC.|2700-A NW 43RD STREET||GAINESVILLE FL 32606|USA|||  ||ROBERT EBERHARD|352-373-3337|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|11/24/2000|0|0|0|0|0|0
Miami Regional Office| 111964|801-58253|BOGDAHN CONSULTING, LLC.|BOGDAHN CONSULTING, LLC.|340 WEST CENTRAL AVENUE|SUITE 300|WINTER HAVEN FL 33880|USA|||  ||JOSEPH R. BOGDAHN|863-293-8289|Limited Liability Company|Pension consulting services, Selection of other advisers, Other|APPROVED|01/10/2001|0|0|0|0|0|0
Miami Regional Office| 112019|801-56533|BISCAYNEAMERICAS ADVISERS L.L.C.|BISCAYNEAMERICAS ADVISERS L.L.C.|1111 BRICKELL AVENUE|SUITE 2750|MIAMI FL 33131|USA|||  ||ROBERT MALCOLM KOFFLER|(305) 577-0995|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies|APPROVED|05/17/1999|0|0|0|0|0|0
Miami Regional Office| 112083|801-38667|DEIGHAN FINANCIAL ADVISORS, INC.|DEIGHAN FINANCIAL ADVISORS, INC.|47 W NEW HAVEN AVE STE 200||MELBOURNE FL 32901|USA|||  ||PAMELA MOLDEN|321-728-3888|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|04/19/1991|0|0|0|0|0|0
Miami Regional Office| 112099|801-48779|DE PRINCE, RACE & ZOLLO, INC.|DE PRINCE, RACE & ZOLLO, INC.|250 PARK AVENUE SOUTH|SUITE 250|WINTER PARK FL 32789|USA|||  ||ANGELA R. PETRUCELLY|407-420-9903|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/22/1995|0|1|0|0|0|0
Miami Regional Office| 112147|801-67252|LYNN H. ORR CAPITAL MANAGEMENT GROUP, INC.|LYNN H. ORR CAPITAL MANAGEMENT GROUP, INC.|317 N. COLLIER BOULEVARD|SUITE 203|MARCO ISLAND FL 34145|USA|||  ||LYNN H. ORR|239-642-5823|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/23/2006|0|0|0|0|0|0
Miami Regional Office| 112218|801-67591|THE FINANCIAL WELL, INC.|THE FINANCIAL WELL, INC.|300 S. HYDE PARK AVENUE|SUITE 210|TAMPA FL 33606|USA|||  ||KIMBERLY D. OVERMAN|813-229-2000|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|02/23/2007|0|0|0|0|0|0
Miami Regional Office| 112221|801-57604|PRS LATAM LLC|PRS LATAM LLC|801 BRICKELL AVE STE 1600||MIAMI FL 33131-2945|USA|||  ||JACABO GADALA-MARIA|(305)459-5301|Limited Liability Company|Portfolio management for individuals and/or small businesses, Other|APPROVED|06/09/2000|0|1|0|0|0|0
Miami Regional Office| 112224|801-32497|PRS INTERNATIONAL INVESTMENT ADVISORY SERVICE|PRS INTERNATIONAL INVESTMENT ADVISORY SERVICE|801 BRICKELL AVE STE 1600||MIAMI FL 33131-2945|USA|||  ||NOEMI SCHAEFER|(305)482-8050|Corporation|Portfolio management for individuals and/or small businesses, Other|APPROVED|09/09/1988|0|1|0|0|0|0
Miami Regional Office| 112260|801-60241|NED DAVIS RESEARCH, INC.|NED DAVIS RESEARCH, INC.|600 BIRD BAY DRIVE, WEST||VENICE FL 34285-8020|USA|||  ||EDWARD V. HACKETT|941-412-2333|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters, Other|APPROVED|05/31/2001|0|6|3|0|0|0
Miami Regional Office| 112294|801-60722|JONATHAN ROBERTS ADVISORY GROUP, INC.|JONATHAN ROBERTS ADVISORY GROUP, INC.|6928 W. LINEBAUGH AVE. STE. 101||TAMPA FL 33625|USA|||  ||GABRIEL AYALA|(813)935-6776|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|11/23/2001|0|1|0|0|0|0
Miami Regional Office| 112322|801-61061|REAL ESTATE MANAGEMENT SERVICES GROUP, LLC|REAL ESTATE MANAGEMENT SERVICES GROUP, LLC|1100 FIFTH AVENUE SOUTH, SUITE 305||NAPLES FL 34102-6407|USA|||  ||EDWARD W. TURVILLE|239-262-3017|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/12/2002|0|0|0|0|0|0
Miami Regional Office| 112392|801-25067|HERITAGE ASSET MANAGEMENT INC|HERITAGE ASSET MANAGEMENT INC|880 CARILLON PKWY||ST PETERSBURG FL 33716|USA|||  ||SUSAN LAVELLE WALZER|727-567-3526|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/29/1985|0|0|0|0|0|0
Miami Regional Office| 112463|801-57799|LEWIS CAPITAL MANAGEMENT|LEWIS CAPITAL MANAGEMENT|400 CHARLESWOOD LANE||NAPLES FL 34105|USA|||  ||JOY M. LEWIS|239-649-8229|Partnership|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|09/05/2000|0|0|0|0|0|0
Miami Regional Office| 112567|801-57292|FUND ADVISORS OF AMERICA INC|FUND ADVISORS OF AMERICA INC|1800 PEMBROOK DR. SUITE 300||ORLANDO FL 32810|USA|||  ||GREGORY B. GALLOWAY|407.667.4729|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|03/07/2000|0|0|0|0|0|0
Miami Regional Office| 112607|801-62774|MADDEN ADVISORY SERVICES, INC.|MADDEN ADVISORY SERVICES, INC.|4190 BELFORT ROAD SUITE 245||JACKSONVILLE FL 32216|USA|4190 BELFORT ROAD STE. 245||JACKSONVILLE FL 32216|USA|MONIQUE MADDEN-BRAY|904-296-1127|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/05/2004|0|0|0|0|0|0
Miami Regional Office| 112746|801-37271|LLOYD I. MILLER III|MILLER LLOYD IVAN III|4550 GORDON DRIVE||NAPLES FL 34102-7914|USA|||  ||ROBYN TUPPER|239-263-8860|Sole Proprietorship|Selection of other advisers, Other|APPROVED|08/30/1990|0|0|0|0|0|0
Miami Regional Office| 112768|801-42397|BOSTON ASSET MANAGEMENT INC|BOSTON ASSET MANAGEMENT INC|4912 CREEKSIDE DRIVE||CLEARWATER FL 33760|USA|||  ||LEO J. GOVONI|727-894-6520|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|09/22/1992|0|0|0|0|0|0
Miami Regional Office| 112938|801-57065|NOBLE CAPITAL MANAGEMENT, INC.|NOBLE CAPITAL MANAGEMENT, INC.|6501 CONGRESS AVENUE|SUITE 100|BOCA RATON FL 33487|USA|||  ||PETER JUNG|561-994-1191|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|12/20/1999|0|4|1|0|0|0
Miami Regional Office| 112955|801-62984|RICHARD LEHMANN & ASSOCIATES INC.|RICHARD LEHMANN & ASSOCIATES INC.|6175 NW 153 ST|SUITE 201|MIAMI LAKES FL 33014|USA|6175 NW 153 ST. SUITE 201||MIAMI LAKES FL 33014|DADE|CLAUS RICHAR LEHMANN|305-557-1832|Corporation|Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|03/03/2005|0|0|0|0|0|0
Miami Regional Office| 112983|801-60258|THE PALMER KNIGHT COMPANY|THE PALMER KNIGHT COMPANY|1022 PARK STREET|SUITE 402|JACKSONVILLE FL 32204|USA|||  ||A. PALMER KNIGHT|904-358-9080|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/11/2001|0|0|0|0|0|0
Miami Regional Office| 113000|801-50609|LJH GLOBAL INVESTMENTS, LLC|LJH GLOBAL INVESTMENTS, LLC|3001 TAMIAMI TRAIL NORTH|SUITE 302|NAPLES FL 34103|USA|||  ||JULIE KINDSVATER|239-403-3030|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/07/1995|0|1|0|0|0|0
Miami Regional Office| 113060|801-57463|R.H. HANSFORD & CO., INC|R.H. HANSFORD & CO., INC|5632 LA GORCE DRIVE||MIAMI BEACH FL 33140|USA|||  ||SHEILA JAFFE|305 868-9200|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/14/2000|0|0|0|0|0|0
Miami Regional Office| 113085|801-60336|CLIENT FIRST ADVISORS,INC.|CLIENT FIRST ADVISORS,INC.|611 DRUID RD. E- SUITE 707||CLEARWATER FL 33756|USA|||  ||CRAIG PHILLIPS|727-450-2301|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|06/19/2001|0|0|0|0|0|0
Miami Regional Office| 113121|801-55720|THIRD MILLENNIUM INVESTMENT ADVISORS, LLC|THIRD MILLENNIUM INVESTMENT ADVISORS, LLC|225 E. STUART AVE||LAKE WALES FL 33853|USA|8730 STONY POINT PKWY, SUITE 205||RICHMOND VA 23235|UNITED STATES|DAVID JONES|281-419-2140|Limited Liability Company|Portfolio management for investment companies|APPROVED|07/20/1998|0|0|0|0|0|0
Miami Regional Office| 113155|801-20900|TAURUS ADVISORY GROUP INC|TAG VIRGIN ISLANDS, INC.|THE TUNICK BUILDING|1336 BELTJEN ROAD, SUITE 202|ST. THOMAS VI 00802-6347|USA|||  ||JAMES S. TAGLIAFERRI|340-779-8001|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/02/1984|0|0|0|0|0|0
Miami Regional Office| 113204|801-60396|HERITAGE INVESTMENT GROUP, INC.|HERITAGE INVESTMENT GROUP, INC.|2480 N.E. 23RD STREET||POMPANO BEACH FL 33062|USA|||  ||S. HARDY TAYLOR|954-785-5400|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|07/16/2001|0|0|0|0|0|0
Miami Regional Office| 113537|801-60506|III ASSOCIATES|III ASSOCIATES|777 YAMATO ROAD|SUITE 300|BOCA RATON FL 33431|USA|||  ||SCOTT WYLER|561-544-4434|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/28/2001|0|0|0|0|0|0
Miami Regional Office| 113539|801-60505|III OFFSHORE ADVISORS|III OFFSHORE ADVISORS|777 YAMATO ROAD|SUITE 300|BOCA RATON FL 33431|USA|||  ||SCOTT WYLER|561-544-4434|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/28/2001|0|0|0|0|0|0
Miami Regional Office| 113541|801-60398|KEY CAPITAL ADVISORS, INC.|KEY CAPITAL ADVISORS, INC.|350 WOODCREST ROAD||KEY BISCAYNE FL 33149|USA|||  ||ANDREW C. DE ARAUJO|305-365-5164|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|07/18/2001|0|0|0|0|0|0
Miami Regional Office| 113636|801-61996|MIKUS CAPITAL MANAGEMENT, INC.|MIKUS CAPITAL MANAGEMENT, INC.|450 ROYAL PALM WAY|SUITE 400|PALM BEACH FL 33480|USA|P.O. BOX 3428||PALM BEACH FL 33480|USA|WILLIAM JOHN MIKUS|(561) 514-0975|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/24/2003|0|0|0|0|0|0
Miami Regional Office| 113776|801-40965|BAY CAPITAL, REGISTERED INVESTMENT ADVISOR|STEPHEN M. COOPER|3351 W. BEARSS AVENUE||TAMPA FL 33618|USA|||  ||STEPHEN M. COOPER|813-286-1553|Sole Proprietorship|Selection of other advisers, Market timing services|APPROVED|03/12/1992|0|0|0|0|0|0
Miami Regional Office| 113784|801-61028|CAMARDA FINANCIAL ADVISORS,INC.|CAMARDA FINANCIAL ADVISORS,INC.|4371 US HIGHWAY 17 SOUTH|SUITE 201|ORANGE PARK FL 32003|USA|||  ||KIMBERLY K. CAMARDA|904-278-1177|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/02/2002|0|0|0|0|0|0
Miami Regional Office| 113833|801-29099|SLAVIC MUTUAL FUNDS MANAGEMENT CORP.|SLAVIC MUTUAL FUNDS MANAGEMENT CORP.|1075 BROKEN SOUND PARKWAY NW|SUITE 100|BOCA RATON FL 33487-3540|USA|||  ||DANIEL G. CARLEN|561-241-9244|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|04/03/1987|0|1|0|0|0|0
Miami Regional Office| 113958|801-60545|WILLIAMS INVESTMENT MANAGEMENT, INC.|WILLIAMS INVESTMENT MANAGEMENT, INC.|6935 DATE PALM AVENUE SOUTH||ST. PETERSBURG FL 33707|USA|P.O. BOX 66115||ST.PETE BEACH FL 33736|USA|DANNY C. WILLIAMS|727-343-6062|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/31/2001|0|0|0|0|0|0
Miami Regional Office| 113982|801-61033|STRATEGIC WEALTH MANAGEMENT GROUP, INC.|STRATEGIC WEALTH MANAGEMENT GROUP, INC.|701 COLORADO AVE.||STUART FL 34994|USA|||  ||KIMBERLY MARTIN|772-600-0084|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|04/12/2002|0|0|0|0|0|0
Miami Regional Office| 114052|801-60478|STATETRUST CAPITAL, LLC.|STATETRUST CAPITAL, LLC.|800 BRICKELL AVENUE|SUITE 103|MIAMI FL 33131|USA|||  ||JEFFREY CIMBAL|305-921-8100|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/10/2001|0|0|0|0|0|0
Miami Regional Office| 114383|801-60572|CPA GROUP INVESTMENT MANAGEMENT, LLC|CPA GROUP INVESTMENT MANAGEMENT, LLC|501 WEST 19TH STREET||PANAMA CITY FL 32405|USA|P.O. BOX 1100||PANAMA CITY FL 32402|USA|JERRY K. MARLER|850-769-9491|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|09/14/2001|0|0|0|0|0|0
Miami Regional Office| 115077|801-61337|THE COMMONWEALTH GROUP, INC|THE COMMONWEALTH GROUP, INC|551 N.W. 77TH STREET|SUITE 101|BOCA RATON FL 33487|USA|||  ||MARNIE M MCGRATH|561-994-3212|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|07/26/2002|0|0|0|0|0|0
Miami Regional Office| 115344|801-60690|WERTZ YORK CAPITAL MANAGEMENT GROUP, LLC|WERTZ YORK CAPITAL MANAGEMENT GROUP, LLC|5502 NORTH NEBRASKA AVE||TAMPA FL 33604|USA|||  ||MITCHELL P. YORK|813-932-2750|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/23/2001|0|0|0|0|0|0
Miami Regional Office| 116156|801-68145|JOSEPH CAPITAL MANAGEMENT, LLC|JOSEPH CAPITAL MANAGEMENT, LLC|2450 N. CITRUS HILLS BLVD.||HERNANDO FL 34442-5348|USA|||  ||RONALD ALAN RHOADES|352-746-4460|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters, Other|APPROVED|07/11/2007|0|0|0|0|0|0
Miami Regional Office| 116251|801-63498|RAINEY & RANDALL INVESTMENT MANAGEMENT, INC.|RAINEY & RANDALL INVESTMENT MANAGEMENT, INC.|1301 66TH STREET NORTH||ST. PETERSBURG FL 33710|USA|||  ||ROBERT D. CASE|727-344-7711|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|09/16/2004|0|0|0|0|0|0
Miami Regional Office| 116604|801-60851|MARQUIS WEALTH MANAGEMENT GROUP|MNS FINANCIAL  MANAGEMENT, L.L.C.|6216 WHISKEY CREEK DRIVE|SUITE A|FT. MYERS FL 33919|USA|||  ||RICHARD E. KRICHBAUM|(239) 454-1117|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/15/2002|0|0|0|0|0|0
Miami Regional Office| 116847|801-62634|CHARTER CAPITAL MANAGEMENT, LLC|CHARTER CAPITAL MANAGEMENT, LLC|1513 ISLAND GREEN DRIVE||DESTIN FL 32550|USA|||  ||STEVEN M. BRUCE|850-502-4290|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/02/2004|0|0|0|0|0|0
Miami Regional Office| 117284|801-61889|MERCANTIL COMMERCEBANK INVESTEMENT SERVICES, INC.|MERCANTIL COMMERCEBANK INVESTEMENT SERVICES, INC.|220 ALHAMBRA CIRCLE, PENTHOUSE FLOOR||CORAL GABLES FL 33134|USA|||  ||JOSE PERICH|305-460-4030|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/09/2002|0|0|0|0|0|0
Miami Regional Office| 117642|801-60746|DELRAY FINANCIAL CORPORATION|DELRAY FINANCIAL CORPORATION|132 SEASHORE DR||JUPITER FL 33477|USA|4521 PGA BLVD|#265|PALM BEACH GARDENS FL 33418|USA|JOHN N. BREAZEALE|561.313.9595|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Market timing services|APPROVED|12/20/2001|0|0|0|0|0|0
Miami Regional Office| 117768|801-68244|FLEISHEL FINANCIAL ASSOCIATES, INC.|FLEISHEL FINANCIAL ASSOCIATES, INC.|812 NORTH WOODLAND BLVD.||DELAND FL 32720|USA|||  ||MARY E. LEONE|(386)738-1800|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/23/2007|0|0|0|0|0|0
Miami Regional Office| 118364|801-60871|CASTLE WEALTH MANAGEMENT|P.F.S. ADVISORS L.C.|420 COLUMBIA DRIVE|SUITE 107|WEST PALM BEACH FL 33409|USA|||  ||CHRISTINA WORLEY|561-686-9604|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|01/22/2002|0|0|0|0|0|0
Miami Regional Office| 118679|801-61177|FOLDES FINANCIAL MANAGEMENT, INC.|FOLDES FINANCIAL MANAGEMENT, INC.|9130 SOUTH DADELAND BOULEVARD|SUITE 1903|MIAMI FL 33156|USA|||  ||STEVEN MICHAEL FOLDES|305-670-0545|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/30/2002|0|0|0|0|0|0
Miami Regional Office| 118793|801-62030|FINANCIAL MANAGEMENT CONCEPTS|FINANCIAL MANAGEMENT CONCEPTS|1700 TOWN PLAZA COURT||WINTER SPRINGS FL 32708|USA|||  ||BRIAN LEE FRICKE|407-647-7006|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/20/2003|0|0|0|0|0|0
Miami Regional Office| 118889|801-60936|INTEGRATED ASSET MANAGEMENT, LLC|INTEGRATED ASSET MANAGEMENT, LLC|7336 DELAINEY COURT||SARASOTA FL 34240|USA|||  ||KENNETH HIMMLER|941-907-0700|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|02/28/2002|0|0|0|0|0|0
Miami Regional Office| 118920|801-62697|JOHN DESSAUER INVESTMENTS, INC.|JOHN DESSAUER INVESTMENTS, INC.|8679 BLUE FLAG WAY||NAPLES FL 34109|USA|||  ||JOHN DESSAUER|239-597-0880|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/26/2004|0|0|0|0|0|0
Miami Regional Office| 119232|801-60987|INTECH|ENHANCED INVESTMENT TECHNOLOGIES LLC|2401 PGA BOULEVARD, SUITE 100||PALM BEACH GARDENS FL 33410|USA|||  ||PATRICIA E. FLYNN|561-775-1100|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/28/2002|0|5|1|0|0|0
Miami Regional Office| 119275|801-61071|RIVERPLACE ANALYTICS, LLC|RIVERPLACE ANALYTICS, LLC|1301 RIVERPLACE BLVD SUITE 2130||JACKSONVILLE FL 32207|USA|||  ||C. RONALD BELTON|(904) 346-3460|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/16/2002|0|0|0|0|0|0
Miami Regional Office| 119313|801-61955|KHD FINANCIAL|KHD FINANCIAL CORP.|1200 BRICKELL AVENUE, SUITE 700||MIAMI FL 33131|USA|||  ||STEPHEN G. DANNER|305.710.6266|Corporation|Financial planning services, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|03/31/2003|0|0|0|0|0|0
Miami Regional Office| 119576|801-61140|LUMA CAPITAL|LUMA CAPITAL LLC|1167 THIRD STREET, SOUTH|SUITE 108|NAPLES FL 34102|USA|||  ||DANIEL N. KELLER|239-659-2888|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|05/21/2002|0|0|0|0|0|0
Miami Regional Office| 120084|801-61126|GUNN & COMPANY INVESTMENT MANAGEMENT, INC.|GUNN & COMPANY INVESTMENT MANAGEMENT, INC.|4887 BELFORT ROAD|SUITE 203|JACKSONVILLE FL 32256|USA|||  ||SUSAN KELLY|904-296-2025|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/09/2002|0|0|0|0|0|0
Miami Regional Office| 120420|801-61381|INDEPENDENT PORTFOLIO CONSULTANTS, INC.|INDEPENDENT PORTFOLIO CONSULTANTS, INC.|5002 T-REX AVENUE|SUITE 225|BOCA RATON FL 33431|USA|||  ||FREDERICK S. JOYCE|561-912-1040|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/09/2002|0|0|0|0|0|0
Miami Regional Office| 120593|801-61191|AHL INVESTMENT MANAGEMENT, INC.|AHL INVESTMENT MANAGEMENT, INC.|427 S. NEW YORK AVE SUITE 202||WINTER PARK FL 32789|USA|PO BOX 3112||WINTER PARK FL 32790|USA|RICHARD A. AHL, JR.|407-740-8327|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/23/2002|0|0|0|0|0|0
Miami Regional Office| 120957|801-61272|SOVEREIGN INTERNATIONAL ASSET MGMT INC|SOVEREIGN INTERNATIONAL ASSET MGMT INC|1312 ALTERNATE 19||PALM HARBOR FL 34683|USA|||  ||LARRY C. GROSSMAN|727-784-4841|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|06/21/2002|0|0|0|0|0|0
Miami Regional Office| 120990|801-61305|CERTIFIED ADVISORY CORP|CERTIFIED ADVISORY CORP|1111 DOUGLAS AVENUE||ALTAMONTE SPRINGS FL 32714-2033|USA|||  ||BARRY M. SMITH|407-869-9800|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/23/2002|0|4|0|0|0|0
Miami Regional Office| 121048|801-61319|FLORIDA INVESTMENT ADVISORY SERVICES|FLORIDA INVESTMENT ADVISORY SERVICES, INC.|222 PALM CT SUITE B||DELRAY BEACH FL 33444|USA|||  ||BERTON BROWN|561-393-6900|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Market timing services|APPROVED|08/16/2002|0|1|3|0|0|0
Miami Regional Office| 121061|801-69198|COMPREHENSIVE MONEY MANAGEMENT SERVICES LLC|COMPREHENSIVE MONEY MANAGEMENT SERVICES LLC|535 VILABELLA AVENUE||CORAL GABLES FL 33146-1717|USA|||  ||WILLIAM R NEUBAUER|305-662-7757|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|05/28/2008|0|0|0|0|0|0
Miami Regional Office| 121554|801-61349|GULF COAST INVESTMENT MANAGEMENT|GULF COAST INVESTMENT MANAGEMENT, LLC|23064 TREE CREST COURT||BONITA SPRINGS FL 34135|USA|PMB 330|24600 S. TAMIAMI TR. STE. 212|BONITA SPRINGS FL 34134|USA|ALLEN C. POST|239-992-0931|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|08/02/2002|0|0|0|0|0|0
Miami Regional Office| 121776|801-68272|TAYLOR & WILLIAMS, INC.|TAYLOR & WILLIAMS, INC.|288 CRYSTAL GROVE BLVD.||LUTZ FL 33548|USA|||  ||MR. BRENT L. WILLIAMS|813-936-0222|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/16/2007|0|0|0|0|0|0
Miami Regional Office| 121923|801-61733|CYPRESS CAPITAL GROUP|CYPRESS CAPITAL GROUP, INC.|218 ROYAL PALM WAY||PALM BEACH FL 33480|USA|||  ||GARY A. DAUGHERTY|561-820-2922|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/16/2003|0|0|1|0|0|0
Miami Regional Office| 122137|801-67673|KAIZEN MANAGED ASSETS, INC.|KAIZEN MANAGED ASSETS, INC.|501 MANDALAY AVENUE|#803|CLEARWATER BEACH FL 33767|USA|||  ||ROBERT R. WOOD|727-461-9506|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|03/23/2007|0|0|0|0|0|0
Miami Regional Office| 122199|801-61665|CREDICORP SECURITIES, INC.|CREDICORP SECURITIES, INC.|121 ALHAMBRA PLAZA|STE 1200|CORAL GABLES FL 33134|USA|||  ||MARIA E. PEREZ|305-446-4446|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|12/12/2002|0|0|0|0|0|0
Miami Regional Office| 122448|801-61413|MAGNUS CAPITAL MANAGEMENT, LLC|MAGNUS CAPITAL MANAGEMENT, LLC|350 FIFTH AVENUE SOUTH|SUITE 203|NAPLES FL 34102|USA|||  ||CRAIG LYON|239-262-8501|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|08/28/2002|0|0|0|0|0|0
Miami Regional Office| 122736|801-68131|FAMILY FINANCIAL STRATEGIES, INC.|FAMILY FINANCIAL STRATEGIES, INC.|6151 LAKE OSPREY DRIVE|SUITE 300|SARASOTA FL 34240|USA|||  ||LYDIA J. KOLBAS|941-907-4252|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/13/2007|0|0|0|0|0|0
Miami Regional Office| 123116|801-61586|AMERICAN ASSET MANAGEMENT INC.|AMERICAN ASSET MANAGEMENT INC.|5355 TOWN CENTER ROAD|STE 1001|BOCA RATON FL 33486|USA|||  ||TERRY RUBINSTEIN|561-955-8500|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|11/07/2002|0|0|0|0|0|0
Miami Regional Office| 123303|801-61582|FPC SERVICES, INC.|FPC SERVICES, INCORPORATED|5709 JOHNS RD. SUITE 1200||TAMPA FL 33634|USA|||  ||PATRICK A. DERAMUS|813-290-0820|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|07/25/2005|0|1|2|0|0|0
Miami Regional Office| 123503|801-66524|FRANTZEN CAPITAL MANAGEMENT, INC.|FRANTZEN CAPITAL MANAGEMENT, INC.|302 KNIGHTS RUN AVE.|SUITE 930|TAMPA FL 33602|USA|||  ||ERIC FRANTZEN|813-223-6400|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/25/2006|0|0|0|0|0|0
Miami Regional Office| 123508|801-64203|INGRAM ADVISORY SERVICES, LLC|INGRAM ADVISORY SERVICES, LLC|799 OVERLOOK DRIVE||WINTER HAVEN FL 33884|USA|||  ||ALLEN THOMAS|863-326-9833|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|04/19/2005|0|0|0|0|0|0
Miami Regional Office| 123748|801-61563|ULLMANN FINANCIAL GROUP, INC.|ULLMANN FINANCIAL GROUP, INC.|5000 SAWGRASS CIRCLE|SUITE 25|PONTE VEDRA BEACH FL 32082|USA|||  ||GLENN M. ULLMANN|904-280-3700|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|10/25/2002|0|0|0|0|0|0
Miami Regional Office| 123861|801-61562|NMF ASSET MANAGEMENT, LLC|NMF ASSET MANAGEMENT, LLC|815 COLORADO AVENUE||STUART FL 34994|USA|||  ||NOLA FALCONE|772-221-2651|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|11/06/2002|0|0|0|0|0|0
Miami Regional Office| 124152|801-68983|MOSELEY INVESTMENT MANAGEMENT, INC.|MOSELEY INVESTMENT MANAGEMENT, INC.|1724 MANATEE AVENUE W||BRADENTION FL 34205|USA|||  ||DINA MALIZIA|941-745-2799|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|04/01/2008|0|0|0|0|0|0
Miami Regional Office| 124162|801-64457|QFA, LLC|QFA, LLC|3033 RIVIERA DRIVE|SUITE 101|NAPLES FL 34103|USA|||  ||JAMES R. NEHER|239-435-0777|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/08/2005|0|0|0|0|0|0
Miami Regional Office| 124185|801-61691|ANDERSON, RILEY & SPOOR, PA|ANDERSON, RILEY & SPOOR, PA|6830 CENTRAL AVENUE|SUITE A|ST. PETERSBURG FL 33707|USA|||  ||ANTHONY A. ANDERSON|727-322-7681|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|01/10/2003|0|0|0|0|0|0
Miami Regional Office| 124627|801-62048|WHITESTAR ADVISORS, LLC|WHITESTAR ADVISORS, LLC|902 CLINT MOORE ROAD|SUITE 220|BOCA RATON FL 33487|USA|||  ||JAMES E. BISHOP|561-999-9949|Limited Liability Company|Pension consulting services, Selection of other advisers, Other|APPROVED|05/09/2003|0|0|0|0|0|0
Miami Regional Office| 124640|801-61854|SENTINEL FIDUCIARY SERVICES, LLC|SENTINEL FIDUCIARY SERVICES, LLC|340 W. CENTRAL AVENUE|SUITE 300|WINTER HAVEN FL 33880|USA|||  ||JOSEPH R. BOGDAHN|863-293-8289|Limited Liability Company|Pension consulting services, Selection of other advisers|APPROVED|03/04/2003|0|0|0|0|0|0
Miami Regional Office| 124689|801-63621|SARASOTA ASSET MANAGEMENT, INC.|SARASOTA ASSET MANAGEMENT, INC.|1270 ORANGE AVENUE|STE E|WINTER PARK FL 32789|USA|||  ||MICHAEL P. TRACY|941-923-4909|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|11/12/2004|0|0|0|0|0|0
Miami Regional Office| 124815|801-61788|E. BATOFF & CO., INC.|E. BATOFF & CO., INC.|16425 COLLINS AVE||SUNNY ISLES BEACH FL 33160|USA|||  ||EDWARD BATOFF|305-948-4818|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|02/03/2003|0|0|0|0|0|0
Miami Regional Office| 124989|801-61768|VINOY CAPITAL, LLC|VINOY CAPITAL, LLC|1270 ORANGE AVENUE|SUITE E|WINTER PARK FL 32789|USA|||  ||THEODORE SPENCER RICH|407-599-1104|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/29/2003|0|0|0|0|0|0
Miami Regional Office| 125092|801-63278|BARRON ASSET MANAGEMENT, INC.|BARRON ASSET MANAGEMENT, INC.|1601 WEST PLATT STREET||TAMPA FL 33606|USA|||  ||WALLACE EDWARD SUTTON|813-254-9500|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|07/13/2004|0|2|0|0|0|0
Miami Regional Office| 125186|801-61941|COMPASS FINANCIAL GROUP, INC.|COMPASS FINANCIAL GROUP, INC.|665 S.E. 10TH STREET|SUITE 202|DEERFIELD FL 33441|USA|||  ||BLAIR SHEIN|954-481-2607|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|04/07/2003|0|0|0|0|0|0
Miami Regional Office| 125247|801-61826|ACCESS FUND MANAGEMENT, LLC|ACCESS FUND MANAGEMENT, LLC|20 WOODGLEN CT.||OLDSMAR FL 34677|USA|||  ||MICHAEL V. WILLIAMS|813-425-4712|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/14/2003|0|0|0|0|0|0
Miami Regional Office| 125272|801-61827|WALL FOSS ADVISORS, INC.|WALL FOSS ADVISORS, INC.|225 EAST LEMON STREET|SUITE 205|LAKELAND FL 33801|USA|||  ||HOSLER LEE WALL III|863-683-0708|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|02/14/2003|0|0|0|0|0|0
Miami Regional Office| 125444|801-69176|BARR FINANCIAL SERVICES, LLC|BARR FINANCIAL SERVICES, LLC|400 W. MORSE BOULEVARD|SUITE 220|WINTER PARK FL 32789|USA|||  ||KIRK B. YOUNG|407-622-0018|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|05/13/2008|0|0|0|0|0|0
Miami Regional Office| 125538|801-68498|FARNSLEY FINANCIAL CONSULTANTS|FARNSLEY FINANCIAL CONSULTANTS, LLC|202 MARINA DRIVE|SUITE 303|PORT ST. JOE FL 32456|USA|||  ||AARON FARNSLEY|850-227-3336|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|11/21/2007|0|0|0|0|0|0
Miami Regional Office| 125708|801-61900|WASHBURN CAPITAL MANAGEMENT INC.|WASHBURN CAPITAL MANAGEMENT INC.|3755 7TH TERRACE SUITE 302B||VERO BEACH FL 32960|USA|||  ||ROBERT E. WASHBURN|772 231-4998|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/20/2003|0|0|0|0|0|0
Miami Regional Office| 125798|801-62005|FIDELITY FEDERAL BANK & TRUST|FIDELITY FEDERAL BANK & TRUST|218 DATURA STREET||WEST PALM BEACH FL 33401|USA|||  ||DOUGLAS M. BRASH|561-659-9932|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|04/22/2003|0|0|0|0|0|0
Miami Regional Office| 125799|801-67132|WEALTH CARE LLC|WEALTH CARE LLC|405 SIMS WAY||MERRITT ISLAND FL 32952|USA|||  ||STEPHEN D. PODNOS|321-459-3775|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|09/08/2006|0|0|0|0|0|0
Miami Regional Office| 125811|801-64879|PEARSON CAPITAL, INC.|PEARSON CAPITAL, INC.|6431 RUBIA CIRCLE||APOLLO BEACH FL 33572|USA|P.O. BOX 3739||APOLLO BEACH FL 33572|USA|DONALD E. PEARSON|813-641-7575|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|11/17/2005|0|0|0|0|0|0
Miami Regional Office| 125951|801-68409|SARASOTA CAPITAL STRATEGIES,INC.|SARASOTA CAPITAL STRATEGIES,INC.|460 SOUTH TAMIAMI TRAIL||OSPREY FL 34229|USA|||  ||IAN NAISMITH|941-918-2255|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|10/12/2007|0|0|0|0|0|0
Miami Regional Office| 126163|801-63396|EUROCAPITAL ADVISORS, INC.|EUROCAPITAL ADVISORS, INC.|1001, BRICKELL BAY DRIVE|SUITE 2406|MIAMI FL 33131|USA|||  ||PATRICIO DIEZ|786-621-5858|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Publication of periodicals or newsletters, Other|APPROVED|08/19/2004|0|0|0|0|0|0
Miami Regional Office| 126173|801-68632|CAPITAL MANAGEMENT INVESTOR SERVICES, INC.|CAPITAL MANAGEMENT INVESTOR SERVICES, INC.|1221 BRICKELL AVE|9TH FLOOR|MIAMI FL 33131|USA|||  ||DAVID KOVACH|561-361-2833|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/02/2008|0|0|0|0|0|0
Miami Regional Office| 126242|801-63461|ASSET PLANNING CORPORATION|ASSET PLANNING CORPORATION|1615 FORUM PLACE|SUITE 1A|W. PALM BEACH FL 33401|USA|||  ||SHEILA J. HIRSCH|561-689-5724|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|09/02/2004|0|0|0|0|0|0
Miami Regional Office| 126603|801-62333|KR FINANCIAL SERVICES, INC.|KR FINANCIAL SERVICES, INC.|4000 HOLLYWOOD BOULEVARD|SUITE 215 SOUTH|HOLLYWOOD FL 33021-6754|USA|||  ||JEFFREY B. KOCH|954-989-7462|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|09/05/2003|0|0|0|0|0|0
Miami Regional Office| 126641|801-62031|BOTT-ANDERSON PARTNERS, INC|BOTT-ANDERSON PARTNERS, INC.|135 PROFESSIONAL DRIVE|SUITE 106|PONTE VEDRA FL 32082-7228|USA|||  ||GERALD F. BOTT|(904) 280-8995|Corporation|Pension consulting services, Selection of other advisers|APPROVED|05/09/2003|0|1|0|0|0|0
Miami Regional Office| 126717|801-64311|FAMILY OFFICE INVESTMENT ADVISORS LLC|FAMILY OFFICE INVESTMENT ADVISORS LLC|501 BRICKELL KEY DRIVE|SUITE 400|MIAMI FL 33131|USA|||  ||LUIS BETHART|305-371-4848|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/14/2005|0|0|0|0|0|0
Miami Regional Office| 126992|801-64116|YALE CAPITAL CORP.|YALE CAPITAL CORP.|COAST BANK 111 SECOND AVE NE|SUITE 503|ST. PETERSBURG FL 33701|USA|||  ||CATHERINE CHESHIRE|727-823-0006|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Selection of other advisers, Other|APPROVED|04/08/2005|0|0|0|0|0|0
Miami Regional Office| 127007|801-62142|STRATUM WEALTH MANAGEMENT LLC|STRATUM WEALTH MANAGEMENT LLC|2101 NW CORPORATE BLVD.|STE. 211|BOCA RATON FL 33431|USA|||  ||CHARLES GANZ|561-912-9450|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|06/19/2003|0|0|1|0|0|0
Miami Regional Office| 127015|801-62063|ATLANTIC ADVISORS LLC|ATLANTIC ADVISORS LLC|1560 N. ORANGE AVENUE|SUITE 150|WINTER PARK FL 32789|USA|||  ||BENNET SEDACCA|407-998-8788|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|05/16/2003|0|0|0|0|0|0
Miami Regional Office| 127025|801-62809|H.S. DENT INVESTMENT MANAGEMENT, LLC|H.S. DENT INVESTMENT MANAGEMENT, LLC|15310 AMBERLY DRIVE|SUITE 165|TAMPA FL 33647|USA|||  ||RODNEY JOHNSON|813-514-6764|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/27/2004|0|0|0|0|0|0
Miami Regional Office| 127223|801-62406|TRUST HOUSE, INC.|TRUST HOUSE, INC.|4901 NORTH FEDERAL HWY.|SUITE 300|FT. LAUDERDALE FL 33308|USA|||  ||ROBERT WEST|954-351-2088|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/26/2003|0|0|0|0|0|0
Miami Regional Office| 127258|801-62162|BCOM INVESTMENT ADVISER, LLLP|BCOM INVESTMENT ADVISER, LLLP|1200 BRICKELL AVENUE SUITE 1720||MIAMI FL 33131|USA|||  ||RICHARD PELL|(305) 398-4014|Other (specify)|Other|APPROVED|07/21/2004|0|0|0|0|0|0
Miami Regional Office| 127293|801-67231|ALLEGIANCE FINANCIAL ADVISORS, INC.|ALLEGIANCE FINANCIAL ADVISORS, INC.|3112 ST. JOHNS BLUFF ROAD SOUTH||JACKSONVILLE FL 32246|USA|||  ||TAMMARA A. TOTON|904-642-4401|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|10/16/2006|0|0|0|0|0|0
Miami Regional Office| 127397|801-62535|OTTER CREEK MANAGEMENT, INC.|OTTER CREEK MANAGEMENT, INC.|222 LAKEVIEW AVENUE|SUITE 1130|WEST PALM BEACH FL 33401|USA|||  ||JOSEPH W. O'NEILL, JR.|561-832-4110|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/18/2003|0|0|0|0|0|0
Miami Regional Office| 127448|801-68313|ATLAS ONE FINANCIAL ADVISORS, LLC|ATLAS ONE CAPITAL MANAGEMENT, LLC|200 SOUTH BISCAYNE BOULEVARD|SUITE 4400|MIAMI FL 33131|USA|||  ||JORGE KALB|305-960-4890|Limited Liability Company|Other|APPROVED|09/13/2007|0|0|0|0|0|0
Miami Regional Office| 127528|801-63034|SKY BELL ASSET MANAGEMENT, LLC|SKY BELL ASSET MANAGEMENT, LLC|450 KNIGHTS RUN AVE, SUITE 1906||TAMPA FL 33602|USA|||  ||GEOFFREY M. GOTSCH|(813) 792-5877|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/21/2004|0|0|0|0|0|0
Miami Regional Office| 127618|801-68524|LEXINGTON INVESTMENT COUNSEL|LEXINGTON FAMILY OFFICE, LLC|444 SEABREEZE BLVD.|SUITE 890|DAYTONA BEACH FL 32118|USA|||  ||RYAN S. BIRD|866-802-4132|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|11/20/2007|0|0|0|0|0|0
Miami Regional Office| 128000|801-62373|O'SULLIVAN CREEL WEALTH ADVISORS, LLP|O'SULLIVAN CREEL WEALTH ADVISORS, LLP|316 SOUTH BAYLEN STREET|SUITE 300|PENSACOLA FL 32501|USA|P.O. BOX 12646||PENSACOLA FL 32591-2646|USA|DANIEL KOPACK, JR.|850-444-7213|Limited Liability Partnership|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|09/26/2003|0|0|0|0|0|0
Miami Regional Office| 128036|801-62324|RUTHERFORD ASSET PLANNING, INC.|RUTHERFORD ASSET PLANNING, INC.|5150 TAMIAMI TRAIL NORTH|SUITE 204|NAPLES FL 34103|USA|||  ||SUZZETTE|239-261-3344|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|09/17/2003|0|0|0|0|0|0
Miami Regional Office| 128059|801-62274|GFG CAPITAL|GFG CAPITAL, LLC|701 BRICKELL AVENUE|SUITE 1730|MIAMI FL 33131|USA|||  ||EDUARDO GRUENER|(305)810-6500|Limited Liability Company|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|08/22/2003|0|0|0|0|0|0
Miami Regional Office| 128220|801-68304|COLLINS CAPITAL MANAGEMENT, INC.|COLLINS CAPITAL MANAGEMENT, INC.|7077 BONNEVAL ROAD, SUITE 340||JACKSONVILLE FL 32216|USA|||  ||SHEILA COLLINS|904-493-7500|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/24/2007|0|0|0|0|0|0
Miami Regional Office| 128391|801-67706|MUGARIAN INVESTMENT GROUP, LLC|MUGARIAN INVESTMENT GROUP, LLC|4460 LA JOLLA||PENSACOLA FL 32504|USA|||  ||JOHN M. MUGARIAN|850-484-2472|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|03/30/2007|0|0|0|0|0|0
Miami Regional Office| 128560|801-67745|PRIVATE WEALTH GROUP, LLC|PRIVATE WEALTH GROUP, LLC|100 NORTH TAMPA STREET|SUITE 1910|TAMPA FL 33602|USA|||  ||STEPHEN F. SEGUNDO|813-226-1900|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|04/19/2007|0|0|0|0|0|0
Miami Regional Office| 128637|801-62493|RETAIL INTELLIGENCE GROUP, LLC|RETAIL INTELLIGENCE GROUP, LLC|3922 COCONUT PALM DRIVE|SUITE 300|TAMPA FL 33619|USA|||  ||DEREK S. NOCE|813-627-6958|Limited Liability Company|Portfolio management for investment companies, Publication of periodicals or newsletters, Other|APPROVED|11/20/2003|0|0|0|0|0|0
Miami Regional Office| 128686|801-62439|GUARDIAN CAPITAL LLC|GUARDIAN CAPITAL LLC|3225 AVIATION AVE|SUITE 601|MIAMI FL 33133|USA|||  ||RAINEY SELLARS|305 667 8557|Limited Liability Company|Portfolio management for individuals and/or small businesses, Other|APPROVED|10/20/2003|0|0|0|0|0|0
Miami Regional Office| 128742|801-64120|MARJORIE A MEYER|MEYER MARJORIE ANN|8106 DUKES WOOD CT||UNIVERSITY PARK FL 34201|USA|||  ||MARJORIE MEYER|941-358-3888|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/08/2005|0|0|0|0|0|0
Miami Regional Office| 128929|801-62547|GWN SECURITIES INC.|GWN SECURITIES INC.|11440 NORTH JOG ROAD||PALM BEACH GARDENS FL 33418-3764|USA|||  ||LAURA J COGNETTI|561-472-2710|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Market timing services|APPROVED|01/02/2004|0|0|0|0|0|0
Miami Regional Office| 129429|801-62945|BALDWIN & ASSOCIATES|MARY E. BALDWIN, CFP, PROFESSIONAL ASSOCIATION|1735 W. HIBISCUS BLVD.|SUITE 200|MELBOURNE FL 32901|USA|||  ||MARY BALDWIN|321-722-0511|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/08/2004|0|0|0|0|0|0
Miami Regional Office| 129436|801-62624|DISCIPLINED EQUITY MANAGEMENT, INC.|DISCIPLINED EQUITY MANAGEMENT, INC.|11512 LAKE MEAD AVENUE|SUITE 701|JACKSONVILLE FL 32256|USA|||  ||DON DAVEY|(904) 861-2950|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/02/2004|0|0|0|0|0|0
Miami Regional Office| 129446|801-62556|STEVEN L. POMERANZ FINANCIAL MANAGEMENT, INC.|STEVEN L. POMERANZ FINANCIAL MANAGEMENT, INC.|555 S. FEDERAL HIGHWAY|SUITE 210|BOCA RATON FL 33432|USA|||  ||STEVEN L. POMERANZ|561-362-7850|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/02/2004|0|0|0|0|0|0
Miami Regional Office| 129489|801-69084|CROSSPLAN MONEY MANAGEMENT|PALM INVESTMENT STRATEGIES, LLC|7995 113TH STREET NORTH|SECOND FLOOR|SEMINOLE FL 33772|USA|||  ||JOHN R. PALM|727-398-7900|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/30/2008|0|0|0|0|0|0
Miami Regional Office| 129824|801-62845|DERN CAPITAL MANAGEMENT CORPORATION|DERN CAPITAL MANAGEMENT CORPORATION|7777 GLADES ROAD, SUITE 207A||BOCA RATON FL 33434|USA|||  ||ALVIN DERN|(561) 883-0740|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|03/04/2004|0|0|0|0|0|0
Miami Regional Office| 129915|801-69364|KEATING INVESTMENT MANAGEMENT, LLC|KEATING INVESTMENT MANAGEMENT, LLC|1501 CORPORATE DRIVE|SUITE 280|BOYNTON BEACH FL 33426-6658|USA|||  ||PHILIP J. KEATING|561-733-8277|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|07/03/2008|0|0|0|0|0|0
Miami Regional Office| 129943|801-62910|ARTHUR J. STITES, P.A.|ARTHUR J. STITES, P.A.|4741 ATLANTIC BOULEVARD|SUITE B-1|JACKSONVILLE FL 32207-2168|USA|||  ||MARY E. SEE|(904)399-8011|Corporation|Portfolio management for individuals and/or small businesses, Other|APPROVED|03/15/2004|0|0|0|0|0|0
Miami Regional Office| 129972|801-62688|SCOTT WHITE ADVISORS|A. SCOTT WHITE, FINANCIAL PLANNER|1510 ROYAL PALM SQUARE BLVD|SUITE 103|FORT MYERS FL 33919-1068|USA|||  ||LINDA|239-936-6300|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|01/15/2004|0|0|0|0|0|0
Miami Regional Office| 130380|801-65039|FLINT FINANCIAL INVESTMENTS MANAGEMENT CORPORATION|FLINT FINANCIAL INVESTMENTS MANAGEMENT CORPORATION|12629 NEW BRITTANY BOULEVARD||FORT MYERS FL 33907|USA|||  ||SHERRI L. HYNDEN|239-936-2777|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/03/2006|0|0|0|0|0|0
Miami Regional Office| 130406|801-63135|BURNS FINANCIAL MANAGEMENT, INC.|BURNS FINANCIAL MANAGEMENT, INC.|1208 U. S. HIGHWAY 1, SUITE A||NORTH PALM BEACH FL 33408|USA|1208 U. S. HIGHWAY 1, SUITE A||NORTH PALM BEACH FL 33408|USA|MARVA F. HYDE|561-624-3210|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/17/2004|0|1|0|0|0|0
Miami Regional Office| 130539|801-62842|BANYAN REALTY ADVISORS, LLC|BANYAN REALTY ADVISORS, LLC|495 N. KELLER ROAD|SUITE 301|MAITLAND FL 32751|USA|495 N. KELLER ROAD, SUITE 301||MAITLAND FL 32751|USA|LOUIS E. VOGT|407-478-1294|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/25/2004|0|0|0|0|0|0
Miami Regional Office| 130716|801-62896|UHLER AND VERTICH FINANCIAL PLANNERS|UHLER AND VERTICH FINANCIAL PLANNERS, LLC|1510 ROYAL PALM SQUARE BOULEVARD|#103|FORT MYERS FL 33919-1068|USA|||  ||THOMAS UHLER|239-936-6300|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|03/12/2004|0|0|0|0|0|0
Miami Regional Office| 130729|801-67680|CS ADVISORS INC.|CS ADVISORS INC.|3600 FAU BLVD|SUITE 207|BOCA RATON FL 33431|USA|||  ||STEVEN SHERMAN|561-353-1604|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|03/22/2007|0|0|0|0|0|0
Miami Regional Office| 130814|801-68448|NEWBRIDGE FINANCIAL SERVICES GROUP, INC.|NEWBRIDGE FINANCIAL SERVICES GROUP, INC.|1451 W. CYPRESS CREEK ROAD|SUITE 204|FT. LAUDERDALE FL 33309|USA|||  ||ROBIN F. BUSH|954-334-3450|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|11/06/2007|0|3|0|0|0|0
Miami Regional Office| 130833|801-63124|CURTIS WEALTH MANAGEMENT GROUP, LLC|CURTIS WEALTH MANAGEMENT GROUP, LLC|1819 MAIN STREET|SUITE 603|SARASOTA FL 34236|USA|||  ||MICHELLE P. CURTIS|941-953-6602|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/14/2004|0|0|0|0|0|0
Miami Regional Office| 130889|801-62976|GULFSTREAM CAPITAL MANAGEMENT,LLC|GULFSTREAM CAPITAL MANAGEMENT,LLC|150 SECOND AVENUE NORTH|SUITE 660|ST. PETERSBURG FL 33701-3346|USA|||  ||S. BRADLEY MELL|908-273-4550|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|04/14/2004|0|1|0|0|0|0
Miami Regional Office| 131138|801-63403|KIRTLAND FINANCIAL MANAGEMENT, INC.|KIRTLAND FINANCIAL MANAGEMENT, INC.|201 SEVILLA AVE|SUITE 210|CORAL GABLES FL 33134|USA|||  ||MARY D. KIRTLAND|305-648-0006|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|07/30/2004|0|0|0|0|0|0
Miami Regional Office| 131194|801-63234|INCA INVESTMENTS, LLC|INCA INVESTMENTS, LLC|9350 SOUTH DIXIE HIGHWAY|SUITE 1470|MIAMI FL 33156|USA|||  ||MERCEDES PINTO|305-670-2289|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|06/18/2004|0|0|0|0|0|0
Miami Regional Office| 131260|801-63207|DANIEL DEVINE & COMPANY|DANIEL DEVINE & COMPANY|365 SE 6TH AVE., S-305||DELRAY BEACH FL 33483-5297|USA|7220 W. CYPRESSHEAD DRIVE||PARKLAND FL 33067-2310|USA|DANIEL DEVINE|561-279-1258|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/03/2004|0|0|0|0|0|0
Miami Regional Office| 131287|801-63112|SPRINGTREE CAPITAL MANAGEMENT, LLC|SPRINGTREE CAPITAL MANAGEMENT, LLC|4324 NW 27TH TER||GAINESVILLE FL 32605|USA|||  ||DAVID BRADFORD WALLE|352-328-9384|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED-120|05/18/2004|0|0|0|0|0|0
Miami Regional Office| 131507|801-67162|NORTHSTAR FINANCIAL PLANNERS, INC.|NORTHSTAR FINANCIAL PLANNERS, INC.|278 S. UNIVERSITY DRIVE||PLANTATION FL 33324|USA|||  ||ALLEN P. GIESE|954-693-0030|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/18/2006|0|0|0|0|0|0
Miami Regional Office| 131528|801-63409|CARL DOMINO INC.|CARL DOMINO INC.|251 ROYAL PALM WAY|SUITE 601|PALM BEACH FL 33480|USA|||  ||MICHAEL DIXON|561-833-2882|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|08/06/2004|0|0|0|0|0|0
Miami Regional Office| 131558|801-69448|UNIVERSAL FINANCIAL SERVICES INC.|UNIVERSAL FINANCIAL SERVICES INC.|METRO OFFICE PARK|STREET #1, LOT 10|GUAYNABO PR 00922|USA|||  ||M CASSANDRA WEBB|787-706-7337|Corporation|Other|APPROVED|07/31/2008|0|0|0|0|0|0
Miami Regional Office| 131876|801-68991|INTEGRITAS ADVISORS|INTEGRITAS INVESTMENT GROUP, LLC|340 ROYAL PALM WAY|SUITE 101|PALM BEACH FL 33480|USA|||  ||CHARLES RANSON|561-837-8051|Limited Liability Company|Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|03/31/2008|0|0|0|0|0|0
Miami Regional Office| 131934|801-63245|INTL CONSILIUM, LLC|INTL CONSILIUM, LLC|350 EAST LAS OLAS BLVD|SUITE 1250|FORT LAUDERDALE FL 33301|USA|||  ||MARTA NOVICK|954-315-9386|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/18/2004|0|0|0|0|0|0
Miami Regional Office| 132070|801-63282|GLOBAL FINANCIAL PRIVATE CAPITAL, LLC|GLOBAL FINANCIAL PRIVATE CAPITAL, LLC|2080 RINGLING BOULEVARD|SECOND FLOOR|SARASOTA FL 34237|USA|||  ||GEOFFREY A. FRAZIER|941-918-0507|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|07/12/2004|0|0|0|0|0|0
Miami Regional Office| 132080|801-64752|MONEY PROFESSIONALS, LLC|MONEY PROFESSIONALS, LLC|625 EAST ROMANA STREET||PENSACOLA FL 32502-6111|USA|||  ||DONNA K. JORDAN|850-433-5830|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/13/2005|0|1|0|0|0|0
Miami Regional Office| 132210|801-63787|LONDON AND CAPITAL INVESTMENT ADVISORS, INC.|LONDON AND CAPITAL INVESTMENT ADVISORS, INC.|501 BRICKELL KEY DRIVE|SUITE 507|MIAMI FL 33131|USA|||  ||TONY MCLOUGHLIN|305-373-4333|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/03/2005|0|0|0|0|0|0
Miami Regional Office| 132248|801-68132|SALTMARSH FINANCIAL ADVISORS, L.L.C.|SALTMARSH FINANCIAL ADVISORS, L.L.C.|900 N. 12TH AVENUE||PENSACOLA FL 32501|USA|P.O. DRAWER 13207||PENSACOLA FL 32591-3207|USA|WILLIAM GREGG NOBLE|850-435-8300|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/05/2007|0|0|0|0|0|0
Miami Regional Office| 132300|801-64453|BARTOLF WEALTH ADVISORS, INC.|BARTOLF WEALTH ADVISORS, INC.|1687 W. FREDERICK SMALL RD.||JUPITER FL 33458|USA|||  ||DOUGLAS J. BARTOLF|561-799-0245|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/24/2005|0|0|0|0|0|0
Miami Regional Office| 132889|801-63644|FIDUCIARY CONSULTING GROUP, INC.|FIDUCIARY CONSULTING GROUP, INC.|981 RIDGEWOOD AVE|SUITE 104|VENICE FL 34285|USA|||  ||THOMAS C. TYLER, JR.|941-412-3451|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/03/2005|0|0|0|0|0|0
Miami Regional Office| 132900|801-67986|GREGORY ADVISORS, INC.|GREGORY ADVISORS, INC.|320 WEST KENNEDY BOULEVARD|SUITE 750|TAMPA FL 33606|USA|301 WEST PLATT STREET|#500|TAMPA FL 33606|USA|DAVID M. GRINDEL|813-251-6022|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|06/22/2007|0|0|0|0|0|0
Miami Regional Office| 133000|801-63599|ANGELOTTI/ROSENBERG ASSET MANAGEMENT|ANGELOTTI/ROSENBERG FINANCIAL GROUP, LLC|2 N. TAMIAMI TRAIL|SUITE 310|SARASOTA FL 34236|USA|||  ||EDWARD ROSENBERG|941-366-8806|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/22/2004|0|0|0|0|0|0
Miami Regional Office| 133297|801-64732|JAMES RIVER CAPITAL CORP.|JAMES RIVER CAPITAL CORP.|5001 TAMARIND REEF, SUITE 28||CHRISTIANSTED VI 00820|USA|||  ||KEVIN M. BRANDT|340-719-8803|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|09/16/2005|0|1|0|0|0|0
Miami Regional Office| 133443|801-68140|SARA-BAY FINANCIAL CORP.|SARA-BAY FINANCIAL CORP.|2201 CANTU COURT|SUITE 217|SARASOTA FL 34232|USA|||  ||BENJAMIN HARD|941-371-8027|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/05/2007|0|0|0|0|0|0
Miami Regional Office| 133496|801-63903|BRIAN S. PEARCE, INC.|BRIAN S. PEARCE, INC.|56 FOURTH STREET NORTHWEST SUITE 201||WINTER HAVEN FL 33881|USA|||  ||TISA KNOX|863-299-5808|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|02/04/2005|0|0|0|0|0|0
Miami Regional Office| 133507|801-63869|NESTEGGS, INC.|NESTEGGS RETIREMENT PLAN SERVICES, INC.|2002 SAN MARCO BOULEVARD|SUITE 203|JACKSONVILLE FL 32207|USA|||  ||ROBERT F. SLIMMON|904-348-3131|Corporation|Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|02/10/2005|0|0|0|0|0|0
Miami Regional Office| 133541|801-64524|NCT FINANCIAL SERVICES, LLC|NCT FINANCIAL SERVICES, LLC|1525 INTERNATIONAL PARKWAY|SUITE 2071|LAKE MARY FL 32746|USA|||  ||SALLY HANLEY-WHITWORTH|407-585-1160|Limited Liability Company|Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|07/20/2005|0|0|0|0|0|0
Miami Regional Office| 133676|801-63777|JONES ADVISORY GROUP LLC|JONES ADVISORY GROUP LLC|7701 HOLIDAY DRIVE||SARASOTA FL 34231-5313|USA|||  ||GORDON E. JONES|941-923-4909 X301|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|12/16/2004|0|0|0|0|0|0
Miami Regional Office| 133706|801-64178|RIVER CAPITAL ADVISORS, LC|RIVER CAPITAL ADVISORS, LC|1514 NIRA STREET||JACKSONVILLE FL 32207|USA|||  ||EDWARD P. SCHMITZER|904-398-2075|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/18/2005|0|0|0|0|0|0
Miami Regional Office| 133786|801-63842|QUANTUM FAMILY OFFICE GROUP, LLC|QUANTUM FAMILY OFFICE GROUP, LLC|1001 BRICKELL BAY DRIVE|SUITE 1710|MIAMI FL 33131|USA|||  ||JUAN CARLOS COLLAR|305-403-7880|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/28/2005|0|0|0|0|0|0
Miami Regional Office| 133932|801-63858|ALPINE CAPITAL MANAGEMENT, LLC|ALPINE CAPITAL MANAGEMENT, LLC|711 5TH AVENUE SOUTH|SUITE 212|NAPLES FL 34102|USA|||  ||JAMISON S. SAVAGE|239-325-2200|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/24/2005|0|0|0|0|0|0
Miami Regional Office| 133978|801-66945|NAPLES ASSET MANAGEMENT CO., LLC|NAPLES ASSET MANAGEMENT CO., LLC|23150 FASHION DRIVE|SUITE 231|ESTERO FL 33928|USA|||  ||PAUL J. MCINTYRE|239-593-5525|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|07/05/2006|0|0|0|0|0|0
Miami Regional Office| 134227|801-63933|PMC CAPITAL MANAGEMENT, LLC|GLAXIS CAPITAL MANAGEMENT, LLC|330 SOUTH PINEAPPLE AVENUE|SUITE 203|SARASOTA FL 34236|USA|||  ||MATTHEW MARC MILLER|(941) 556 5333|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|03/04/2005|0|0|0|0|0|0
Miami Regional Office| 134303|801-64298|COUTURE FINANCIAL INC.|COUTURE FINANCIAL INC.|3293 FRUITVILLE ROAD|SUITE 108|SARASOTA FL 34237-6453|USA|||  ||PHILLIP COUTURE|941-366-3551|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|05/26/2005|0|0|0|0|0|0
Miami Regional Office| 134385|801-64010|RETIREMENT STRATEGIES, INC.|RETIREMENT STRATEGIES, INC.|9471 BAYMEADOWS ROAD|SUITE 303|JACKSONVILLE FL 32256|USA|||  ||MARY BETH NEELEY|904-730-3863|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|03/15/2005|0|0|0|0|0|0
Miami Regional Office| 134416|801-64982|BAC GLOBAL ADVISORS|BAC GLOBAL ADVISORS, INC.|2333 PONCE DE LEON BLVD.|SUITE 700-A|CORAL GABLES FL 33134|USA|||  ||JOSE LUIS LEON|305-523-6520|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/02/2005|0|0|0|0|0|0
Miami Regional Office| 134503|801-64034|DOYLE WEALTH MANAGEMENT, INC.|DOYLE WEALTH MANAGEMENT, INC.|2201 4TH STREET NORTH|SUITE A|ST. PETERSBURG FL 33704|USA|||  ||ROBERT K. DOYLE|727-898-3063|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|03/09/2005|0|0|0|0|0|0
Miami Regional Office| 134620|801-64042|EAGLE WEALTH MANAGEMENT, INC.|EAGLE WEALTH MANAGEMENT, INC.|421 3RD STREET NORTH||JACKSONVILLE BEACH FL 32250|USA|||  ||JOSEPH M. BROWNE|904-241-5121|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|03/16/2005|0|0|0|0|0|0
Miami Regional Office| 134802|801-64112|KAHN FINANCIAL GROUP|KAHN FINANCIAL GROUP, INC.|1700 MCMULLEN BOOTH ROAD|SUITE A-5|CLEARWATER FL 33759|USA|||  ||DAVID BENNETT KAHN|727-797-5551|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/08/2005|0|0|0|0|0|0
Miami Regional Office| 134854|801-69105|PAYANT FINANCIAL SERVICES, INC.|AMERICAN PLANNING SERVICES, INC.|1653 SUN CITY CENTER PLAZA||SUN CITY CENTER FL 33573|USA|||  ||THOMAS ARTHUR PAYANT|813-633-7333|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/18/2008|0|0|0|0|0|0
Miami Regional Office| 134891|801-68531|GELBER CONSULTING CORP.|GELBER CONSULTING CORP.|11450 INTERCHANGE CIRCLE NORTH||MIRAMAR FL 33025|USA|||  ||RONALD S. GELBER|954-435-4222|Corporation|Other|APPROVED|11/27/2007|0|0|0|0|0|0
Miami Regional Office| 134897|801-68867|FIRST FINANCIAL ADVISORS, LLC|FIRST FINANCIAL ADVISORS, LLC|1845 TOWN CENTER BOULEVARD|SUITE 130|ORANGE PARK FL 32203|USA|||  ||LUKE BURGE|904-264-3095|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/10/2008|0|0|0|0|0|0
Miami Regional Office| 135122|801-64238|FINANCIAL SECURITY SERVICES, LLC|FINANCIAL SECURITY SERVICES, LLC|10256 ALLAMANDA CIRCLE||PALM BEACH GARDENS FL 33410-5222|USA|||  ||JAY L. MARMER|(561) 630-8422|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/13/2005|0|0|0|0|0|0
Miami Regional Office| 135286|801-67236|GRAYBEARD CAPITAL, LLC|GRAYBEARD CAPITAL, LLC|1211 ORANGE AVE, SUITE 102||WINTER PARK FL 32789|USA|||  ||MICHAEL WARD|407-622-5925|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|12/05/2006|0|0|0|0|0|0
Miami Regional Office| 135635|801-67633|INTEGRITY FIXED INCOME MANAGEMENT|INTEGRITY FIXED INCOME MANAGEMENT, LLC|651 BRYN MAWR ST||ORLANDO FL 32804|USA|||  ||CHRISTOPHER CAPUTO|407-481-2403|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/07/2007|0|0|0|0|0|0
Miami Regional Office| 135815|801-68699|VFINANCE ADVISORS, INC.|VFINANCE ADVISORS, INC.|3010 NORTH MILITARY TRAIL|SUITE 300|BOCA RATON FL 33431|USA|||  ||RICHARD A. CAMPANELLA|561-981-1000|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|01/31/2008|0|0|0|0|0|0
Miami Regional Office| 135832|801-68978|STRATEGIC ASSET MANAGEMENT GROUP ADVISORS|STRATEGIC ASSET MANAGEMENT  GROUP ADVISORS, INC.|800 S. ANDREWS AVENUE|SUITE 204|FT. LAUDERDALE FL 33316|USA|||  ||BRAD ORVIETO|954-473-1110|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|03/31/2008|0|0|0|0|0|0
Miami Regional Office| 135966|801-68773|ANDEREN CAPITAL|FASTRADE, INC.|301 SOUTH MISSOURI AVENUE|2ND FLOOR|CLEARWATER FL 33756|USA|||  ||CHARLES H. WALDO|727-298-8100|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED-120|02/04/2008|0|0|0|0|0|0
Miami Regional Office| 136061|801-64455|KENNETH SHAVELSON INVESTMENT ADVISORS, LLC|KENNETH SHAVELSON INVESTMENT ADVISORS, LLC|3850 NW 53RD STREET||BOCA RATON FL 33496|USA|||  ||KEN SHAVELSON|561-241-8708|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/23/2005|0|0|0|0|0|0
Miami Regional Office| 136302|801-68191|RETIREE INVESTMENT ADVISERS, INC.|RETIREE INVESTMENT ADVISERS, INC.|1275 W. GRANADA BLVD.|SUITE 4C|ORMOND BEACH FL 32174|USA|||  ||KALON M. HOARD|386-671-1245|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/31/2007|0|0|0|0|0|0
Miami Regional Office| 136490|801-64833|VISTA FINANCIAL ADVISORS, INC.|VISTA FINANCIAL ADVISORS, INC.|2931 PLUMMER COVE ROAD||JACKSONVILLE FL 32223|USA|||  ||ROBERT G. DERR|904-880-8010|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|11/04/2005|0|0|0|0|0|0
Miami Regional Office| 136591|801-64978|LIGHTHOUSE INVESTMENT PARTNERS, LLC|LIGHTHOUSE INVESTMENT PARTNERS, LLC|3801 PGA BLVD., SUITE 500||PALM BEACH GARDENS FL 33410|USA|||  ||ROBERT P. SWAN|561-741-0820|Limited Liability Company|Other|APPROVED|11/29/2005|0|0|0|0|0|0
Miami Regional Office| 136634|801-65879|RGM CAPITAL, LLC|RGM CAPITAL, LLC|6621 WILLOW PARK DRIVE|SUITE ONE|NAPLES FL 34109|USA|||  ||EDWARD T. CALKINS|239-593-1239|Limited Liability Company|Other|APPROVED|02/01/2006|0|0|0|0|0|0
Miami Regional Office| 136881|801-66938|DORMAN FINANCIAL MANAGEMENT, P.A.|DORMAN FINANCIAL MANAGEMENT, P.A.|341 N. MAITLAND AVENUE|SUITE 250|MAITLAND FL 32751|USA|||  ||JAMES B. DORMAN, JR.|407-774-6815|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|07/06/2006|0|0|1|0|0|0
Miami Regional Office| 136931|801-66089|SOLDAN CORP.|SOLDAN CORP.|2700 N. MILITARY TRAIL|SUITE 230|BOCA RATON FL 33431|USA|||  ||STANLEY C. MOSS|561-241-2425|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/08/2006|0|0|0|0|0|0
Miami Regional Office| 137043|801-64691|LYRIC ADVISORS INC.|LYRIC ADVISORS INC.|ONE SOUTH OCEAN BLVD.|SUITE 300|BOCA RATON FL 33432|USA|||  ||TERRY TEMESCU|561-447-7178|Corporation|Portfolio management for investment companies|APPROVED|09/16/2005|0|0|0|0|0|0
Miami Regional Office| 137171|801-64781|BENOIT, CHEPENIK & BENOIT PA|BENOIT, CHEPENIK & BENOIT PA|3030 HARTLEY ROAD|SUITE 190|JACKSONVILLE FL 32257|USA|||  ||DAVID BENOIT|904-288-9002|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/11/2005|0|0|0|0|0|0
Miami Regional Office| 137201|801-68221|GULFCOAST FINANCIAL SERVICES, INC.|GULFCOAST FINANCIAL SERVICES, INC.|248 NW MARION AVENUE|SUITE 101|LAKE CITY FL 32055|USA|P.O. BOX 2087||LAKE CITY FL 32056-2087|USA|JOHN G. KUYKENDALL|386-755-9018|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|08/21/2007|0|0|0|0|0|0
Miami Regional Office| 137404|801-64757|AFT, FORSYTH AND COMPANY, INC.|AFT, FORSYTH AND COMPANY, INC.|400 ROYAL PALM WAY|SUITE 410|WEST PALM BEACH FL 33480|USA|||  ||DAVID JOSEPH FORSYTH|561-296-6680|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/29/2005|0|0|0|0|0|0
Miami Regional Office| 137420|801-64930|ABSOLUTE RETURN PORTFOLIO MANAGEMENT, LLC|ABSOLUTE RETURN PORTFOLIO MANAGEMENT, LLC|311 PARK PLACE BLVD.|SUITE 190|CLEARWATER FL 33759|USA|||  ||MATTHEW N. XIARHOS|877-632-7491|Limited Liability Company|Portfolio management for individuals and/or small businesses, Other|APPROVED|01/10/2006|0|0|0|0|0|0
Miami Regional Office| 137453|801-67786|BULL & BEAR CAPITAL ADVISORS, INC.|BULL & BEAR CAPITAL ADVISORS, INC|6817 SOUTHPOINT PARKWAY|SUITE 1003|JACKSONVILLE FL 32216|USA|||  ||MATTHEW BISHOP|(904) 363-3600|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/16/2007|0|0|0|0|0|0
Miami Regional Office| 137539|801-64790|CAPITAL MAX, INC.|CAPITAL MAX, INC.|127 DALENA WAY||PALM BEACH GARDENS FL 33418-1739|USA|||  ||FRANCK J. PRISSERT|561-493 7077|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|10/27/2005|0|0|0|0|0|0
Miami Regional Office| 137598|801-65014|COLLINS CAPITAL INVESTMENTS, LLC|COLLINS CAPITAL INVESTMENTS, LLC|806 DOUGLAS ROAD|SUITE 570|CORAL GABLES FL 33134|USA|||  ||KENT A. WINDHORST|305-666-3319|Limited Liability Company|Other|APPROVED|12/12/2005|0|0|0|0|0|0
Miami Regional Office| 137879|801-64931|ERISA FIDUCIARY ADVISORS, INC.|ERISA FIDUCIARY ADVISORS, INC.|1160 BIRCHWOOD ROAD||WESTON FL 33327|USA|||  ||THOMAS B. BASTIN|954-385-5331|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|11/28/2005|0|0|0|0|0|0
Miami Regional Office| 138009|801-66275|UNIWEALTH ADVISORS, INC.|UNIWEALTH ADVISORS, INC.|15715 S. DIXIE HIGHWAY|#313|PALMETTO BAY FL 33157|USA|||  ||STEFANO FANFANI|305-969-2622|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|02/28/2006|0|0|0|0|0|0
Miami Regional Office| 138046|801-65220|SAN JUAN ASSET MANAGEMENT, INC.|SAN JUAN ASSET MANAGEMENT, INC.|1519 PONCE DE LEON AVENUE SUITE 1501|FIRST BANK BUILDING|SAN JUAN PR 00909|USA|PO BOX 9986||SAN JUAN PR 00908||JOSE A. VIZCARRONDO|(787) 721-4054|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/01/2006|0|0|0|0|0|0
Miami Regional Office| 138146|801-65430|HOLLOWAY WEALTH MANAGEMENT, LLC|HOLLOWAY WEALTH MANAGEMENT, LLC|500 NW 43RD STREET|SUITE 3|GAINESVILLE FL 32607|USA|||  ||SAMUEL NORRIS HOLLOWAY JR.|352-377-8177|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/20/2006|0|0|0|0|0|0
Miami Regional Office| 138280|801-68059|THE MUTUAL FUND STORE|TMFS-TAMPA, INC|2052 BADLANDS DRIVE||BRANDON FL 33511|USA|||  ||SEAN ABRAMS|813-661-1717|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Other|APPROVED|06/25/2007|0|0|0|0|0|0
Miami Regional Office| 138537|801-66624|ALHAMBRA INVESTMENT MANAGEMENT LLC|ALHAMBRA INVESTMENT MANAGEMENT LLC|201 ALHAMBRA CIR.|SUITE 711|CORAL GABLES FL 33134|USA|||  ||RAFAEL A. PEREZ|305-444-8136|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/04/2006|0|0|0|0|0|0
Miami Regional Office| 138560|801-65907|BANYAN EQUITY MANAGEMENT, LLC|BANYAN EQUITY MANAGEMENT, LLC|7284 WEST PALMETTO PARK ROAD, SUITE 310||BOCA RATON FL 33433|USA|||  ||LAURENCE BENEDICT|561-338-8711|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/25/2006|0|0|0|0|0|0
Miami Regional Office| 138811|801-66007|STONE INVESTMENT MANAGEMENT, LLC|STONE INVESTMENT MANAGEMENT, LLC|28 VILLA LANE||BOYNTON BEACH FL 33436|USA|||  ||BRUCE J. STONE|917-822-4060|Limited Liability Company|Other|APPROVED|02/15/2006|0|0|0|0|0|0
Miami Regional Office| 138830|801-67197|LONGBOAT KEY FINANCIAL GROUP, LLC|LONGBOAT KEY FINANCIAL GROUP, LLC|6350 GULF OF MEXICO DRIVE|SUITE 101|LONGBOAT KEY FL 34228|USA|||  ||DEBORAH A. HANSON|941-383-2300|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|09/29/2006|0|0|0|0|0|0
Miami Regional Office| 138848|801-65339|ALPHA ADVISORS, LLC|ALPHA ADVISORS, LLC|2026 CRYSTAL WOOD DRIVE||LAKELAND FL 33801|USA|P.O. BOX 2477||LAKELAND FL 33806-2477|USA|CARL C. DOCKERY|863-665-8888|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/23/2006|0|0|0|0|0|0
Miami Regional Office| 139038|801-66196|EXCALIBUR PARTNERS, LLC|EXCALIBUR PARTNERS, LLC|16260 VIA VENETIA EAST||DELRAY BEACH FL 33484|USA|||  ||STEVEN ROBERTS|561-499-8489|Limited Liability Company|Other|APPROVED|02/01/2006|0|0|0|0|0|0
Miami Regional Office| 139226|801-66070|MICROSIGMA CAPITAL MANAGEMENT, LLC|MICROSIGMA CAPITAL MANAGEMENT, LLC|2937 SW 27TH AVE.|SUITE 200A|COCONUT GROVE FL 33133|USA|||  ||FLAVIO CARRILLO|305-461-9100|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/27/2006|0|0|0|0|0|0
Miami Regional Office| 139388|801-66241|THISTLE ASSET CONSULTING|THISTLE ASSET CONSULTING, INC.|1321 PIAZZ DELLE PALLOTTOLE||BOYNTON BEACH FL 33426|USA|||  ||JOHN MCCANN|561-737-3996|Corporation|Pension consulting services|APPROVED|02/02/2006|0|0|0|0|0|0
Miami Regional Office| 139422|801-68898|STOLOFF INVESTMENT ADVISORY SERVICES, LLC|STOLOFF INVESTMENT ADVISORY SERVICES, LLC|4581 WESTON ROAD #316||WESTON FL 33331|USA|||  ||KEITH STOLOFF|954-559-1165|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/03/2008|0|0|0|0|0|0
Miami Regional Office| 139537|801-66263|KAPAX INVESTMENT ADVISERS, LLC|KAPAX INVESTMENT ADVISERS, LLC|500 S. DIXIE HIGHWAY|SUITE 304|CORAL GABLES FL 33146|USA|||  ||EMIL R. INFANTE|305-704-3397|Limited Liability Company|Portfolio management for individuals and/or small businesses, Other|APPROVED|12/13/2006|0|0|0|0|0|0
Miami Regional Office| 139586|801-66244|THE TUONO CORPORATION|THE TUONO CORPORATION|400 FIFTH AVENUE SOUTH|SUITE 302|NAPLES FL 34102|USA|||  ||M DAMIAN BILLY|239.262.3322|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|03/31/2006|0|0|0|0|0|0
Miami Regional Office| 139671|801-66337|DAY HAGAN FINANCIAL|DONALD L. HAGAN, LLC|330 SOUTH ORANGE AVE.||SARASOTA FL 34236|USA|||  ||DONALD L.HAGAN|941-330-1702|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|03/09/2006|0|0|0|0|0|0
Miami Regional Office| 139910|801-66805|ROYAL CAPITAL MANAGEMENT|DUPUIS, RICHARD DANIEL|4400 N. FEDERAL HIGHWAY|SUITE 125|BOCA RATON FL 33431|USA|||  ||RICHARD DUPUIS|561-394-4174|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|06/26/2006|0|0|0|0|0|0
Miami Regional Office| 140013|801-67364|UNITED ECOENERGY ADVISORS, LLC|UNITED ECOENERGY ADVISORS, LLC|3570 LAKEVIEW DRIVE||DELRAY BEACH FL 33445|USA|||  ||PATRICK DONELAN|561-450-8144|Limited Liability Company|Portfolio management for investment companies|APPROVED|01/19/2007|0|1|0|0|0|0
Miami Regional Office| 140018|801-66452|WEALTH INC.|WEALTH INC.|821 MONTEGO ROAD WEST||JACKSONVILLE FL 32216|USA|||  ||STEPHEN T. FARIES|904-805-0296|Corporation|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|04/04/2006|0|0|0|0|0|0
Miami Regional Office| 140202|801-67413|STRATEDGE INVESTMENT ADVISERS, LLC|STRATEDGE INVESTMENT ADVISERS, LLC|777 BRICKELL AVENUE|SUITE 1010|MIAMI FL 33131|USA|||  ||HELEN LUMPUY|305 982-4632|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/19/2007|0|0|0|0|0|0
Miami Regional Office| 140353|801-66655|EMERALD FINANCIAL MANAGEMENT|THE OLD RIVER COMPANY|5053 POINTE EMERALD LANE||BOCA RATON FL 33486|USA|||  ||ALLEN P. AUGER|561-750-8582|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|06/02/2006|0|0|0|0|0|0
Miami Regional Office| 140483|801-66897|ROSENTHAL CAPITAL MANAGEMENT, LLC|ROSENTHAL CAPITAL MANAGEMENT, LLC|221 OCEAN GRANDE BLVD|SUITE 305|JUPITER FL 33477|USA|||  ||MICHELE ROSENTHAL|561-575-6832|Limited Liability Company|Portfolio management for individuals and/or small businesses, Other|APPROVED|06/26/2006|0|0|0|0|0|0
Miami Regional Office| 140486|801-66872|CNLBANK WEALTH MANAGEMENT|CNLBANK WEALTH MANAGEMENT|450 SOUTH ORANGE AVE. 4TH FLOOR - CNL CENTER||ORLANDO FL 32801|USA|P.O. BOX 4932||ORLANDO FL 32802-4932|USA|CHRIS HYLEN|407-244-3100|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/03/2006|0|0|0|0|0|0
Miami Regional Office| 140533|801-66871|HORN EICHENWALD INVESTMENTS CORP.|HORN EICHENWALD INVESTMENTS CORP.|2601 S. BAYSHORE DR. SUITE 1200||MIAMI FL 33133|USA|||  ||DANIEL ADES|305-860-6818|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/14/2006|0|0|0|0|0|0
Miami Regional Office| 140718|801-66815|CAPITAL 1ST. ADVISORS LLC|CAPITAL 1ST. ADVISORS LLC|12800 UNVERSITY PARK DRIVE|SUITE 385|FORT MYERS FL 33907|USA|||  ||JOHN PRIEST|239-481-8442|Limited Liability Company|Portfolio management for investment companies|APPROVED|05/25/2006|0|0|0|0|0|0
Miami Regional Office| 140808|801-63048|KOVACK ADVISORS, INC.|KOVACK ADVISORS, INC.|6451 N. FEDERAL HWY|SUITE 1201|FT. LAUDERDALE FL 33308|USA|||  ||BRIAN KOVACK|954-670-0609|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/21/2004|0|0|0|0|0|0
Miami Regional Office| 140846|801-67064|CROWN JEWEL CONCEPTS, LLC|CROWN JEWEL CONCEPTS, LLC|20550 MAXIM PARKWAY||ORLANDO FL 32833-3933|USA|FIVE CONCOURSE PARKWAY 30TH FLOOR||ATLANTA GA 30328-7106|USA|JOHN ROBERT JONES, JR.|770-392-3389|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|08/10/2006|0|0|0|0|0|0
Miami Regional Office| 140942|801-67891|MIRZAM ASSET MANAGEMENT, LLC|MIRZAM ASSET MANAGEMENT, LLC|1 MAIN STREET|SUITE 200|TEQUESTA FL 33469|USA|||  ||CLIFF MORRIS|561-741-3000|Limited Liability Company|Portfolio management for investment companies, Other|APPROVED|05/03/2007|0|0|0|0|0|0
Miami Regional Office| 141079|801-67934|THE CAPITAL GROUP|CAPITAL CONSULTING GROUP, LLC|800 S. 5TH AVENUE|SUITE 203|NAPLES FL 34102|USA|||  ||BLAINE FERGUSON|239-434-7434|Limited Liability Company|Selection of other advisers|APPROVED|05/17/2007|0|0|0|0|0|0
Miami Regional Office| 141087|801-66946|HEGEMONY CAPITAL MANAGEMENT, LLC|HEGEMONY CAPITAL MANAGEMENT, LLC|621 NW 53 STREET SUITE 620||BOCA RATON FL 33487|USA|||  ||MICHAEL E LEWITT|561-226-6199|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|07/12/2006|0|0|0|0|0|0
Miami Regional Office| 141186|801-66999|STRATEGIC WEALTH MANAGEMENT ADVISORS, INC.|STRATEGIC WEALTH MANAGEMENT ADVISORS, INC.|2580 CARE DRIVE, SUITE ONE||TALLAHASSEE FL 32308|USA|||  ||TODD C. HUNTER|850-383-0001|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/20/2006|0|0|0|0|0|0
Miami Regional Office| 141398|801-67092|BANYAN PARTNERS, LLC|BANYAN PARTNERS, LLC|5100 PGA BLVD.|SUITE 305|PALM BEACH GARDENS FL 33418|USA|6231 PGA BLVD|SUITE 104-205|PALM BEACH GARDENS FL 33418|USA|PETER RAIMONDI|561-694-0499|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|08/16/2006|0|0|0|0|0|0
Miami Regional Office| 141588|801-69169|PROGRESS ADVISORS, LLC|PROGRESS ADVISORS, LLC|801 BRICKELL AVENUE|SUITE 2380|MIAMI FL 33131|USA|||  ||EVERARDO VIDAURRI|305-779-9890|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/27/2008|0|0|0|0|0|0
Miami Regional Office| 141750|801-67140|PBL CAPITAL|PALM BEACH LINKS CAPITAL, L.P.|3601 P.G.A. BOULEVARD|SUITE 301|PALM BEACH GARDENS FL 33410|USA|||  ||MICHAEL ISE|561-624-0594|Other (specify)|Other|APPROVED|09/29/2006|0|0|0|0|0|0
Miami Regional Office| 141883|801-67238|MARKOWSKI INVESTMENTS|MARKOWSKI INVESTMENTS|3317 W EMPEDRADO ST SUITE 2||TAMPA FL 33629|USA|||  ||MATT MARKOWSKI|813 831 5168|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|02/13/2007|0|0|0|0|0|0
Miami Regional Office| 141963|801-67803|HELIOS, LLC|HELIOS, LLC|390 NORTH ORANGE AVE|SUITE 2300|ORLANDO FL 32801-1684|USA|||  ||RUDY AGUILERA|407-894-4702|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|05/08/2007|0|0|0|0|0|0
Miami Regional Office| 142034|801-67235|AMERICAN DEVELOPMENT AND INVESTMENT ADVISORS, LLC|AMERICAN DEVELOPMENT AND INVESTMENT ADVISORS, LLC|3570 LAKEVIEW DRIVE||DELRAY BEACH FL 33445|USA|||  ||PATRICK J. DONELAN|561-450-8144|Limited Liability Company|Portfolio management for investment companies|APPROVED|10/16/2006|0|0|0|0|0|0
Miami Regional Office| 142171|801-68416|THE FLORIDAN GROUP|PETER FISHER CROWELL|3848 KILLEARN COURT||TALLAHASSEE FL 32309|USA|P.O. BOX 13329||TALLAHASSEE FL 32317-3329|USA|PETER F. CROWELL|850-224-5513|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|10/15/2007|0|0|0|0|0|0
Miami Regional Office| 142356|801-68022|KEY FINANCIAL GROUP OF JACKSONVILLE, INC.|KEY FINANCIAL GROUP OF JACKSONVILLE, INC.|6271 DUPONT STATION COURT||JACKSONVILLE FL 32217|USA|||  ||CHRISTOPHER P. WADLEY|904-443-7996|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/13/2007|0|0|0|0|0|0
Miami Regional Office| 142367|801-67399|AVIANCE CAPITAL MANAGEMENT, LLC|AVIANCE CAPITAL MANAGEMENT, LLC|2080 RINGLING BLVD||SARASOTA FL 34237|USA|||  ||EDWARD CHRISTIAN BERTELSEN|866-641-2186|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/03/2007|0|0|0|0|0|0
Miami Regional Office| 142403|801-67643|MICHAEL S. CARRIER & ASSOCIATES, INC.|MICHAEL S. CARRIER & ASSOCIATES, INC.|854 WOOD BRIAR LOOP||LAKE FOREST FL 32771|USA|||  ||MIKE CARRIER|407-549-5968|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|03/20/2007|0|0|0|0|0|0
Miami Regional Office| 142404|801-68583|OMNI WEALTH ADVISORS, LLC|OMNI WEALTH ADVISORS, LLC|5401 W. KENNEDY BLVD.|SUITE 530|TAMPA FL 33609|USA|||  ||BRIAN K. HERSHBERGER|813-281-0028|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|11/27/2007|0|0|0|0|0|0
Miami Regional Office| 142478|801-67322|AVENTURA CAPITAL MANAGEMENT, LLC|AVENTURA CAPITAL MANAGEMENT, LLC|3201 N.E. 183RD STREET|SUITE 2208|AVENTURA FL 33160|USA|||  ||DAVID M. KONITS|305-466-0467|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|11/29/2006|0|0|0|0|0|0
Miami Regional Office| 142807|801-67449|SIMON INVESTMENT ADVISORY SERVICES, INC.|SIMON INVESTMENT ADVISORY SERVICES, INC.|3720 SOUTH OCEAN BLVD|#602|HIGHLAND BEACH FL 33487|USA|8 NORTH QUEEN STREET|10TH FLOOR|LANCASTER PA 17603|USA|ELAINE WALSH|717-299-9678|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|01/03/2007|0|0|0|0|0|0
Miami Regional Office| 142941|801-67587|CAPTRUST FINANCIAL ADVISORS|CAP TRUST ADVISORS, LLC|102 W. WHITING STREET|SUITE 400|TAMPA FL 33602|USA|||  ||ERIC BAILEY|813-218-5012|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|03/12/2007|0|0|0|0|0|0
Miami Regional Office| 143098|801-68044|QUANTEK ASSET MANAGEMENT, LLC|QUANTEK ASSET MANAGEMENT, LLC|701 BRICKELL AVENUE|SUITE 2550|MIAMI FL 33131|USA|||  ||CATALINA CADAVID|305-722-5036|Limited Liability Company|Other|APPROVED|06/20/2007|0|0|0|0|0|0
Miami Regional Office| 143120|801-68778|GLOBAL TRUST ASSET MANAGEMENT, LLC|GLOBAL TRUST ASSET MANAGEMENT, LLC|215 FIFTH STREET|SUITE 200|WEST PALM BEACH FL 33401-0347|USA|||  ||BRIAN J. BRESCIA|561-472-0191|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/01/2008|0|0|0|0|0|0
Miami Regional Office| 143157|801-67556|ARCO CAPITAL MANAGEMENT, LLC|ARCO CAPITAL MANAGEMENT, LLC|48 ROAD 165|CITY VIEW PLAZA II, SUITE #6000|GUAYNABO PR 00968-8060|USA|||  ||JUAN CARLOS BOU|787-993-9659|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/08/2007|0|0|0|0|0|0
Miami Regional Office| 143267|801-67746|STATE CAPITAL WEALTH MANAGEMENT INC|STATE CAPITAL WEALTH MANAGEMENT INC|1101 BRICKELL AVENUE NORTH TOWER|SUITE 702|MIAMI FL 33131|USA|||  ||MICHAEL CLEMENTS|305-329-2539|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|04/11/2007|0|0|0|0|0|0
Miami Regional Office| 143516|801-67751|CARPENTER, CLAYDON ADVISORS, INC.|CARPENTER, CLAYDON ADVISORS, INC.|834 N. HIGHLAND AVENUE||ORLANDO FL 32803|USA|||  ||DEBORAH CLAYDON|407-843-0316|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|04/13/2007|0|0|0|0|0|0
Miami Regional Office| 143573|801-69164|NAPLES CAPITAL ADVISORS|NAPLES CAPITAL ADVISORS, INC|599 9TH STREET NORTH STE.101||NAPLES FL 34102|USA|||  ||JOHN SUDDETH|239-963-2605|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/22/2008|0|0|0|0|0|0
Miami Regional Office| 143608|801-67720|JAFFETILCHIN INVESTMENT PARTNERS, LLC|JAFFETILCHIN INVESTMENT PARTNERS, LLC|6928 W. LINEBAUGH AVE. STE. 101||TAMPA FL 33625|USA|||  ||GABE AYALA|813-935-6776|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/18/2007|0|0|0|0|0|0
Miami Regional Office| 143622|801-68387|AVANT CAPITAL MANAGEMENT I. L.L.C.|AVANT CAPITAL MANAGEMENT I. L.L.C.|401 E. LAS OLAS BLVD, #130|BANK OF AMERICA CENTRE|FORT LAUDERDALE FL 33301|USA|||  ||RICHARD ANDREWS|913.825.2060|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/15/2007|0|0|0|0|0|0
Miami Regional Office| 143754|801-67885|MANAGEMY401K.COM, LLC|MANAGEMY401K.COM, LLC|2323 CURLEW ROAD|SUITE 6D|DUNEDIN FL 34698|USA|||  ||STEVE ATHANASSIE|727-772-9530|Limited Liability Company|Portfolio management for individuals and/or small businesses, Pension consulting services, Publication of periodicals or newsletters|APPROVED|05/25/2007|0|0|0|0|0|0
Miami Regional Office| 144088|801-68338|USA TAX & INSURANCE SERVICES, INC.|USA TAX & INSURANCE SERVICES, INC.|4114 WOODLANDS PKWY|SUITE 402|PALM HARBOR FL 34685|USA|||  ||LAURA ROBERTS|800-716-4413|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/13/2007|0|0|0|0|0|0
Miami Regional Office| 144191|801-68559|BAYSHORE ASSET MANAGEMENT, LLC|BAYSHORE ASSET MANAGEMENT, LLC|283 CATALONIA AVENUE|SUITE 200|CORAL GABLES FL 33134|USA|||  ||GABRIEL M. BUSTAMANTE|786-888-9400|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|11/13/2007|0|0|0|0|0|0
Miami Regional Office| 144221|801-68143|GLOBAL WEALTH CONSULTANTS, LLC|GLOBAL WEALTH CONSULTANTS, LLC|8955 FONTANA DEL SOL WAY||NAPLES FL 34109|USA|||  ||JEFFREY A. CARNEY|239-919-2115|Limited Liability Company|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|07/17/2007|0|0|0|0|0|0
Miami Regional Office| 144253|801-68197|ZENITH CAPITAL INVESTMENT ADVISORS, LLC|ZENITH CAPITAL INVESTMENT ADVISORS, LLC|1500 SAN REMO AVENUE|SUITE 350|CORAL GABLES FL 33146|USA|||  ||NELSON NEGRON|786-338-9100|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/02/2007|0|0|0|0|0|0
Miami Regional Office| 144426|801-68114|INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC|INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC|300 SOUTH ORANGE AVENUE|SUITE 1100|ORLANDO FL 32801|USA|||  ||HOPE NEWSOME|407-254-1516|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/05/2007|0|0|0|0|0|0
Miami Regional Office| 144485|801-68100|EXCELSIOR CAPITAL ADVISORS, LLC|EXCELSIOR CAPITAL ADVISORS, LLC|4651 N. FEDERAL HWY.||BOCA RATON FL 33431|USA|||  ||KATHLEEN GRACE|561-353-4440|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/12/2007|0|0|0|0|0|0
Miami Regional Office| 144601|801-68633|PORTFOLIO RESOURCES ADVISOR GROUP, INC.|PORTFOLIO RESOURCES ADVISOR GROUP, INC.|800 BRICKELL AVENUE, SUITE 903||MIAMI FL 33131|USA|||  ||SHARON VERNON|305 372-0299 EXT 408|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|12/19/2007|0|0|0|0|0|0
Miami Regional Office| 144732|801-68217|ALPHA FIDUCIARY WEALTH MANAGEMENT|CAPITAL MARKET STRATEGIES, LLC|11025 RCA CENTER DRIVE, SUITE 102||PALM BEACH GARDENS FL 33410|USA|||  ||CURTIS L. LYMAN|561-207-6399|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|08/02/2007|0|0|0|0|0|0
Miami Regional Office| 144883|801-68508|IPRO ONE MANAGEMENT, INC.|IPRO ONE MANAGEMENT, INC.|17781 VIA BELLA ACQUA CT., #1003||FORT MYERS FL 33913|USA|||  ||GREG NOLL|(239) 274-6614|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|11/02/2007|0|0|0|0|0|0
Miami Regional Office| 144931|801-68410|PEAK WEALTH OPPORTUNITIES, LLC|PEAK WEALTH OPPORTUNITIES, LLC|10225 ULMERTON ROAD|SUITE 3 D|LARGO FL 33771|USA|||  ||DAVE DUBE|727-536-7100|Limited Liability Company|Portfolio management for investment companies|APPROVED-120|10/19/2007|0|0|0|0|0|0
Miami Regional Office| 145028|801-68366|LUCERN WEALTH MANAGEMENT, LLC|LUCERN WEALTH MANAGEMENT, LLC|100 W. LUCERNE CIRCLE|SUITE 500|ORLANDO FL 32801|USA|||  ||T. KEVIN TAYLOR|407-422-5400|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED-120|09/27/2007|0|0|0|0|0|0
Miami Regional Office| 145040|801-68340|SATIAS CAPITAL PARTNERS LLC|SATIAS CAPITAL PARTNERS LLC|189 SOUTH ORANGE AVENUE, SUITE 1800||ORLANDO FL 32801|USA|||  ||FRANK T. GUERRIERO|407-849-2980|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/13/2007|0|0|0|0|0|0
Miami Regional Office| 145098|801-68341|ASCENDANT WEALTH MANAGEMENT|ASCENDANT WEALTH MANAGEMENT LLC|3301 BONITA BEACH ROAD|SUITE 212|BONITA SPRINGS FL 34134|USA|||  ||DARIN A. MORGAN|239-992-3900|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|09/14/2007|0|0|0|0|0|0
Miami Regional Office| 145101|801-68414|OM INVESTMENT MANAGEMENT, LLC|OM INVESTMENT MANAGEMENT, LLC|15310 AMBERLY DRIVE|SUITE 250|TAMPA FL 33647|USA|||  ||GIGNESH MOVALIA|813-393-0662|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|10/15/2007|0|0|0|0|0|0
Miami Regional Office| 145208|801-68609|EFG CAPITAL ASSET MANAGEMENT LLC|EFG CAPITAL ASSET MANAGEMENT LLC|701 BRICKELL AVENUE, 9TH FLOOR||MIAMI FL 33131|USA|||  ||NOEMI SCHAEFER|305-482-8050|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/03/2008|0|0|0|0|0|0
Miami Regional Office| 145226|801-68540|NJR INVESTMENT ADVISORY, INC.|NJR INVESTMENT ADVISORY, INC.|10927 N. 56TH STREET||TAMPA FL 33617|USA|||  ||CHERI MARIE DICKENS|813-983-0313|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/16/2007|0|0|0|0|0|0
Miami Regional Office| 145265|801-68594|PARK SHORE PARTNERS LLC|PARK SHORE PARTNERS LLC|3838 TAMIAMI TRAIL N., SUITE 410||NAPLES FL 34103|USA|||  ||DAN E BAER|239-649-1118|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/28/2007|0|0|0|0|0|0
Miami Regional Office| 145275|801-68415|JOHN BOYER, INC.|JOHN BOYER, INC.|1601 WEST PLATT STREET||TAMPA FL 33606|USA|||  ||SARINA CORREA|813-254-9500|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|11/01/2007|0|0|0|0|0|0
Miami Regional Office| 145359|801-68454|SUTTON WEALTH ADVISORS, INC.|SUTTON WEALTH ADVISORS, INC.|3708 WEST SWANN AVENUE|SUITE 102|TAMPA FL 33609|USA|||  ||W. EDWARD SUTTON|(813) 514-1800|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|11/06/2007|0|4|0|0|0|0
Miami Regional Office| 145430|801-68516|OPTIMA PRIVATE WEALTH MANAGEMENT, LLC|OPTIMA PRIVATE WEALTH MANAGEMENT, LLC|549 N. WYMORE ROAD|SUITE 106|MAITLAND FL 32751|USA|||  ||JOHN THOMAS HRONEK|407-637-8320|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|11/14/2007|0|0|0|0|0|0
Miami Regional Office| 145471|801-68513|INVESTECH RETIREMENT PLAN ADVISORS, LLC|INVESTECH RETIREMENT PLAN ADVISORS, LLC|2729 S.R. 580|SUITE C|CLEARWATER FL 33761|USA|||  ||WILLIAM M. MONTGOMERY|727-723-3676|Limited Liability Company|Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|11/01/2007|0|0|0|0|0|0
Miami Regional Office| 145539|801-68534|FAC WEALTH MANAGEMENT, LLC|FAC WEALTH MANAGEMENT, LLC|9115 CORSEA DEL FONTANA WAY|SUITE 100|NAPLES FL 34109|USA|||  ||BRANT KELLER|(239) 596-0118|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|11/29/2007|0|0|0|0|0|0
Miami Regional Office| 145595|801-69419|RUGGIE WEALTH MANAGEMENT|PEVENSEY, INC.|14229 US HIGHWAY 441||TAVARES FL 32778|USA|||  ||THOMAS RUGGIE|352-343-2700|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED-120|07/29/2008|0|0|0|0|0|0
Miami Regional Office| 145635|801-68695|ACCOLADE INVESTMENT ADVISORY, LLC|ACCOLADE INVESTMENT ADVISORY, LLC|3692 COOLIDGE COURT|SUITE 217|TALLAHASEE FL 32311|USA|||  ||PETER GIBSON|850-201-3532|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/23/2008|0|0|0|0|0|0
Miami Regional Office| 145643|801-68751|BLUEPOINT INVESTMENT ADVISORY LLC|BLUEPOINT INVESTMENT ADVISORY LLC|200 S. BISCAYNE BLVD.|SUITE 4400|MIAMI FL 33131|USA|||  ||SANDRA BAEZ|305-960-1903|Limited Liability Company|Other|APPROVED|01/29/2008|0|0|0|0|0|0
Miami Regional Office| 145695|801-68703|F & S ASSET MANAGEMENT GROUP, INC.|F & S ASSET MANAGEMENT GROUP, INC.|841 PRUDENTIAL DRIVE|SUITE 1500|JACKSONVILLE FL 32207|USA|||  ||KELLY A. SEATON|904-398-1001|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/14/2008|0|0|0|0|0|0
Miami Regional Office| 145770|801-68620|EMERALD ALLOCATION STRATEGIES, LLC|EMERALD ALLOCATION STRATEGIES, LLC|2843 EXECUTIVE PARK DRIVE||WESTON FL 33331|USA|||  ||DONNA S. NAITOVE|954-385-9624|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/08/2008|0|0|0|0|0|0
Miami Regional Office| 145778|801-68737|CONCISE CAPITAL MANAGEMENT, L.P.|CONCISE CAPITAL MANAGEMENT, L.P.|3211 PONCE DE LEON BLVD|SUITE 207|CORAL GABLES FL 33134|USA|||  ||TOM KRASNER|305-443-0959 X18|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/15/2008|0|0|0|0|0|0
Miami Regional Office| 145930|801-68668|AMERICAVEST FINANCIAL LLC|AMERICAVEST FINANCIAL LLC|401 E. LAS OLAS BOULEVARD|SUITE 1400|FORT LAUDERDALE FL 33301|USA|||  ||ROBERT DAMIGELLA|954-332-2331|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/03/2008|0|0|0|0|0|0
Miami Regional Office| 145963|801-68698|THE COLOMA GROUP, L.LC.|THE COLOMA GROUP, L.LC.|355 ALHAMBRA CIRCLE|SUITE #1550|CORAL GABLES FL 33134|USA|||  ||VIVIAN COLOMA-DAVILA|786-363-0632|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/17/2008|0|0|0|0|0|0
Miami Regional Office| 146010|801-68672|CRYSTAL CAPITAL PARTNERS, LLC|CRYSTAL CAPITAL PARTNERS, LLC|1111 KANE CONCOURSE|SUITE 404|BAY HARBOR ISLANDS FL 33154|USA|||  ||MARK FITZPATRICK|305-868-1500 EXT 102|Limited Liability Company|Other|APPROVED|12/20/2007|0|0|0|0|0|0
Miami Regional Office| 146023|801-68739|CEREDEX VALUE ADVISORS LLC|CEREDEX VALUE ADVISORS LLC|300 SOUTH ORANGE AVENUE|SUITE 1600|ORLANDO FL 32801|USA|||  ||JOSIE C ROSSON|804-782-5414|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/15/2008|0|0|0|0|0|0
Miami Regional Office| 146200|801-68793|OPTIONS UNIVERSITY ADVISOR, LLC|OPTIONS UNIVERSITY ADVISOR, LLC|925 S FEDERAL HWY|STE 510|BOCA RATON FL 33432|USA|||  ||FRED GREENE|5617504345|Limited Liability Company|Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters, Market timing services|APPROVED|03/11/2008|0|0|0|0|0|0
Miami Regional Office| 146260|801-68825|AMERICAN PORTFOLIO MANAGEMENT, INC.|AMERICAN PORTFOLIO MANAGEMENT, INC.|2420 ENTERPRISE ROAD|SUITE 103|CLEARWATER FL 33763|USA|||  ||JEFFREY JANKOWSKI|727-725-9922|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|02/05/2008|0|0|0|0|0|0
Miami Regional Office| 146302|801-68821|REICH INVESTMENT ADVISORS|DANIEL HARRY REICH|2350 NW 43RD STREET||BOCA RATON FL 33431|USA|||  ||DANIEL REICH|561 988 0637|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|02/27/2008|0|0|0|0|0|0
Miami Regional Office| 146511|801-69024|BIGSUR WEALTH MANAGEMENT, LLC|BIGSUR WEALTH MANAGEMENT, LLC|1395 BRICKELL AVENUE|SUITE 900|MIAMI FL 33131|USA|||  ||RAFAEL IRIBARREN|305-740-6777|Limited Liability Company|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|04/03/2008|0|0|0|0|0|0
Miami Regional Office| 146543|801-69159|PARAGON WEALTH STRATEGIES, INC.|PARAGON WEALTH STRATEGIES, INC.|10245 CENTURION PKWY N.|STE. 105|JACKSONVILLE FL 32256|USA|||  ||JONATHAN CASTLE|904-861-0093|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED-120|05/12/2008|0|0|0|0|0|0
Miami Regional Office| 146597|801-68979|AVIANCE CAPITAL PARTNERS LLC|AVIANCE CAPITAL PARTNERS LLC|2080 RINGLING BOULEVARD||SARASOTA FL 34237|USA|||  ||EDWARD CHRISTIAN BERTELSEN|866-641-2186|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/25/2008|0|0|0|0|0|0
Miami Regional Office| 146622|801-69079|PARITER WEALTH MANAGEMENT GROUP LLC|PARITER WEALTH MANAGEMENT GROUP LLC|243 CARRETERA #2||GUAYNABO PR 00966-1915|USA|P.O. BOX 11852||SAN JUAN PR 00922-1852|USA|JAVIER REYES|787-781-2555|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED-120|04/30/2008|0|0|0|0|0|0
Miami Regional Office| 146753|801-68989|FIRST HAND, INC.|FIRST HAND, INC.|101 BRADLEY PL.|SUITE 202|PALM BEACH FL 33480|USA|||  ||WILLIAM O. FOSTER|561-632-2784|Corporation|Publication of periodicals or newsletters, Other|APPROVED|04/21/2008|0|6|0|0|0|0
Miami Regional Office| 146839|801-69361|STEWARDSHIP ASSET MANAGEMENT, LLC|STEWARDSHIP ASSET MANAGEMENT, LLC|885 SEDALIA ST|SUITE 102|OCOEE FL 34761|USA|||  ||JEFF ROGERS|407-470-1405|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED-120|07/21/2008|0|0|0|0|0|0
Miami Regional Office| 147024|801-69140|KILEY HOLDINGS, INC.|KILEY HOLDINGS, INC.|13241 OAKMEADE||PALM BEACH GARDENS FL 33418|USA|||  ||MICHAEL KILEY|561-630-5006|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|05/20/2008|0|0|0|0|0|0
Miami Regional Office| 147075|801-69187|SPRAKER WEALTH MANAGEMENT INC|SPRAKER WEALTH MANAGEMENT INC|543 N. WYMORE RD.|SUITE 104|MAITLAND FL 32751|USA|||  ||SUSAN S. SPRAKER|407-478-7899|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED-120|05/21/2008|0|0|0|0|0|0
Miami Regional Office| 147106|801-69163|SEASIDE CAPITAL MANAGEMENT, INC.|SEASIDE CAPITAL MANAGEMENT, INC.|201 S. ORANGE AVENUE|SUITE 200|ORLANDO FL 32801|USA|||  ||ELLIOT PERNY|407-567-2244|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED-120|06/06/2008|0|0|0|0|0|0
Miami Regional Office| 147160|801-69166|LEGACY FAMILY OFFICE, LLC|LEGACY FAMILY OFFICE, LLC|780 5TH AVE. SOUTH|SUITE 200|NAPLES FL 34102|USA|||  ||TAMMY SURRATT|239-261-9612|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED-120|05/22/2008|0|0|0|0|0|0
Miami Regional Office| 147192|801-69161|CAPITAL ADVISORY GROUP|CAG TAMPA, LLC|442 W. KENNEDY BLVD.|SUITE 380|TAMPA FL 33606-1494|USA|||  ||WILLIAM JAMES|813-254-1070|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED-120|05/07/2008|0|0|0|0|0|0
Miami Regional Office| 147234|801-69182|THE MONITOR GROUP, LLC|THE MONITOR GROUP, LLC|6231 PGA BLVD|SUITE 104-139|PALM BEACH GARDENS FL 33418|USA|||  ||DERRICK J. DANSEREAU|561-282-1801|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED-120|05/21/2008|0|0|0|0|0|0
Miami Regional Office| 147262|801-69278|ATLANTIC LIBERTY FINANCIAL, LLC|ATLANTIC LIBERTY FINANCIAL, LLC|1110 DOUGLAS AVE|STE 2000|ALTAMONTE SPRINGS FL 32714|USA|||  ||DAVID BAUDO|407-992-8380|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|06/17/2008|0|0|0|0|0|0
Miami Regional Office| 147285|801-69309|FOLDES FINANCIAL MANAGEMENT, LLC|FOLDES FINANCIAL MANAGEMENT, LLC|9130 SOUTH DADELAND BLVD.|SUITE 1903|MIAMI FL 33156|USA|||  ||MICHAEL K. HENRY|615-297-6884|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED-120|06/24/2008|0|0|0|0|0|0
Miami Regional Office| 147407|801-69287|CLEAR SPRINGS ADVISORS, LLC|CLEAR SPRINGS ADVISORS, LLC|15310 AMBERLY DRIVE|SUITE 165|TAMPA FL 33647|USA|||  ||RODNEY G. JOHNSON|813-514-6764|Limited Liability Company|Other|APPROVED-120|06/12/2008|0|0|0|0|0|0
Miami Regional Office| 147434|801-69314|SUMMIT CAPITAL MANAGEMENT GROUP, LLC|SUMMIT CAPITAL MANAGEMENT GROUP, LLC|20283 STATE ROAD 7|STE. 300|BOCA RATON FL 33498|USA|||  ||DAVID LEVINE|561-482-9390|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|06/23/2008|0|0|0|0|0|0
Miami Regional Office| 147730|801-69402|MICHAEL C. MORGAN LLC|MICHAEL C. MORGAN|3830 NW ROYAL OAK DRIVE||JENSEN BEACH FL 34957|USA|||  ||MICHAEL C. MORGAN|772-260-5448|Sole Proprietorship|Financial planning services, Publication of periodicals or newsletters, Other|APPROVED-120|07/29/2008|0|0|0|0|0|0
New York Regional Office|     70|801-56943|BCG SECURITIES, INC.|BCG SECURITIES, INC.|600 DELRAN PARKWAY|SUITE B|DELRAN NJ 08075|USA|PO BOX 406||RIVERTON NJ 08077-0406|USA|ADAM J. PAGLIONE|856-393-1919|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|11/04/1999|0|0|0|0|0|0
New York Regional Office|     79|801-3702|BEAR, STEARNS & CO. INC.|BEAR, STEARNS & CO. INC.|383 MADISON AVENUE||NEW YORK NY 10179|U.S.A.|115 SOUTH JEFFERSON ROAD|ATTN: TIMOTHY J. MURPHY|WHIPPANY NJ 07981|U.S.A.|TIMOTHY J. MURPHY|973-793-2213|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/03/1965|28|199|2|0|0|0
New York Regional Office|    231|801-54739|MBSC SECURITIES CORPORATION|MBSC SECURITIES CORPORATION|200 PARK AVENUE||NEW YORK NY 10166|USA|||  ||JOSEPH W. CONNOLLY|212-922-7045|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|07/24/1997|0|13|10|0|0|0
New York Regional Office|    249|801-887|OPPENHEIMER & CO. INC.|OPPENHEIMER & CO. INC.|200 PARK AVENUE, 24TH FLR.||NEW YORK NY 10166|USA|||  ||STEPHEN BEACH|212-667-5421|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|02/09/1955|2|45|0|0|0|0
New York Regional Office|    361|801-16048|GOLDMAN, SACHS & CO.|GOLDMAN, SACHS & CO.|85 BROAD ST.||NEW YORK NY 10004|USA|||  ||AMY CURRAN|212-902-7344|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/13/1981|0|167|4|0|0|0
New York Regional Office|    583|801-13219|UBS GLOBAL ASSET MANAGEMENT (US) INC.|UBS GLOBAL ASSET MANAGEMENT (US) INC.|51 WEST 52ND STREET|16TH FLOOR|NEW YORK NY 10019-6114|USA|||  ||JOSEPH M. MCGILL|212-882-5367|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/25/1978|2|6|2|0|0|0
New York Regional Office|    615|801-47061|NEW ENGLAND SECURITIES CORPORATION|NEW ENGLAND SECURITIES CORPORATION|200 PARK AVENUE||NEW YORK NY 10166|USA|ONE METLIFE PLAZA|27-01 QUEENS PLAZA NORTH|LONG ISLAND CITY NY 11101|USA|MARC COHN|212.578.0594|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/26/1994|0|18|1|0|0|0
New York Regional Office|    680|801-12484|THE PRUDENTIAL INSURANCE COMPANY OF AMERICA|THE PRUDENTIAL INSURANCE COMPANY OF AMERICA|751 BROAD STREET||NEWARK NJ 07102-3777|USA|||  ||FRANCES POWERS|973-802-6937|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|12/27/1976|7|22|4|0|0|0
New York Regional Office|    816|801-56264|CREDIT SUISSE SECURITIES (USA) LLC|CREDIT SUISSE SECURITIES (USA) LLC|11 MADISON AVENUE||NEW YORK NY 10010|USA|1 MADISON AVENUE|9TH FLOOR|NEW YORK NY 10010|UNITED STATES|ROBERT SKRZYPCZAK|212-325-2108|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/12/1999|14|197|7|0|0|0
New York Regional Office|    824|801-60881|NIKKO ASSET MANAGEMENT AMERICAS, INC.|NIKKO ASSET MANAGEMENT AMERICAS, INC.|535 MADISON AVENUE|SUITE 2500|NEW YORK NY 10022|USA|||  ||LAURIE A. VICARI|212-610-6124|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/22/2002|0|25|2|0|0|0
New York Regional Office|    833|801-50585|TOWER SQUARE SECURITIES, INC.|TOWER SQUARE SECURITIES, INC.|200 PARK AVENUE||NEW YORK NY 10166|USA|27-01 QUEENS PLAZA NORTH|1 METLIFE PLAZA|LONG ISLAND CITY NY 11101|U.S.A.|MARC COHN|212-578-0594|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|11/28/1995|0|37|5|0|0|0
New York Regional Office|   1844|801-7885|FIRST INVESTORS MANAGEMENT CO INC|FIRST INVESTORS MANAGEMENT COMPANY, INC.|110 WALL STREET|4TH  FLOOR|NEW YORK NY 10005|USA|||  ||LAVOIE, LARRY|212-858-8120|Corporation|Portfolio management for investment companies, Selection of other advisers, Other|APPROVED|10/29/1971|0|14|2|0|0|0
New York Regional Office|   1845|801-12411|FIRST MANHATTAN CO|FIRST MANHATTAN CO|437 MADISON AVENUE||NEW YORK NY 10022|USA|||  ||CAPELLINI, SUZANNE M|212-756-3480|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/13/1977|0|7|0|0|0|0
New York Regional Office|   2002|801-65667|GILDER GAGNON HOWE & CO. LLC|GILDER GAGNON HOWE & CO. LLC|335 MADISON AVENUE||NEW YORK NY 10017|USA|1775 BROADWAY||NEW YORK NY 10019|USA|TOM BORGESON|212-765-2500|Limited Liability Company|Portfolio management for individuals and/or small businesses, Other|APPROVED|01/27/2006|0|0|0|0|0|0
New York Regional Office|   2016|801-9661|GLICKENHAUS & CO.|GLICKENHAUS & CO.|546 FIFTH AVENUE|7TH FLOOR|NEW YORK NY 10036-5000|USA|||  ||LINDA C. ANDERSON|(212) 953-7872|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/05/1973|0|4|0|0|0|0
New York Regional Office|   2072|801-555|DAVID J. GREENE AND COMPANY, LLC|DAVID J. GREENE AND COMPANY, LLC|599 LEXINGTON AVENUE|12TH FLOOR|NEW YORK NY 10022|USA|||  ||LEE UNTERMAN|212-371-4200|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/02/1952|0|0|0|0|0|0
New York Regional Office|   2078|801-64649|M. GRIFFITH INVESTMENT SERVICES, INC.|M. GRIFFITH INVESTMENT SERVICES, INC.|555 FRENCH RD BLDG 2||NEW HARTFORD NY 13413-0895|USA|||  ||DAVID T. GRIFFITH|315-797-0130|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|09/08/2005|0|0|0|0|0|0
New York Regional Office|   2185|801-66238|P. R. HERZIG & CO. INC.|P. R. HERZIG & CO. INC.|1 EXPRESSWAY PLAZA|SUITE 200|ROSLYN HEIGHTS NY 11577|USA|||  ||ARTHUR PESNER|516-621-0200|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|02/17/2006|0|0|0|0|0|0
New York Regional Office|   2288|801-5016|INGALLS & SNYDER LLC|INGALLS & SNYDER LLC|61 BROADWAY||NEW YORK NY 10006|USA|||  ||EDWARD H. OBERST|212-269-7812|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/21/1968|0|4|0|0|0|0
New York Regional Office|   2440|801-9182|KIMELMAN & BAIRD, LLC|KIMELMAN & BAIRD, LLC|100 PARK AVE||NEW YORK NY 10017|USA|||  ||KIMELMAN, PATRICIA|(212) 686-0021|Limited Liability Company|Portfolio management for individuals and/or small businesses, Other|APPROVED|04/02/1973|0|6|0|0|0|0
New York Regional Office|   2498|801-67232|R. F. LAFFERTY & CO., INC.|R. F. LAFFERTY & CO., INC.|80 BROAD ST. 26 FLOOR||NEW YORK NY 10004|USA|||  ||HENRY HACKEL|212-293-9090|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|11/08/2006|0|0|0|0|0|0
New York Regional Office|   2525|801-9638|DEUTSCHE BANK SECURITIES INC.|DEUTSCHE BANK SECURITIES INC.|60 WALL STREET||NEW YORK NY 10005|USA|||  ||MARGARET M. ADAMS|212-250-5762|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|11/12/1973|1|124|1|0|0|0
New York Regional Office|   2625|801-67134|BERNARD L. MADOFF INVESTMENT SECURITIES LLC|BERNARD L. MADOFF INVESTMENT SECURITIES LLC|885 THIRD AVENUE||NEW YORK NY 10022|USA|||  ||PETER MADOFF|212 230 2424|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/12/2006|0|2|0|0|0|0
New York Regional Office|   2733|801-15425|GEORGE MCKELVEY CO., INC.|GEORGE MCKELVEY CO., INC.|529 WASHINGTON BLVD||SEA GIRT NJ 08750-2904|USA|||  ||CHRISTOPHER J. RANDAZZO|732-449-5323|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|09/04/1980|0|10|0|0|0|0
New York Regional Office|   2908|801-3908|NEUBERGER BERMAN, LLC|NEUBERGER BERMAN, LLC|605 THIRD AVENUE||NEW YORK NY 10158|USA|||  ||LORAINE OLAVARRIA|646-497-4670|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/26/1966|0|20|0|0|0|0
New York Regional Office|   3140|801-13457|W. H. REAVES & CO., INC.|W. H. REAVES & CO., INC.|10 EXCHANGE PLACE, 18TH FLOOR||JERSEY CITY NJ 07302|USA|||  ||DAVID M. PASS|201-332-4596|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/01/1977|0|1|0|0|0|0
New York Regional Office|   3254|801-35917|SAGE, RUTTY & CO., INC.|SAGE, RUTTY & CO., INC.|1621 JEFFERSON RD||ROCHESTER NY 14623|USA|||  ||TERRI F. RUMANS|(585)512-2343|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|01/26/1990|0|0|0|0|0|0
New York Regional Office|   3403|801-977|SHUFRO, ROSE & CO., LLC|SHUFRO, ROSE & CO., LLC|745 5TH AVENUE, 26TH FL||NEW YORK NY 10151-2600|USA|||  ||LEIT, STEPHEN D.|(212)754-5100|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/07/1955|0|14|0|0|0|0
New York Regional Office|   3524|801-4175|STRALEM & CO INC|STRALEM & COMPANY, INCORPORATED|645 MADISON AVENUE||NEW YORK NY 10022|USA|||  ||PACCIONE, JOANN|212-888-8123|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/18/1967|0|0|0|0|0|0
New York Regional Office|   3875|801-62276|BRIGHTON FINANCIAL PLANNING|BRIGHTON SECURITIES CORP.|1703 MONROE AVENUE||ROCHESTER NY 14618|USA|||  ||ROBERT L. LOHWATER|585-473-3590|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|09/08/2003|0|3|1|0|0|0
New York Regional Office|   3989|801-57963|ING INVESTMENT ADVISORS, LLC|ING INVESTMENT ADVISORS, LLC|400 ATRIUM DRIVE||SOMERSET NJ 08873-4172|USA|1 HERITAGE DRIVE||QUINCY MA 02171|USA|LYNN SHAPIRO-SMITH|732-514-8566|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|09/25/2000|0|1|0|0|0|0
New York Regional Office|   3994|801-5678|RUANE, CUNNIFF & GOLDFARB INC.|RUANE, CUNNIFF & GOLDFARB INC.|767 FIFTH AVE|SUITE 4701|NEW YORK NY 10153-4798|USA|||  ||JOSEPH QUINONES, JR.|(212) 832-5280|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/16/1969|0|6|0|0|0|0
New York Regional Office|   4095|801-13613|METROPOLITAN LIFE INSURANCE COMPANY|METROPOLITAN LIFE INSURANCE COMPANY|200 PARK AVENUE||NEW YORK NY 10166|USA|1 METLIFE PLAZA|27-01 QUEENS PLAZA NORTH|LONG ISLAND CITY NY 11101||JEFFREY HALPERIN|212-578-7531|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|12/14/1977|0|82|5|0|0|0
New York Regional Office|   5155|801-63525|LEGEND MERCHANT GROUP, INC.|LEGEND MERCHANT GROUP, INC.|30 BROAD STREET, 38TH FLOOR||NEW YORK NY 10004|USA|||  ||DAVID G. HANNA|212-809-5568|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|10/01/2004|0|8|0|0|0|0
New York Regional Office|   5493|801-8259|NEUBERGER BERMAN MANAGEMENT INC.|NEUBERGER BERMAN MANAGEMENT INC.|605 THIRD AVENUE||NEW YORK NY 10158-0180|USA|||  ||LORAINE OLAVARRIA|646-497-4670|Corporation|Portfolio management for investment companies, Other|APPROVED|12/14/1971|0|7|0|0|0|0
New York Regional Office|   5685|801-52208|PRUDENTIAL FINANCIAL PLANNING SERVICES|PRUCO SECURITIES, LLC|751 BROAD STREET||NEWARK NJ 07102-3777|USA|||  ||ANDREW M. SHAINBERG|(973) 802-4015|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/28/1996|12|35|2|0|0|0
New York Regional Office|   5845|801-7566|A. R. SCHMEIDLER & CO., INC.|A. R. SCHMEIDLER & CO., INC.|500 FIFTH AVE||NEW YORK NY 10110-1405|USA|||  ||KANDEL, PETER G|212-687-9800|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/12/1971|0|1|0|0|0|0
New York Regional Office|   6627|801-14065|AXA ADVISORS, LLC|AXA ADVISORS, LLC|1290 AVENUE OF THE AMERICAS||NEW YORK NY 10104||||  ||MAURYA C. KEATING|212-314-6718|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|09/22/1978|8|79|0|0|0|0
New York Regional Office|   6635|801-9654|GUARDIAN INVESTOR SERVICES LLC|GUARDIAN INVESTOR SERVICES LLC|7 HANOVER SQUARE||NEW YORK NY 10004|USA|||  ||GREEN, ANITA L|610-807-7713|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/11/1974|0|3|0|0|0|0
New York Regional Office|   6857|801-10669|TWEEDY, BROWNE COMPANY LLC|TWEEDY, BROWNE COMPANY LLC|350 PARK AVENUE||NEW YORK NY 10022|USA|||  ||KENNETH E. LEOPOLD|212-916-0600|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/25/1975|0|5|0|0|0|0
New York Regional Office|   6958|801-44091|J. B. HANAUER & CO.|J. B. HANAUER & CO.|4 GATEHALL DR.||PARSIPPANY NJ 07054|USA|||  ||GREG PLIFKA|(973) 829-1000|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/10/1993|0|18|0|0|0|0
New York Regional Office|   7059|801-3387|CITIGROUP GLOBAL MARKETS INC.|CITIGROUP GLOBAL MARKETS INC.|787 SEVENTH AVENUE|32ND FLOOR|NEW YORK NY 10019|USA|||  ||ISRAEL GRAFSTEIN|212.783.4097|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|02/23/1964|2|284|3|0|0|0
New York Regional Office|   7178|801-9388|MONTROSE PRIVATE CLIENTS|BOSTON INVESTING CORPORATION|505 PARK AVENUE|20TH FLOOR|NEW YORK NY 10022-1106|USA|||  ||LOIS MCNAUGHTON|212-888-5252|Corporation|Financial planning services, Selection of other advisers|APPROVED|08/08/1973|0|0|0|0|0|0
New York Regional Office|   7186|801-9204|WALL STREET MANAGEMENT CORPORATION|WALL STREET MANAGEMENT CORPORATION|441 LEXINGTON AVENUE|17TH FLOOR|NEW YORK NY 10017|USA|||  ||LINBURN, MICHAEL R.|212-856-8209|Corporation|Portfolio management for investment companies|APPROVED|04/16/1973|0|2|0|0|0|0
New York Regional Office|   7340|801-12733|MELHADO, FLYNN & ASSOCIATES, INC|MELHADO, FLYNN & ASSOCIATES, INC.|530 FIFTH AVE||NEW YORK NY 10036|USA|||  ||JEANNE MCCARTHY|212-764-3608|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/18/1977|0|4|0|0|0|0
New York Regional Office|   7344|801-63247|DOMINICK & DOMINICK LLC|DOMINICK & DOMINICK LLC|150 EAST 52ND STREET|3RD FLOOR|NEW YORK NY 10022|USA|||  ||ROBERT REILLY|212-558-8902|Limited Liability Company|Portfolio management for individuals and/or small businesses, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|07/12/2004|0|6|0|0|0|0
New York Regional Office|   7506|801-3701|LEHMAN BROTHERS INC.|LEHMAN BROTHERS INC.|399 PARK AVE||NEW YORK NY 10022|USA|1271 AVENUE OF THE AMERICAS|42ND FLOOR|NEW YORK NY 10020||LENORE BELL|212-526-7393|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/25/1975|0|373|3|0|0|0
New York Regional Office|   7536|801-22046|H. G. WELLINGTON & CO. INC. CAPITAL MANAGEMENT DIVISION|H. G. WELLINGTON & CO., INC.|14 WALL STREET, SUITE 1702||NEW YORK NY 10005|USA|||  ||KRISTI METZ FURNARI|212-406-2193|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/21/1984|0|0|0|0|0|0
New York Regional Office|   7691|801-14235|MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED|MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED|4 WORLD FINANCIAL CENTER||NEW YORK NY 10281|USA|ATTN:  MARLA MOSKOWITZ-HESSE|222 BROADWAY, 16TH FLOOR|NEW YORK NY 10038|USA|MARLA MOSKOWITZ-HESSE|212-670-0314|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|12/08/1978|0|281|5|0|0|0
New York Regional Office|   7727|801-14033|SULLIVAN, MORRISSEY & MICKLE CAPITAL MANAGEMENT CORP|SULLIVAN,MORRISSEY & MICKLE CAPITAL MANAGEMENT CORP.|450 PARK AVENUE||NEW YORK NY 10022|USA|||  ||THOMAS F FLYNN|212-832-7440|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/09/1978|0|0|0|0|0|0
New York Regional Office|   7754|801-30987|BENJAMIN SECURITIES, INC.|BENJAMIN SECURITIES, INC.|378 SOUTH OYSTER BAY ROAD||HICKSVILLE NY 11801|USA|||  ||LEO J BENJAMIN|516-931-1090|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/24/1987|0|0|0|0|0|0
New York Regional Office|   7789|801-68566|UNICREDIT CAPITAL MARKETS, INC|UNICREDIT CAPITAL MARKETS, INC|150 EAST 42ND STREET||NEW YORK NY 10017|USA|||  ||ANDREW LUPO|212-672-5945|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/10/2007|0|3|0|0|0|0
New York Regional Office|   7826|801-11233|MAHLER & EMERSON INC.|MAHLER & EMERSON INC.|570 LEXINGTON AVENUE||NEW YORK NY 10022|USA|P. O. BOX 3146 GRAND CENTRAL STATION||NEW YORK NY 10163-3146|USA|HERBERT MAHLER|212-702-6608|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|12/23/1975|0|1|0|0|0|1
New York Regional Office|   8000|801-67109|THE GMS GROUP, LLC|THE GMS GROUP, LLC|5N REGENT STREET|SUITE 513|LIVINGSTON NJ 07039-9850|USA|||  ||TIMOTHY DONOHUE|(973) 548-2519|Limited Liability Company|Portfolio management for investment companies, Other|APPROVED|09/07/2006|0|6|4|0|0|0
New York Regional Office|   8041|801-14866|LEVY, HARKINS & CO., INC.|LEVY, HARKINS & CO., INC.|366 MADISON AVENUE|14TH FLOOR|NEW YORK NY 10017|USA|||  ||LOSCALZO, LUCIA|212-888-3030|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/19/1979|0|0|0|0|0|0
New York Regional Office|   8174|801-7163|UBS FINANCIAL SERVICES INC.|UBS FINANCIAL SERVICES INC.|1200 HARBOR BOULEVARD||WEEHAWKEN NJ 07086|USA|1200 HARBOR BLVD., 10TH FLOOR||WEEHAWKEN NJ 07086||MARA GALEANO|201-352-0447|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters, Security ratings or pricing services|APPROVED|01/22/1971|74|627|8|0|0|0
New York Regional Office|   8209|801-11727|MORGAN STANLEY & CO. INCORPORATED|MORGAN STANLEY & CO. INCORPORATED|1585 BROADWAY||NEW YORK NY 10036-8293|USA|NORTH AMERICAN REGISTRATION|901 SOUTH BOND STREET, 3RD FLOOR|BALTIMORE MD 21231|USA|SEAN DRISCOLL|410-534-2152|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|06/17/1976|0|197|71|0|0|0
New York Regional Office|   8517|801-17402|ABNER HERRMAN & BROCK, LLC|ABNER HERRMAN & BROCK, LLC|HABORSIDE FINANCIAL CENTER|PLAZA 5 SUITE 1640|JERSEY CITY NJ 07311|USA|||  ||ABNER, HOWARD J|201-484-2000|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/09/1982|0|1|0|0|0|0
New York Regional Office|  10019|801-56048|KDC MERGER ARBITRAGE FUND, LP|KDC MERGER ARBITRAGE FUND, LP|900 THIRD AVE|STE 1000|NEW YORK NY 10022|USA|||  ||GLEN M. FRIEDMAN|212-350-0262|Partnership|Other|APPROVED|12/31/1998|0|0|0|0|0|0
New York Regional Office|  10641|801-42709|CADARET GRANT & CO INC|CADARET, GRANT & CO., INC.|110 WEST FAYETTE ST||SYRACUSE NY 13202|USA|||  ||DONALD JAYNES|315-471-2191|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|11/23/1992|0|5|0|0|0|0
New York Regional Office|  10929|801-39571|LOEB PARTNERS CORPORATION|LOEB PARTNERS CORPORATION|61 BROADWAY||NEW YORK NY 10006|USA|||  ||MICHAEL S. EMANUEL|212-483-7047|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/29/1991|0|3|0|0|0|0
New York Regional Office|  10985|801-15614|PENSION FUND EVALUATIONS, INC.|PENSION FUND EVALUATIONS, INC.|2450 MIDDLE COUNTRY RD||CENTEREACH NY 11720|USA|||  ||GREGORY PHILIPPS|631-585-8282|Other (specify)|Pension consulting services, Selection of other advisers, Other|APPROVED|11/14/1980|1|10|2|0|0|0
New York Regional Office|  11039|801-39162|SUMMIT EQUITIES INC|SUMMIT EQUITIES, INC.|4 CAMPUS DR||PARSIPPANY NJ 07054-0413|USA|||  ||HANLEY, JUANITA D.|973 285 3670|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Market timing services|APPROVED|06/26/1991|1|0|0|0|0|0
New York Regional Office|  11053|801-56498|SHIELDS CAPITAL CORPORATION|SHIELDS CAPITAL CORPORATION|140 BROADWAY,44TH FLOOR||NEW YORK NY 10005|USA|||  ||CHRISTOPHER MEYER|212 320-3080|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|05/05/1999|0|2|0|0|0|0
New York Regional Office|  11085|801-22856|ATALANTA SOSNOFF MANAGEMENT, LLC|ATALANTA SOSNOFF MANAGEMENT, LLC|101 PARK AVENUE||NEW YORK NY 10178|USA|||  ||KELLY, KEVIN S|212-867-5000|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/28/1984|0|0|0|0|0|0
New York Regional Office|  11826|801-61540|A.H. HAYNES & CO., INC.|A.H. HAYNES & CO., INC.|711 FIFTH AVENUE, 5TH FLOOR||NEW YORK NY 10022|USA|||  ||AMANDA H. HAYNES-DALE|212-826-2909|Corporation|Selection of other advisers|APPROVED|10/18/2002|0|0|0|0|0|0
New York Regional Office|  13452|801-15504|ACCRUED EQUITIES INC.|ACCRUED EQUITIES INC.|150 BROADHOLLOW RD., SUITE 306||MELVILLE NY 11747|USA|||  ||SCHOENWALD, DAVID J|631 423 7373|Corporation|Portfolio management for investment companies|APPROVED|10/06/1980|0|0|0|0|0|0
New York Regional Office|  13755|801-55430|FIRST MONTAUK SECURITIES CORP.|FIRST MONTAUK SECURITIES CORP.|328 NEWMAN SPRINGS RD||RED BANK NJ 07701|USA|||  ||CELESTE LEONARD|732-842-4700|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/13/1998|0|28|0|0|0|0
New York Regional Office|  13774|801-19281|WARFIELD ASSOCIATES, INC.|WARFIELD ASSOCIATES, INC.|40 WEST 57TH STREET|FLOOR 20|NEW YORK NY 10019|USA|||  ||MARCIN BROZEK|212-207-2353|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|06/22/1983|0|0|0|0|0|0
New York Regional Office|  13997|801-56934|GOLDSMITH & HARRIS INCORPORATED|GOLDSMITH & HARRIS INCORPORATED|80 PINE STREET||NEW YORK NY 10005|USA|||  ||PHILIP W. GOLDSMITH|(212) 514-5515|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/25/1999|0|2|0|0|0|0
New York Regional Office|  14251|801-22306|METLIFE SECURITIES INC.|METLIFE SECURITIES INC.|200 PARK AVENUE||NEW YORK NY 10166|USA|ONE METLIFE PLAZA|27-01 QUEENS PLAZA NORTH|LONG ISLAND CITY NY 11101|USA|MARC A. COHN|212-578-0594|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|10/16/1984|0|12|4|0|0|0
New York Regional Office|  14268|801-14051|E. MAGNUS OPPENHEIM & CO. INC.|E. MAGNUS OPPENHEIM & CO. INC.|551 FIFTH AVENUE||NEW YORK NY 10176-0516|USA|||  ||E. MAGNUS OPPENHEIM|212-983-1818|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|08/30/1978|0|1|0|0|0|0
New York Regional Office|  14974|801-68283|R. SEELAUS & CO., INC.|R. SEELAUS & CO.,INC.|25 DE FOREST AVENUE|SUITE 102|SUMMIT NJ 07901|USA|||  ||KAROLINA PAJDAK|908 273 3011|Other (specify)|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|08/30/2007|0|5|0|0|0|0
New York Regional Office|  15168|801-34964|OPPENHEIMER & CLOSE, INC.|OPPENHEIMER & CLOSE, INC.|119 W 57TH STREET|SUITE 1515|NEW YORK NY 10019-2303|USA|||  ||GABRIELA POWELL|212-489-7527|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|08/10/1989|0|0|0|0|0|0
New York Regional Office|  15277|801-62529|STUDNESS RESEARCH, INC.|STUDNESS RESEARCH, INC.|60 BINGHAM CIRCLE||MANHASSET NY 11030|USA|||  ||CHARLES STUDNESS|516 627-4976|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/13/2003|0|0|0|0|0|0
New York Regional Office|  15356|801-21317|MUTUAL OF AMERICA LIFE INSURANCE COMPANY|MUTUAL OF AMERICA LIFE INSURANCE COMPANY|320 PARK AVENUE||NEW YORK NY 10022-6839|USA|||  ||JAMES J. ROTH|(212) 224-1569|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Publication of periodicals or newsletters|APPROVED|06/01/1984|0|1|0|0|0|0
New York Regional Office|  15840|801-62161|WALNUT STREET SECURITIES, INC.|WALNUT STREET SECURITIES, INC.|200 PARK AVENUE||NEW YORK NY 10166|USA|27-01 QUEENS PLAZA NORTH|1 METLIFE PLAZA|LONG ISLAND CITY NY 11101|USA|MARC COHN|212-578-0594|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/10/2003|0|9|2|0|0|0
New York Regional Office|  16204|801-68438|LIFEMARK SECURITIES CORP.|LIFEMARK SECURITIES CORP.|400 WEST METRO FINANCIAL CENTER||ROCHESTER NY 14623|USA|||  ||BRUCE ALLAN MOAR|585-424-5672 X40|Corporation|Selection of other advisers|APPROVED|10/17/2007|0|0|0|0|0|0
New York Regional Office|  16360|801-62735|NEEDHAM & COMPANY, LLC|NEEDHAM & COMPANY, LLC|445 PARK AVENUE||NEW YORK NY 10022-2602|U.S.A.|||  ||JAMES M. ABBRUZZESE|212-705-0364|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|02/12/2004|0|17|1|0|0|0
New York Regional Office|  16629|801-69225|EXCEL SECURITIES & ASSOCIATES,INC.|EXCEL SECURITIES & ASSOCIATES,INC.|200 CANAL VIEW BLVD.|SUITE 204|ROCHESTER NY 14623|USA|||  ||JOSEPH LANZISERA|585-424-1234|Corporation|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|06/11/2008|0|0|0|0|0|0
New York Regional Office|  16736|801-25646|GOLDMAN CAPITAL MANAGEMENT, INC.|GOLDMAN CAPITAL MANAGEMENT, INC.|320 PARK AVE.|10TH FLOOR|NEW YORK NY 10022|USA|||  ||THOMAS F FLYNN|212-415-7260|Corporation|Portfolio management for individuals and/or small businesses, Other|APPROVED|11/07/1985|0|0|0|0|0|0
New York Regional Office|  17128|801-21607|FIRST LONG ISLAND INVESTORS, LLC|FIRST LONG ISLAND INVESTORS, LLC|ONE JERICHO PLAZA|SUITE 201|JERICHO NY 11753-1673|USA|||  ||SIEGEL, BRUCE A.|516-935-1200|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|07/13/1984|0|0|0|0|0|0
New York Regional Office|  17443|801-61756|ENSEMBLE FINANCIAL SERVICES, INC.|ENSEMBLE FINANCIAL SERVICES, INC.|179 SULLY'S TRAIL|SUITE 302|PITTSFORD NY 14467|USA|||  ||F. STEPHEN WERSHING, JR.|585.419.1010|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|01/24/2003|0|2|0|0|0|0
New York Regional Office|  18718|801-46056|J. P. MORGAN SECURITIES INC.|J. P. MORGAN SECURITIES INC.|270/277 PARK AVENUE||NEW YORK NY 10017-2014|USA|||  ||CAROL RUOCCO|(201) 595-8471|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/08/1994|0|186|6|0|0|0
New York Regional Office|  19585|801-64563|HSBC SECURITIES (USA) INC.|HSBC SECURITIES (USA) INC.|452 FIFTH AVENUE|2ND FLOOR|NEW YORK NY 10018|USA|||  ||ANTHONY M VERGA|212-525-2667|Corporation|Selection of other advisers, Other|APPROVED|08/30/2005|0|20|0|0|0|0
New York Regional Office|  20472|801-63550|TIAA-CREF ADVICE AND PLANNING SERVICES|TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC|730 THIRD AVENUE||NEW YORK NY 10017-3206|USA|||  ||LISA K. LYNN|704-988-2765|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|09/24/2004|0|2|1|0|0|0
New York Regional Office|  20626|801-56426|INNOVATIVE MARKET TRENDS|TFS SECURITIES, INC.|437 NEWMAN SPRINGS RD||LINCROFT NJ 07738|USA|||  ||LINDA HYLAND-RASH|732-758-9300|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|05/05/1999|0|2|0|0|0|0
New York Regional Office|  20989|801-38319|JPMORGAN ALTERNATIVE ASSET MANAGEMENT|J.P. MORGAN ALTERNATIVE ASSET MANAGEMENT, INC.|245 PARK AVENUE||NEW YORK NY 10167|USA|||  ||LEONARD F. WALLACE|(212) 648-2631|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|02/22/1991|0|7|5|0|0|0
New York Regional Office|  21274|801-32004|UAS ASSET MANAGEMENT|UNITED AMERICAN SECURITIES, INC.|441 LEXINGTON AVE|SUITE 1220|NEW YORK NY 10017|USA|||  ||ALI GERANMAYEH|212-983-5822|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/22/1988|0|0|0|0|0|0
New York Regional Office|  21787|801-31774|COMMERZBANK CAPITAL MARKETS CORP|COMMERZBANK CAPITAL MARKETS CORP.|2 WORLD FINANCIAL CENTER||NEW YORK NY 10281-1050|UNITED STATES|||  ||LORD, ROBERT|(212) 703-4022|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/02/1988|0|2|0|0|0|0
New York Regional Office|  22549|801-65646|BURNHAM SECURITIES INC|BURNHAM SECURITIES INC.|1325 AVENUE OF THE AMERICAS|26TH FLOOR|NEW YORK NY 10019|USA|||  ||THOMAS CALABRIA|212-603-7532|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/27/2006|0|4|0|0|0|0
New York Regional Office|  22998|801-39604|MUZINICH & CO INC|MUZINICH & CO INC|450 PARK AVE||NEW YORK NY 10022|USA|||  ||MARK CLARK|212-888-3413|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/16/1991|0|1|0|0|0|0
New York Regional Office|  23131|801-54859|ROYAL ALLIANCE ASSOCIATES, INC.|ROYAL ALLIANCE ASSOCIATES, INC.|ONE WORLD FINANCIAL CENTER|15TH FLOOR|NEW YORK NY 10281|USA|||  ||JAMES PHILIP BODOVITZ|(212) 551-5909|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|09/10/1997|2|83|6|0|0|0
New York Regional Office|  23437|801-60896|MONARCH FINANICAL CORPORATION OF AMERICA|MONARCH FINANICAL CORPORATION OF AMERICA|1270 AVENUE OF THE AMERICAS|SUITE 301|NEW YORK NY 10020|USA|||  ||JAMES C. DES LONDE|212-332-7000|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/04/2002|0|4|0|0|0|0
New York Regional Office|  24534|801-34305|BENCHMARK CAPITAL ADVISORS|BENCHMARK CAPITAL ADVISORS, INC.|100 WALL STREET|8TH FLOOR|NEW YORK NY 10005|USA|||  ||DAVIS, ROD|212-607-5434|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|04/25/1989|0|1|0|0|0|0
New York Regional Office|  24750|801-61795|DU PASQUIER ASSET MANAGEMENT|DUPASQUIER & CO., INC.|ONE BATTERY PARK PLAZA||NEW YORK NY 10004|USA|||  ||CHRISTOPHER J. MORAN|212-624-3164|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/27/2003|0|1|0|0|0|0
New York Regional Office|  24790|801-57121|COLLINS STEWART LLC|COLLINS STEWART LLC|350 MADISON AVENUE||NEW YORK NY 10017|USA|||  ||HOWARD R. SUTHERLAND|212-389-8100|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/07/2000|0|9|0|0|0|0
New York Regional Office|  25644|801-68925|FINANCIAL CONSULTANT GROUP, LLC|FINANCIAL CONSULTANT GROUP, LLC|23 CENTER STREET||CHATHAM NJ 09728|USA|||  ||CHRISTOPHER COOK|(973) 507-0700|Limited Liability Company|Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|03/28/2008|0|1|0|0|0|0
New York Regional Office|  26091|801-54997|BANC OF AMERICA SECURITIES LLC|BANC OF AMERICA SECURITIES LLC|ONE BRYANT PARK|6TH FLOOR|NEW YORK NY 10036|USA|||  ||DOUGLAS G. PRESTON|646-313-8269|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|10/01/1997|0|72|8|0|0|0
New York Regional Office|  27240|801-42453|SANDALWOOD SECURITIES, INC.|SANDALWOOD SECURITIES, INC.|101 EISENHOWER PARKWAY||ROSELAND NJ 07068|USA|101 EISENHOWER PARKWAY||ROSELAND NJ 07068|USA|MARTIN GROSS|973-228-5466|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|10/01/1992|0|0|0|0|0|0
New York Regional Office|  27704|801-37906|THE WINCHESTER GROUP, INC.|THE WINCHESTER GROUP, INC.|780 THIRD AVENUE||NEW YORK NY 10017-2024|USA|||  ||CLARE NOLAN|212-486-8181|Corporation|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|12/13/1990|0|0|0|0|0|0
New York Regional Office|  28432|801-61542|BEAR, STEARNS SECURITIES CORP.|BEAR, STEARNS SECURITIES CORP.|383 MADISON AVENUE||NEW YORK NY 10179|USA|115 SOUTH JEFFERSON ROAD|ATTN: BRUCE KARP|WHIPPANY NJ 07981|U.S.A.|TIMOTHY J. MURPHY|973-793-2213|Corporation|Selection of other advisers, Other|APPROVED|11/05/2002|1|60|2|0|0|0
New York Regional Office|  28722|801-61151|NATIXIS SECURITIES NORTH AMERICA INC.|NATIXIS SECURITIES NORTH AMERICA INC.|9 WEST 57TH STREET|36TH FLOOR|NEW YORK NY 10019|USA|||  ||JOSEPH VUOLO|212-891-1852|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/15/2002|0|2|0|0|0|0
New York Regional Office|  29102|801-68376|TAGLICH BROTHERS, INC.|TAGLICH BROTHERS, INC.|700 NEW YORK AVENUE|SUITE B|HUNTINGTON NY 11743|USA|||  ||RICHARD OH|631-757-1500|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|11/06/2007|0|9|0|0|0|0
New York Regional Office|  29278|801-62290|BELLE HAVEN INVESTMENTS, L.P.|BELLE HAVEN INVESTMENTS, L.P.|1133 WESTCHESTER AVE.|SUITE S 221|WHITE PLAINS NY 10604|USA|||  ||MARK STEFFEN|203-629-3323|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/26/2006|0|2|0|0|0|0
New York Regional Office|  31194|801-13059|RBC CAPITAL MARKETS CORPORATION|RBC CAPITAL MARKETS CORPORATION|ONE LIBERTY PLAZA|165 BROADWAY|NEW YORK NY 10006-1404|USA|||  ||ROSEANN VISCARDI|212-858-7118|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|06/02/1977|4|143|3|0|0|0
New York Regional Office|  33364|801-61224|MATRIX CAPITAL GROUP|MATRIX CAPITAL GROUP, INC.|335 MADISON AVENUE|11TH FLOOR|NEW YORK NY 10017|USA|||  ||CHRISTOPHER ANCI|212-652-3290|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|06/20/2002|0|0|0|0|0|0
New York Regional Office|  35693|801-67167|BNY CONVERGEX EXECUTION SOLUTIONS LLC|BNY CONVERGEX EXECUTION SOLUTIONS LLC|1633 BROADWAY||NEW YORK NY 10019|USA|||  ||ROBERT VIRGILIO|212-468-7746|Limited Liability Company|Other|APPROVED|09/27/2006|0|12|0|0|0|0
New York Regional Office|  35830|801-58292|WALL STREET FINANCIAL GROUP, INC|WALL STREET FINANCIAL GROUP, INC.|255 WOODCLIFF DR||FAIRPORT NY 14450|USA|||  ||NANCY KAY|585-267-8000|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|02/02/2001|1|4|3|0|0|0
New York Regional Office|  36026|801-67370|HANYS BENEFIT SERVICES|HEALTHCARE COMMUNITY SECURITIES CORPORATION|ONE EMPIRE DRIVE||RENSSELAER NY 12144|USA|||  ||TODD BAUGHN|518-431-7600|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|01/05/2007|0|0|0|0|0|0
New York Regional Office|  37214|801-46649|MBIA ASSET MANAGEMENT GROUP|MBIA CAPITAL MANAGEMENT CORP.|113 KING ST||ARMONK NY 10504-1610|USA|||  ||CLIFFORD D. CORSO|(914) 765-3272|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/01/1994|0|2|0|0|0|0
New York Regional Office|  38235|801-61194|APB FINANCIAL GROUP, INC.|APB FINANCIAL GROUP, INC.|17 STATE STREET|SUITE 1650|NEW YORK NY 10004|USA|||  ||EDWARD F. COYLE|(212)293-3410|Corporation|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|06/03/2002|1|0|0|0|0|0
New York Regional Office|  38474|801-49252|OLSTEIN CAPITAL MANAGEMENT, L.P.|OLSTEIN CAPITAL MANAGEMENT, L.P.|4 MANHATTANVILLE ROAD||PURCHASE NY 10577-2119|USA|||  ||LUPER, MICHAEL|914-269-6111|Partnership|Portfolio management for investment companies|APPROVED|06/05/1995|0|1|0|0|0|0
New York Regional Office|  38751|801-69290|LEIGH BALDWIN & CO., LLC|LEIGH BALDWIN & CO., LLC|112 ALBANY STREET||CAZENOVIA NY 13035|USA|||  ||SHARON HALLIGAN|315-734-1410|Limited Liability Company|Portfolio management for investment companies, Other|APPROVED|06/24/2008|0|2|0|0|0|0
New York Regional Office|  39056|801-67010|JESUP & LAMONT SECURITIES CORP.|JESUP & LAMONT SECURITIES CORP.|650 5TH AVENUE, 3RD FLOOR||NEW YORK NY 10019|USA|||  ||TIMOTHY MOYER|212-918-0437|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|07/26/2006|0|12|0|0|0|0
New York Regional Office|  39501|801-60371|VETIA, INC.|VETIA, INC.|466 SOUTHERN BOULEVARD||CHATHAM NJ 07928|USA|||  ||MARY E. ANTUNES|973-301-0930|Corporation|Selection of other advisers|APPROVED|06/22/2001|0|0|0|0|0|0
New York Regional Office|  40633|801-55281|FCG ADVISORS LLC|FCG ADVISORS, LLC|ONE MAIN ST|#202|CHATHAM NJ 07928|USA|||  ||JAMIE SHERR|973-635-7301|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|02/19/1998|0|0|0|0|0|0
New York Regional Office|  41076|801-56361|RAMIUS SECURITIES LLC|RAMIUS SECURITIES LLC|599 LEXINGTON AVE|21ST FLOOR|NEW YORK NY 10022|USA|||  ||JOHN FIORELLO|212-201-4855|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/23/1999|0|3|0|0|0|0
New York Regional Office|  42159|801-58085|E*TRADE CAPITAL MANAGEMENT, LLC|E*TRADE CAPITAL MANAGEMENT, LLC|135 E 57TH ST|17TH FL|NEW YORK NY 10022|USA|||  ||ROBIN KAMEDA|310-473-9100|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|11/20/2000|0|16|0|0|0|0
New York Regional Office|  43771|801-63087|TOBIAS BROS. INC.|TOBIAS BROS. INC.|623 FIFTH AVE., 25TH FLOOR||NEW YORK NY 10022|USA|||  ||LEW GLASSMAN|212-251-3200|Corporation|Other|APPROVED|05/07/2004|0|0|0|0|0|0
New York Regional Office|  44357|801-64064|HUDSON HERITAGE CAPITAL MANAGEMENT, INC.|HUDSON HERITAGE CAPITAL MANAGEMENT, INC.|1392 ALBANY POST ROAD||CROTON-ON-HUDSON NY 10520|USA|||  ||DOMINICK SCIANANDRE|914-271-8102|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/14/2008|0|0|0|0|0|0
New York Regional Office|  44379|801-55180|SAPERSTON ASSET MANAGEMENT, INC.|SAPERSTON ASSET MANAGEMENT, INC.|172 LAKE STREET||HAMBURG NY 14075|USA|||  ||KAREN L. SAPERSTON|716-649-9800|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|01/14/1998|0|0|0|0|0|0
New York Regional Office|  44575|801-56355|COMPREHENSIVE PROGRAMS, INC.|COMPREHENSIVE PROGRAMS, INC.|513 CENTENNIAL BLVD.||VOORHEES NJ 08043|USA|||  ||JEREMIAH O'CONNELL|856-874-1250|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|12/16/1999|0|0|0|0|0|0
New York Regional Office|  45287|801-55802|GLADOWSKY CAPITAL MANAGEMENT CORP|GLADOWSKY CAPITAL MANAGEMENT CORP|18 MANOR ROAD||SMITHTOWN NY 11787|USA|||  ||JASON GLADOWSKY|631-360-7200|Corporation|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|05/12/2000|0|0|0|0|0|0
New York Regional Office|  47251|801-64690|KOTAK MAHINDRA, INC.|KOTAK MAHINDRA, INC.|50 MAIN STREET|SUITE #310|WHITE PLAINS NY 10606|USA|||  ||SPENCER MCADAMS|914-997-6120|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/15/2005|0|0|0|0|0|0
New York Regional Office|  47798|801-56596|ACA/PRUDENT INVESTORS PLANNING CORPORATION|ACA/PRUDENT INVESTORS PLANNING CORPORATION|239 ROUTE 22 EAST|THIRD FLOOR|GREEN BROOK NJ 08812|USA|||  ||ALAN C. ACHTEL|732-926-1100|Corporation|Market timing services|APPROVED|06/15/1999|0|0|0|0|0|0
New York Regional Office| 102920|801-64031|J.P. MORGAN INSTITUTIONAL INVESTMENTS|J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.|245 PARK AVENUE||NEW YORK NY 10167|USA|||  ||KEVIN KLOZA|201-595-1958|Corporation|Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|04/05/2005|1|2|3|0|0|0
New York Regional Office| 103520|801-60940|PARK SOUTH SECURITIES, LLC|PARK SOUTH SECURITIES, LLC|5 EAST 59TH STREET|3RD FLOOR|NEW YORK NY 10022|USA|||  ||JEFFREY P. CAHN|212-755-7533|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|02/25/2002|0|0|0|0|0|0
New York Regional Office| 103727|801-64836|GAGNON SECURITIES, LLC|GAGNON SECURITIES, LLC|1370 6TH AVENUE||NEW YORK NY 10019|USA|||  ||SUSAN E GRANT|212-554-5050|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|10/21/2005|0|0|0|0|0|0
New York Regional Office| 103846|801-60515|MMC SECURITIES CORP.|MMC SECURITIES CORP.|1166 AVENUE OF THE AMERICAS||NEW YORK NY 10036|USA|||  ||MARK J. HAPPE|212-345-0864|Corporation|Pension consulting services, Selection of other advisers, Other|APPROVED|09/28/2001|0|1|4|0|0|0
New York Regional Office| 104068|801-58090|DELTEC ASSET MANAGEMENT LLC|DELTEC ASSET MANAGEMENT LLC|623 FIFTH AVENUE, 28TH FLOOR||NEW YORK NY 10022-5910|USA|||  ||STEPHEN ZUPPELLO|212-546-6285|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/29/2000|0|0|0|0|0|0
New York Regional Office| 104199|801-60270|SAFDI INVESTMENT SERVICES CORP.|SAFDI INVESTMENT SERVICES CORP.|360 MADISON AVENUE,19TH FLOOR||NEW YORK NY 10017|USA|||  ||VLAD UCHENIK|212-457-8660|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/01/2006|0|3|0|0|0|0
New York Regional Office| 104233|801-67767|SIGNATURE SECURITIES GROUP CORP.|SIGNATURE SECURITIES GROUP CORPORATION|29 WEST 38TH STREET||NEW YORK NY 10018|USA|||  ||MICHAEL J. TORREGIANO|646-822-1408|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/10/2007|1|2|0|0|0|0
New York Regional Office| 104255|801-67890|OBSIDIAN FINANCIAL GROUP LLC|OBSIDIAN FINANCIAL GROUP LLC|1000 WOODBURY ROAD|SUITE 110|WOODBURY NY 11797|USA|||  ||PHILIP DINA|516-422-6000|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/31/2007|0|0|0|0|0|0
New York Regional Office| 104474|801-57937|SANFORD C. BERNSTEIN & CO., LLC|SANFORD C. BERNSTEIN & CO., LLC|1345 AVENUE OF THE AMERICAS||NEW YORK NY 10105|USA|||  ||GREGORY ROSTA|(212)823-3122|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters, Other|APPROVED|09/28/2000|0|28|0|0|0|0
New York Regional Office| 104518|801-252|DEUTSCHE INVESTMENT MANAGEMENT AMERICAS INC.|DEUTSCHE INVESTMENT MANAGEMENT AMERICAS INC.|280 PARK AVENUE||NEW YORK NY 10017|USA|||  ||ROBERT A. KLOBY|212-454-7727|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|11/01/1940|1|13|1|0|0|0
New York Regional Office| 104525|801-42061|MORGAN STANLEY INVESTMENT ADVISORS INC.|MORGAN STANLEY INVESTMENT ADVISORS INC.|522 FIFTH AVENUE||NEW YORK NY 10036|USA|||  ||MADELINE BARKHORN|212-296-7045|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/06/1992|0|4|4|0|0|0
New York Regional Office| 104543|801-36845|HARDING LOEVNER LLC|HARDING LOEVNER LLC|50 DIVISION STREET, STE 401||SOMERVILLE NJ 08876|USA|||  ||LORI M. RENZULLI|908-218-7900|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/16/1990|0|0|0|0|0|0
New York Regional Office| 104548|801-7495|GRIFFIN ASSET MANAGEMENT, INC.|GRIFFIN ASSET MANAGEMENT, INC.|330 MADISON AVENUE|31ST FLOOR|NEW YORK NY 10017-5071|USA|||  ||STUTTIG, CHRISTINE|(212) 661-3636|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/09/1971|0|0|0|0|0|0
New York Regional Office| 104553|801-51232|NEW CENTURY FINANCIAL GROUP, LLC|NEW CENTURY FINANCIAL GROUP, LLC|118 WALL STREET||PRINCETON NJ 08540|USA|||  ||JEFFREY A. HAMBURGER|(609) 924-2049|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Market timing services|APPROVED|02/09/1996|0|2|0|0|0|0
New York Regional Office| 104567|801-15717|MCRAE CAPITAL MANAGEMENT INC.|MCRAE CAPITAL MANAGEMENT INC.|100 CAMPUS DRIVE||FLORHAM PARK NJ 07932-1006|USA|||  ||RODERICK MCRAE III  CFA CFP|973-966-2700|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/08/1981|0|0|0|0|0|0
New York Regional Office| 104581|801-48401|PALISADE CAPITAL MANAGEMENT LLC|PALISADE CAPITAL MANAGEMENT LLC|1 BRIDGE PLAZA|SUITE 695|FORT LEE NJ 07024-7502|USA|||  ||KEILP, JUDITH C.|201-585-5435|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/07/1995|0|1|0|0|0|0
New York Regional Office| 104588|801-53311|CAROSA, STANTON & DEPAOLO ASSET MANAGEMENT, LLC|CAROSA, STANTON & DEPAOLO ASSET MANAGEMENT, LLC|1370 PITTSFORD-MENDON ROAD||MENDON NY 14506|USA|||  ||CAROSA, CHRISTOPHER|(585) 624-3150|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|11/22/1996|0|0|0|0|0|0
New York Regional Office| 104589|801-55911|CLAREMONT INVESTMENT PARTNERS LLC|CLAREMONT INVESTMENT PARTNERS LLC|104 SUMMIT AVE.||SUMMIT NJ 07902-0080|USA|104 SUMMIT AVE|P.O. BOX 80|SUMMIT NJ 07902-0080|USA|SULLIVAN, GERALD P|908-273-5440|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/22/1998|0|0|0|0|0|0
New York Regional Office| 104608|801-23637|DESAI CAPITAL MANAGEMENT INCORPORATED|DESAI CAPITAL MANAGEMENT INCORPORATED|410 PARK AVENUE|SUITE 830|NEW YORK NY 10022|USA|||  ||MCSHERRY,  ANDRE  J.|212-838-9191|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/21/1985|0|0|0|0|0|0
New York Regional Office| 104627|801-294|HOWE AND RUSLING, INC.|HOWE AND RUSLING, INC.|120 EAST AVE||ROCHESTER NY 14604|USA|||  ||CAIRNS, CRAIG D.|(585) 325-4140 EXT. 124|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|01/03/1941|0|4|0|0|0|0
New York Regional Office| 104645|801-28012|R.W. ROGE & COMPANY, INC|R. W. ROGE & COMPANY, INC|630 JOHNSON AVE||BOHEMIA NY 11716-2618|USA|||  ||SANDI SEROW|(631) 218-0077|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies|APPROVED|09/26/1986|0|0|0|0|0|0
New York Regional Office| 104691|801-18975|TOWNSEND ASSET MANAGEMENT CO INC|TOWNSEND ASSET MANAGEMENT CO INC|45 ESSEX ST||HACKENSACK NJ 07601|USA|||  ||TOWNSEND, EDITH S.|201-646-1511|Other (specify)|Portfolio management for individuals and/or small businesses|APPROVED|06/03/1983|0|0|0|0|0|0
New York Regional Office| 104703|801-13862|VAN KAMPEN ADVISORS INC|VAN KAMPEN ADVISORS INC|522 FIFTH AVENUE||NEW YORK NY 10036|USA|||  ||MADELINE BARKHORN|212-296-7045|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|06/19/1978|0|0|0|0|0|0
New York Regional Office| 104714|801-20177|QUAN VEST CONSULTANTS INC|QUAN VEST CONSULTANTS INC|390 PLANDOME ROAD||MANHASSET NY 11030-1950|USA|||  ||LOTRUGLIO, MARK W|(516) 365-4619|Corporation|Pension consulting services, Other|APPROVED|01/25/1984|0|0|1|0|0|0
New York Regional Office| 104718|801-15798|J. & W. SELIGMAN & CO. INCORPORATED|J. & W. SELIGMAN & CO. INCORPORATED|100 PARK AVE||NEW YORK NY 10017|USA|||  ||PISANO, ALBERT ANTHONY|212 850-1443|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/01/1981|0|0|1|0|0|0
New York Regional Office| 104729|801-31678|GREENHAVEN ASSOCIATES INC|GREENHAVEN ASSOCIATES INC|THREE MANHATTANVILLE ROAD||PURCHASE NY 10577-2130|USA|||  ||WACHENHEIM, EDGAR|914-253-9366|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/18/1988|0|0|0|0|0|0
New York Regional Office| 104744|801-19055|PARSONS ASSET MANAGEMENT, INC.|PARSONS ASSET MANAGEMENT, INC.|95 KATONAH AVENUE||KATONAH NY 10536|USA|||  ||MARIANNE BOLAND|914 767-0200|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|06/10/1983|0|2|0|0|0|0
New York Regional Office| 104766|801-3186|PEGASUS ASSET MANAGEMENT INC|PEGASUS ASSET MANAGEMENT INC|400 RELLA BLVD.|SUITE 157|MONTEBELLO NY 10901|USA|||  ||COURTNEY J. BARBA|845-369-9422|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|05/25/1963|0|1|0|0|0|0
New York Regional Office| 104783|801-17691|CAPITAL MANAGEMENT ASSOCIATES INC|CAPITAL MANAGEMENT ASSOCIATES INC|140 BROADWAY, 44TH FLOOR||NEW YORK NY 10005|USA|||  ||CHRISTOPHER MEYER|212-320-3080|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/02/1982|0|2|0|0|0|0
New York Regional Office| 104786|801-7188|STUART JAY ROTHKOPF|ROTHKOPF STUART JAY|201 WITTENBERG RD||BEARSVILLE NY 12409-0400|USA|P.O. BOX 400||BEARSVILLE NY 12409-0400|USA|ROTHKOPF, STUART JAY|845-679-2249|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|02/07/1971|0|0|0|0|0|0
New York Regional Office| 104793|801-4565|LEEB CAPITAL MANAGEMENT, INC.|LEEB CAPITAL MANAGEMENT, INC.|500 5TH AVENUE, 57TH FLOOR||NEW YORK NY 10110|USA|||  ||FISHMAN, STEVEN|212-653-1504|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Other|APPROVED|10/30/1967|0|6|0|0|0|0
New York Regional Office| 104814|801-26716|STEVEN CHARLES CAPITAL LTD|STEVEN CHARLES CAPITAL LTD|FIRST FEDERAL PLAZA|28 E MAIN ST STE 1500|ROCHESTER NY 14614-1917|USA|||  ||PULVER, MARTHA JO|585-325-1870|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|04/01/1986|0|0|0|0|0|0
New York Regional Office| 104816|801-31815|MINTON INVESTMENT MANAGEMENT|APPLIED PORTFOLIO MANAGEMENT|ONE A MAIN STREET SUITE ONE||SPARTA NJ 07871|USA|||  ||MINTON, LEE W|973-729-4041|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/13/1988|0|0|0|0|0|0
New York Regional Office| 104832|801-15442|RICH ADVISORY CORP|RICH ADVISORY CORP|130 NORTHERN PARKWAY WEST||PLAINVIEW NY 11803-1900||130 NORTHERN PARKWAY WEST||PLAINVIEW NY 11803-1900||ANDREW M. RICH|516-433-0828|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|08/28/1980|0|0|0|0|0|0
New York Regional Office| 104845|801-7000|AXA EQUITABLE LIFE INSURANCE COMPANY|AXA EQUITABLE LIFE INSURANCE COMPANY|1290 AVENUE OF THE AMERICAS|12TH FLOOR|NEW YORK NY 10104|USA|||  ||JOSEPH J. PAOLO|212-314-5051|Corporation|Portfolio management for investment companies, Selection of other advisers, Other|APPROVED|10/21/1970|8|55|0|0|0|0
New York Regional Office| 104846|801-35421|BRINTON EATON WEALTH ADVISORS|BRINTON EATON ASSOCIATES INC|175 SOUTH STREET STE 200||MORRISTOWN NJ 07960|USA|||  ||DIQUOLLO, ROBERT J.|973-984-3352|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/02/1989|0|0|0|0|0|0
New York Regional Office| 104864|801-20651|CHARLES PRATT & COMPANY, L.L.C.|CHARLES PRATT & COMPANY, L.L.C.|355 LEXINGTON AVENUE||NEW YORK NY 10017-6603|USA|||  ||RICHARD COSTER|212-867-4444|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|02/14/1984|0|0|0|0|0|0
New York Regional Office| 104870|801-19314|HGK ASSET MANAGEMENT INC|HGK ASSET MANAGEMENT INC|NEWPORT TOWER|525 WASHINGTON BLVD|JERSEY CITY NJ 07310|USA|||  ||JOANN CONRY|201-659-3700|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/26/1983|0|0|0|0|0|0
New York Regional Office| 104874|801-17701|HAVEN CAPITAL MANAGEMENT LLC|HAVEN CAPITAL MANAGEMENT LLC|655 THIRD AVE 19TH FLOOR||NEW YORK NY 10017|USA|||  ||MAUREEN MCNELLIS GIBSON|212-953-2335|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/24/1982|0|1|1|0|0|0
New York Regional Office| 104880|801-16739|ATALANTA SOSNOFF CAPITAL, LLC|ATALANTA SOSNOFF CAPITAL, LLC|101 PARK  AVENUE||NEW YORK NY 10178|USA|||  ||KELLY, KEVIN S.|212-867-5000|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/20/1982|0|0|0|0|0|0
New York Regional Office| 104882|801-47055|LANE DOUGLAS C & ASSOCIATES INC|LANE DOUGLAS C & ASSOCIATES INC|100 PARK AVENUE|36TH FLOOR|NEW YORK NY 10017-5516|USA|||  ||SOLINGA, NICOLE ANNE|212-262-7670|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/25/1994|0|0|0|0|0|0
New York Regional Office| 104885|801-1669|VAN KAMPEN ASSET MANAGEMENT|VAN KAMPEN ASSET MANAGEMENT|522 FIFTH AVENUE||NEW YORK NY 10036|USA|||  ||MADELINE BARKHORN|212-296-7045|Other (specify)|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/06/1958|0|3|1|0|0|0
New York Regional Office| 104920|801-33145|CONDOR CAPITAL MANAGEMENT|CONDOR CAPITAL MANAGEMENT|1973 WASHINGTON VALLEY ROAD||MARTINSVILLE NJ 08836-2053|USA|||  ||KENNETH PAUL SCHAPIRO|732-356-7323|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters, Other|APPROVED|11/14/1988|0|0|0|0|0|0
New York Regional Office| 104928|801-17685|NOTTINGHAM ADVISORS INC.|NOTTINGHAM ADVISORS INC.|500 ESSJAY RD., STE 220||WILLIAMSVILLE NY 14221|USA|||  ||STROHMEYER, KATHLEEN ELIZABETH|716-633-3800|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/22/1982|0|0|0|0|0|0
New York Regional Office| 104932|801-30786|COLUMBIA RIDGE CAPITAL MANAGEMENT|COLUMBIA RIDGE CAPITAL MANAGEMENT, INC.|520 COLUMBIA DRIVE|SUITE 103|JOHNSON CITY NY 13790|USA|||  ||MURPHY, BRIAN J|607-584-4141|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|11/23/1987|0|0|0|0|0|0
New York Regional Office| 104947|801-10798|SMITH DONALD & CO INC|SMITH DONALD & CO INC|152 W. 57TH STREET|22ND FLOOR|NEW YORK NY 10019|USA|||  ||ANN HOGAN|212-284-0990|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/29/1975|0|0|0|0|0|0
New York Regional Office| 104949|801-37706|GABELLI FUNDS, LLC|GABELLI FUNDS, LLC|ONE CORPORATE CENTER||RYE NY 10580-1422|USA|||  ||CHRISTOPHER MICHAILOFF|914-921-5000|Limited Liability Company|Portfolio management for investment companies|APPROVED|11/16/1990|0|1|0|0|0|0
New York Regional Office| 104950|801-14132|GAMCO ASSET MANAGEMENT INC.|GAMCO ASSET MANAGEMENT INC.|ONE CORPORATE CENTER||RYE NY 10580-1422|USA|||  ||CHRISTOPHER MICHAILOFF|914-921-5000|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/05/1978|0|3|0|0|0|0
New York Regional Office| 104951|801-35943|FAMILY MANAGEMENT CORPORATION|FAMILY MANAGEMENT CORPORATION|485 MADISON AVENUE, 19TH FL||NEW YORK NY 10022|USA|||  ||RUSSELL S. KATZ|212-872-9600|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|03/02/1990|0|0|0|0|0|0
New York Regional Office| 104955|801-21958|JSK ASSOCIATES INC.|JSK ASSOCIATES INC.|95 CHURCH STREET||WHITE PLAINS NY 10601|USA|||  ||KEENAN, JEROME S.|914-949-9183|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|11/06/1984|0|0|0|0|0|0
New York Regional Office| 104960|801-8293|BURNHAM ASSET MANAGEMENT CORP|BURNHAM ASSET MANAGEMENT CORP|1325 AVE OF THE AMERICAS, 26TH FL||NEW YORK NY 10019|USA|||  ||THOMAS CALABRIA|212-603-7532|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/14/1971|0|4|0|0|0|0
New York Regional Office| 104962|801-28329|CEF ADVISERS INC|CEF ADVISERS INC|11 HANOVER SQ||NEW YORK NY 10005|USA|||  ||JOHN F. RAMIREZ|212-344-6310 X208|Corporation|Portfolio management for investment companies|APPROVED|10/31/1986|0|0|0|0|0|0
New York Regional Office| 104969|801-4148|NEVILLE, RODIE & SHAW INC|NEVILLE, RODIE & SHAW INC|200 MADISON AVE||NEW YORK NY 10016-3903|USA|||  ||FRANK J. ANASTASI|(212) 725-1440|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/02/1966|0|0|0|0|0|0
New York Regional Office| 104979|801-27136|HARBOURVIEW ASSET MANAGEMENT CORPORATION|HARBOURVIEW ASSET MANAGEMENT CORPORATION|2 WORLD FINANCIAL CENTER, 225 LIBERTY STREET|11TH FLOOR|NEW YORK NY 10281-1008|USA|||  ||ROBERT G. ZACK|212-323-0250|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|07/11/1986|0|21|1|0|0|0
New York Regional Office| 104981|801-34455|OPPENHEIMER REAL ASSET MANAGEMENT INC|OPPENHEIMER REAL ASSET MANAGEMENT INC|2 WORLD FINANCIAL CENTER, 225 LIBERTY STREET||NEW YORK NY 10281-1008|USA|||  ||ROBERT G. ZACK|212-323-0250|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|06/29/1989|0|21|1|0|0|0
New York Regional Office| 104983|801-8253|OPPENHEIMERFUNDS INC|OPPENHEIMERFUNDS INC|TWO WORLD FINANCIAL CENTER|225 LIBERTY STREET|NEW YORK NY 10281-1008|USA|||  ||ROBERT G. ZACK|212-323-0250|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|12/13/1971|0|24|12|0|0|0
New York Regional Office| 104990|801-18223|SUMMIT FINANCIAL RESOURCES INC|SUMMIT FINANCIAL RESOURCES INC|4 CAMPUS DR||PARSIPPANY NJ 07054-0413|USA|||  ||JUANITA D. HANLEY|973 285 3600|Corporation|Financial planning services|APPROVED|01/10/1983|1|0|0|0|0|0
New York Regional Office| 104999|801-27041|CLOVER CAPITAL MANAGEMENT INC|CLOVER CAPITAL MANAGEMENT INC|400 MERIDIAN CENTRE|STE 200|ROCHESTER NY 14618-3991|USA|||  ||MARY ANNE DEJOHN|585-385-6090|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|04/22/1986|0|1|1|0|0|0
New York Regional Office| 105007|801-21953|VONTOBEL ASSET MANAGEMENT, INC.|VONTOBEL ASSET MANAGEMENT, INC.|1540 BROADWAY, 38TH FLOOR||NEW YORK NY 10036|USA|||  ||MASTOLONI, JOSEPH|212-415-7051|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/03/1984|0|0|0|0|0|0
New York Regional Office| 105056|801-10933|STACEY BRAUN ASSOCIATES INC|STACEY BRAUN ASSOCIATES INC|377 BROADWAY||NEW YORK NY 10013-3934|USA|||  ||MARTIN HOWARD WEXLER|212-226-7707|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/11/1975|0|0|0|0|0|0
New York Regional Office| 105064|801-15556|WESTCHESTER CAPITAL MANAGEMENT INC|WESTCHESTER CAPITAL MANAGEMENT INC|100 SUMMIT LAKE DR.||VALHALLA NY 10595|USA|||  ||PERL, JANE|914-741-5600|Corporation|Portfolio management for investment companies|APPROVED|10/24/1980|0|0|0|0|0|0
New York Regional Office| 105067|801-35676|MERRILL LYNCH ALTERNATIVE INVESTMENTS LLC|MERRILL LYNCH ALTERNATIVE INVESTMENTS LLC|2 WORLD FINANCIAL CENTER, 7TH FLOOR||NEW YORK NY 10281|USA|ATTN:  MARLA MOSKOWITZ-HESSE|222 BROADWAY, 16TH FLOOR|NEW YORK NY 10038|USA|MARLA MOSKOWITZ-HESSE|212-670-0314|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|02/01/1990|0|1|1|0|0|0
New York Regional Office| 105079|801-33707|RYAN LABS INC|RYAN LABS INC|88 PINE ST 32ND FL||NEW YORK NY 10005|USA|||  ||MCSHEA, SEAN F|212-635-2300 X 233|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|02/17/1989|0|0|0|0|0|0
New York Regional Office| 105080|801-21340|VAN ECK ASSOCIATES CORP.|VAN ECK ASSOCIATES CORPORATION|99 PARK AVENUE, 8TH FLOOR||NEW YORK NY 10016|USA|||  ||JOSEPH MCBRIEN|212-293-2031|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/17/1984|0|5|0|0|0|0
New York Regional Office| 105081|801-31452|PENN CAPITAL MANAGEMENT CO INC|PENN CAPITAL MANAGEMENT CO INC|457 HADDONFIELD ROAD|SUITE 210|CHERRY HILL NJ 08002|USA|||  ||LUIS G. MILLARES|856-910-8181 EXT 145|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/12/1988|0|0|0|0|0|0
New York Regional Office| 105090|801-11216|HEROLD ADVISORS, INC.|HEROLD ADVISORS, INC.|555 MADISON AVE||NEW YORK NY 10022|USA|||  ||LAWRENCE HEROLD|212-688-5959|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|01/02/1976|0|0|0|0|0|0
New York Regional Office| 105124|801-29698|BAYEWITZ ASSET MANAGEMENT, INC.|BAYEWITZ ASSET MANAGEMENT, INC.|101 CEDAR LANE STE. 301||TEANECK NJ 07666|USA|||  ||TOLLINSKY, MARTIN REUBEN|(201)692-1092|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|06/01/1987|0|0|0|0|0|0
New York Regional Office| 105131|801-33969|GEORGE W. LAUB & ASSOCIATES, LLC|LAUB GEORGE WESLEY|1378 STATLER TOWERS|107 DELAWARE AVENUE|BUFFALO NY 14202|USA|||  ||LAUB, GEORGE W.|716 852 2725|Limited Liability Company|Portfolio management for individuals and/or small businesses, Other|APPROVED|02/27/1989|0|0|0|0|0|0
New York Regional Office| 105136|801-31670|CURTIS & BISSONETTE INC|CURTIS & BISSONETTE INC|1992 SARANAC AVENUE - SUITE 2, CRESTVIEW PLAZA||LAKE PLACID NY 12946|USA|P.O. BOX 311||LAKE PLACID NY 12946|USA|ZAY B. CURTIS III|518-523-2443|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|03/17/1988|0|0|0|0|0|0
New York Regional Office| 105155|801-20376|MURPHY CAPITAL MANAGEMENT INC|MURPHY CAPITAL MANAGEMENT INC|268 MAIN STREET|P.O. BOX 718|GLADSTONE NJ 07934|USA|||  ||MURPHY, JOHN J.|908-719-6430|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/19/1983|0|0|0|0|0|0
New York Regional Office| 105167|801-18284|MB INVESTMENT PARTNERS, INC.|MB INVESTMENT PARTNERS, INC.|825 THIRD AVENUE|31ST FLOOR|NEW YORK NY 10022|USA|||  ||CHARLES J.DALY|212-370-7300|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/25/1983|0|1|0|0|0|0
New York Regional Office| 105178|801-35692|MGP ADVISERS LIMITED PARTNERSHIP|MGP ADVISERS LIMITED PARTNERSHIP|SPECIAL SITUATIONS FUNDS|527 MADISON AVE., SUITE 2600|NEW YORK NY 10022|USA|||  ||ROSE CARLING|212-319-6670|Partnership|Portfolio management for investment companies|APPROVED|11/06/1989|0|0|0|0|0|0
New York Regional Office| 105184|801-22193|GREENBAUM AND ORECCHIO, INC|GREENBAUM AND ORECCHIO, INC.|1 DEWOLF ROAD||OLD TAPPAN NJ 07675|USA|||  ||MARK WILLOUGHBY|201-768-4600|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|09/04/1984|0|0|0|0|0|0
New York Regional Office| 105207|801-15483|BMI CAPITAL LLC|BMI CAPITAL LLC|570 LEXINGTON AVE||NEW YORK NY 10022|USA|||  ||JOSEPH A. BAILEY|212-702-6698|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/29/1980|0|2|0|0|0|0
New York Regional Office| 105208|801-32051|BLACKHILL CAPITAL, INC|BLACKHILL CAPITAL, INC|161 MADISON AVENUE||MORRISTOWN NJ 07960|USA|||  ||MCINTYRE, GAIL P.|973-984-7014|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|05/13/1988|0|0|0|0|0|0
New York Regional Office| 105235|801-15850|PLATT CAPITAL MANAGEMENT INC|PLATT CAPITAL MANAGEMENT INC|950 THIRD AVE||NEW YORK NY 10022|USA|||  ||PLATT, DAVID NICOLL|212-759-4480|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|02/02/1981|0|0|0|0|0|0
New York Regional Office| 105251|801-10708|OPPENHEIMER CAPITAL LLC|OPPENHEIMER CAPITAL LLC|1345 AVE OF THE AMERICAS||NEW YORK NY 10105|USA|680 NEWPORT CENTER DRIVE|SUITE 250|NEWPORT BEACH CA 92660|UNITED STATES|NANCY MORRIS|(212) 739-3216|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|03/20/1975|0|2|1|0|0|0
New York Regional Office| 105255|801-19283|BOYAR ASSET MANAGEMENT, INC.|BOYAR ASSET MANAGEMENT INC|35 EAST 21ST STREET|8TH FLOOR|NEW YORK NY 10010-6212|USA|||  ||STRELZIK, ARLINE|212-995-8300|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/18/1983|0|0|0|0|0|0
New York Regional Office| 105263|801-33000|PRINCETON CAPITAL MANAGEMENT INC|PRINCETON CAPITAL MANAGEMENT INC|47 HULFISH STREET|SUITE 500|PRINCETON NJ 08542|USA|||  ||ANN W. ELMES|609-924-6867|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/06/1988|0|0|0|0|0|0
New York Regional Office| 105310|801-31294|KRASNEY FINANCIAL, LLC|JOSHUA LAUREN & CO INC|5 COLD HILL ROAD|SUITE 5|MENDHAM NJ 07945|USA|||  ||KRASNEY, JONATHAN S|973-543-6660|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|01/15/1988|0|0|0|0|0|0
New York Regional Office| 105340|801-28756|PAGEONE FINANCIAL, INC.|PAGEONE FINANCIAL, INC.|1023 ROUTE 146||CLIFTON PARK NY 12065|USA|||  ||SEAN P. BURKE|518-688-0202|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|12/31/1986|0|1|1|0|0|0
New York Regional Office| 105341|801-20433|BULLARD MCLEOD & ASSOCIATES INC|BULLARD MCLEOD & ASSOCIATES INC|194 WASHINGTON AVENUE, SUITE 520||ALBANY NY 12210-2314|USA|||  ||BULLARD, THESSALY F.|518-694-8400|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/30/1984|0|0|0|0|0|0
New York Regional Office| 105361|801-14064|JOHN G. ULLMAN & ASSOCIATES, INC|ULLMAN JOHN & ASSOCIATES INC|51 EAST MARKET ST||CORNING NY 14830|USA|PO BOX 1424||CORNING NY 14830|USA|KRASNANSKY, JENNIFER E|(607)936-3785|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/20/1978|0|0|0|0|0|0
New York Regional Office| 105373|801-31837|SUMMIT PRIVATE INVESTMENTS, INC.|SUMMIT PRIVATE INVESTMENTS, INC.|47 MAPLE STREET||SUMMIT NJ 07901|USA|||  ||STEINBUGLER, ELIZABETH|908-522-1414|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/08/1988|0|0|0|0|0|0
New York Regional Office| 105389|801-21646|ALBANY FINANCIAL PLANNERS INC|ALBANY FINANCIAL PLANNERS INC|3 ATRIUM DRIVE|SUITE 265|ALBANY NY 12205|USA|||  ||DONALD W CARMAN JR|518-482-5777|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|06/27/1984|0|0|0|0|0|0
New York Regional Office| 105395|801-831|BARRETT ASSOCIATES INC|BARRETT ASSOCIATES INC|90 PARK AVENUE||NEW YORK NY 10016|USA|||  ||DANIEL WILLEY|212-983-5080|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/01/1940|0|1|0|0|0|0
New York Regional Office| 105402|801-12695|WITTER WILLIAM D INC|WITTER WILLIAM D INC|153 E 53RD STREET|SUITE 5100|NEW YORK NY 10022-4611|USA|||  ||DANIEL C. PRYOR|212-753-7878|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/23/1977|0|0|0|0|0|0
New York Regional Office| 105409|801-27115|POLLOCK PLANNING ASSOCIATES INC|POLLOCK PLANNING ASSOCIATES, INC.|20 HILLCREST AVENUE||COLLINGWOOD NJ 08108|UNITED STATES|||  ||STEVEN L. POLLOCK|856-854-3319|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/30/1986|0|0|0|0|0|0
New York Regional Office| 105454|801-14138|AMERICAN FUND ADVISORS INC|AMERICAN FUND ADVISORS INC|175 GREAT NECK RD.|SUITE 204|GREAT NECK NY 11021-3313|USA|||  ||KLEE, MARC HOWARD|516-487-0200|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/06/1978|0|0|0|0|0|0
New York Regional Office| 105455|801-10577|FISCHER FRANCIS TREES & WATTS, INC|FISCHER FRANCIS TREES & WATTS, INC|200 PARK AVENUE, 46TH FLOOR||NEW YORK NY 10166|USA|||  ||PETROVIC, JELENA|(212) 681-3016|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/14/1975|0|0|0|0|0|0
New York Regional Office| 105456|801-36734|OPPENHEIMER CATALYST MANAGEMENT LP|OPPENHEIMER CATALYST MANAGEMENT LP|200 PARK AVENUE|24TH FLOOR|NEW YORK NY 10166|USA|||  ||DEBORAH KABACK|212-667-4395|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/30/1990|0|3|0|0|0|0
New York Regional Office| 105462|801-26535|NEW AMSTERDAM PARTNERS LLC|NEW AMSTERDAM PARTNERS LLC|475 PARK AVE SOUTH|20TH FLOOR|NEW YORK NY 10016-6901|USA|||  ||MUROFF, NEAL|212-689-1500|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|03/11/1986|0|0|0|0|0|0
New York Regional Office| 105463|801-13986|SILVERCREST FINANCIAL SERVICES, INC.|SILVERCREST FINANCIAL SERVICES, INC.|1330 AVENUE OF THE AMERICAS|38TH FLOOR|NEW YORK NY 10019-5400|USA|||  ||JAMES M. ROBINSON, IV|212-649-0600|Corporation|Financial planning services, Other|APPROVED|07/31/1978|0|2|0|0|0|0
New York Regional Office| 105466|801-482|BECK, MACK & OLIVER LLC|BECK, MACK & OLIVER LLC|360 MADISON AVE||NEW YORK NY 10017-7111|USA|||  ||DUNHAM, GILBERT H|212-661-2640|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|11/01/1940|0|0|0|0|0|0
New York Regional Office| 105479|801-33835|WEB401KCOM INC|WEB401KCOM INC|13 ROSZEL ROAD|SUITE C205|PRINCETON NJ 08540|USA|||  ||HOWARTH, LEYLA Y|609-275-2909|Corporation|Pension consulting services|APPROVED|09/07/1989|0|0|0|0|0|0
New York Regional Office| 105504|801-32502|GREENFIELD GEORGE THEODORE|GREENFIELD GEORGE THEODORE|60 ASCOT CT||MANHASSET NY 11030|USA|||  ||GEORGE THEODORE GREENFIELD|516.365.6432|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|07/21/1988|0|0|0|0|0|0
New York Regional Office| 105559|801-31427|OPPENHEIMER ASSET MANAGEMENT|OPPENHEIMER ASSET MANAGEMENT INC.|200 PARK AVENUE  24TH FLOOR||NEW YORK NY 10166|USA|||  ||DEBORAH KABACK|212-667-4395|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/17/1988|0|22|0|0|0|0
New York Regional Office| 105563|801-15421|ROBERT J OBERST,SR & ASSOCIATES|T. GARRY PITNEY & ASSOCIATES INC.|218 BROAD ST||RED BANK NJ 07701|USA|||  ||PITNEY, T GARRY|732-842-2300|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/08/1980|0|0|0|0|0|0
New York Regional Office| 105588|801-22119|AQUILA INVESTMENT MANAGEMENT LLC|AQUILA INVESTMENT MANAGEMENT LLC|380 MADISON AVE, STE 2300||NEW YORK NY 10017-2512|USA|||  ||ANDERSON, ROBERT W|212-697-6666|Limited Liability Company|Portfolio management for investment companies|APPROVED|08/22/1984|0|0|0|0|0|0
New York Regional Office| 105597|801-13942|JOHN W. BRISTOL & CO., INC.|JOHN W. BRISTOL & CO., INC.|48 WALL STREET||NEW YORK NY 10005-2937|USA|||  ||MATTESON, HEDY Y|212-389-5880|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/30/1978|0|0|0|0|0|0
New York Regional Office| 105599|801-36116|WRIGHT ASSET MANAGEMENT INC|WRIGHT ASSET MANAGEMENT INC|147 D UNION AVENUE||MANASQUAN NJ 08736|USA|PO BOX 808||MANASQUAN NJ 08736-0808|USA|WRIGHT, PETER J|732-223-4223|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/15/1990|0|0|0|0|0|0
New York Regional Office| 105603|801-10937|GARRISON BRADFORD & ASSOCIATES INC|GARRISON BRADFORD & ASSOCIATES INC|122 EAST 42ND ST., STE 3500||NEW YORK NY 10168-3599|USA|||  ||BRADFORD, WILLIAM III|212-557-7440|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/29/1975|0|0|0|0|0|0
New York Regional Office| 105606|801-31969|BRETON CO|BRETON FINANCIAL, INC.|105 ATSION ROAD STES B&D||MEDFORD NJ 08055|USA|||  ||FEENEY, PATRICIA S.|(609)654-1212|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/13/1988|0|0|0|0|0|0
New York Regional Office| 105620|801-32184|KAHN BROTHERS ASSET MANAGEMENT CORP|KAHN BROTHERS ASSET MANAGEMENT CORP|555 MADISON AVENUE, 22ND FLOOR||NEW YORK NY 10022|USA|||  ||KAHN, THOMAS GRAHAM|212-980-5050|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|06/03/1988|0|0|0|0|0|0
New York Regional Office| 105642|801-8147|THE DREYFUS CORPORATION|THE DREYFUS CORPORATION|200 PARK AVENUE||NEW YORK NY 10166|USA|||  ||MICHAEL A. ROSENBERG|212-922-6795|Corporation|Portfolio management for investment companies|APPROVED|12/10/1971|0|12|10|0|0|0
New York Regional Office| 105658|801-21811|PRUDENTIAL BACHE ASSET MANAGEMENT, INC.|PRUDENTIAL BACHE ASSET MANAGEMENT, INC.|ONE NEW YORK PLAZA|13TH FLOOR|NEW YORK NY 10292|USA|||  ||DONALD LEVINE, ESQ.|212-778-6911|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/17/1984|0|1|1|0|0|0
New York Regional Office| 105667|801-19567|FINANCIAL PARTNERS CAPITAL MANAGEMENT, LLC|FINANCIAL PARTNERS CAPITAL MANAGEMENT, LLC|360 MADISON AVE|19TH FLOOR|NEW YORK NY 10017|USA|||  ||AARON COHEN|646.277.7302|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/29/1983|0|32|0|0|0|0
New York Regional Office| 105670|801-31104|PRUDENTIAL INVESTMENTS LLC|PRUDENTIAL INVESTMENTS LLC|100 MULBERRY STREET, 14TH FL|GATEWAY CENTER 3|NEWARK NJ 07102|USA|||  ||KATHRYN L. QUIRK|(973) 367-7525|Limited Liability Company|Portfolio management for investment companies, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|12/31/1987|0|1|2|0|0|0
New York Regional Office| 105672|801-11732|TIMECAPITAL INVESTOR ADVISORY SERVICES INC|TIMECAPITAL INVESTOR ADVISORY SERVICES INC|ONE ROOSEVELT AVENUE||PORT JEFFERSON STATION NY 11776|USA|||  ||GLOSSZA, ELIZABETH|631-331-1400|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|07/29/1976|0|0|0|0|0|0
New York Regional Office| 105676|801-22808|PRUDENTIAL INVESTMENT MANAGEMENT, INC.|PRUDENTIAL INVESTMENT MANAGEMENT, INC.|GATEWAY CENTER 3|100 MULBERRY STREET|NEWARK NJ 07102|USA|||  ||JANETTE L. FILBERT|(973) 802-4558|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|12/07/1984|0|2|1|0|0|0
New York Regional Office| 105677|801-19338|INDEPENDENT INVESTORS INC|INDEPENDENT INVESTORS INC|181 SMITHTOWN BLVD||NESCONSET NY 11767|USA|||  ||MOLONEY, MARGARET EDEL|(631)979-2142|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|06/30/1983|0|0|0|0|0|0
New York Regional Office| 105680|801-19755|EUROPEAN INVESTORS INC|EUROPEAN INVESTORS INC|717 FIFTH AVENUE 10TH FLR||NEW YORK NY 10022|USA|||  ||MEAGHER, MICHAEL|212-644-0794|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/29/1983|0|0|0|0|0|0
New York Regional Office| 105686|801-25999|HSBC GLOBAL ASSET MANAGEMENT (USA) INC.|HSBC GLOBAL ASSET MANAGEMENT (USA) INC.|452 FIFTH AVENUE|17TH FLOOR|NEW YORK NY 10018|USA|||  ||IOCOLANO, SALVATORE|212-525-2309|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|12/20/1985|0|0|0|0|0|0
New York Regional Office| 105690|801-36209|TOCQUEVILLE ASSET MANAGEMENT LP|TOCQUEVILLE ASSET MANAGEMENT LP|40 WEST 57TH STREET|19TH FLOOR|NEW YORK NY 10019|USA|||  ||THOMAS PANDICK|212-698-0736|Partnership|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/27/1990|0|1|0|0|0|0
New York Regional Office| 105691|801-28992|MARK ASSET MANAGEMENT CORP|MARK ASSET MANAGEMENT CORP|667 MADISON AVENUE, 9TH FLOOR||NEW YORK NY 10065|USA|||  ||WILKENS, JOHN A.|212-372-2517|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/20/1987|0|0|0|0|0|0
New York Regional Office| 105696|801-25724|KERSHNER, GROSSO & CO.|KENNERMAN ASSOCIATE INC|480 BROADWAY|STE 310|SARATOGA SPRING NY 12866-2285|USA|||  ||GROSSO, CHRISTOPHER G|518-584-2600|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|09/24/1986|0|0|0|0|0|0
New York Regional Office| 105707|801-18446|OGOREK WEALTH MANAGEMENT, LLC|OGOREK WEALTH MANAGEMENT, LLC|SHERIDAN MEADOWS CORPORATE PARK NORTH|6400 SHERIDAN DRIVE, SUITE 224|WILLIAMSVILLE NY 14221-4842|USA|||  ||OGOREK, ANTHONY J|716-626-5000|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/11/1983|0|0|0|0|0|0
New York Regional Office| 105750|801-15405|MILBANK WINTHROP & CO.|MILBANK WINTHROP & CO.|654 MADISON AVE|STE 1550|NEW YORK NY 10065-8431|USA|||  ||BENNETT, JANICE|212-980-2500|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|08/28/1980|0|0|0|0|0|0
New York Regional Office| 105777|801-18352|FIDUCIARY INTERNATIONAL INC|FIDUCIARY INTERNATIONAL INC|600 FIFTH AVENUE||NEW YORK NY 10020|USA|||  ||BREDA M. BECKERLE|(212) 632-3025|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/10/1983|0|4|2|0|0|0
New York Regional Office| 105799|801-18407|SCHAFER CULLEN CAPITAL MANAGEMENT INC|SCHAFER CULLEN CAPITAL MANAGEMENT INC|645 5TH AVE|7TH FLOOR|NEW YORK NY 10022|USA|||  ||MULLOOLY, STEVEN M|212-644-1800|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/31/1983|0|0|0|0|0|0
New York Regional Office| 105800|801-28170|MILLER HOWARD INVESTMENTS INC|MILLER HOWARD INVESTMENTS INC|324 UPPER BYRDCLIFFE ROAD||WOODSTOCK NY 12498|USA|P.O. BOX 549||WOODSTOCK NY 12498||HAMADA, HELEN|845-679-9166|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/05/1986|0|0|0|0|0|0
New York Regional Office| 105804|801-15429|VERIZON INVESTMENT MANAGEMENT CORP.|VERIZON INVESTMENT MANAGEMENT CORP.|ONE VERIZON WAY|BUILDING 7, 1ST FLOOR SOUTH|BASKING RIDGE NJ 07920|USA|||  ||DAVID L BEIK|908-559-5890|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|08/29/1980|0|0|1|0|0|0
New York Regional Office| 105820|801-15834|SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA INC|SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA INC|875 THIRD AVENUE, 22ND FLOOR||NEW YORK NY 10022|USA|||  ||STEPHEN M. DETORE|(212) 641-3888|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/31/1980|0|0|0|0|0|0
New York Regional Office| 105849|801-35038|WILLARD B SAPERSTON, INC.|WILLARD B SAPERSTON, INC.|172 LAKE STREET||HAMBURG NY 14075|USA|||  ||SAPERSTON, KAREN L|716-649-9800|Corporation|Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|08/21/1989|0|0|0|0|0|0
New York Regional Office| 105885|801-28696|MASON HILL ADVISORS LLC|MASON HILL ADVISORS LLC|623 FIFTH AVENUE|27TH FLOOR|NEW YORK NY 10022|USA|||  ||BRIAN J. TSAI|212-832-1290|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/08/1987|0|0|0|0|0|0
New York Regional Office| 105891|801-29455|PRINCETON INVESTMENT MANAGEMENT COMPANY|PRIMM & CO INC|90 ARNEYTOWN-HORNERSTOWN RD||CREAM RIDGE NJ 08514|USA|||  ||PRIMM,WILLIAM|609-758-6502|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/11/1987|0|0|0|0|0|0
New York Regional Office| 105897|801-34212|MEYER CAPITAL GROUP|FINANCIAL ARCHITECTS INC|FIVE GREENTREE CENTRE|525 LINCOLN DRIVE WEST, SUITE 312|MARLTON NJ 08053|USA|||  ||THOMAS C. MEYER|856-985-8400|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|05/11/1989|0|0|0|0|0|0
New York Regional Office| 105906|801-31544|GEOVEST ADVISORS INC|GEOVEST ADVISORS INC|245 WILLOWBROOK OFFICE PARK|1451 PITTSFORD VICTOR RD|FAIRPORT NY 14450-4221|USA|||  ||CURTIS, DONNA C.|585-248-5050,EXT. 100|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|03/24/1988|0|0|0|0|0|0
New York Regional Office| 105907|801-33347|KLINGENSTEIN, FIELDS & CO., LLC|KLINGENSTEIN, FIELDS & CO., LLC|EQUITABLE CENTER|787 7TH AVE|NEW YORK NY 10019-6016|USA|||  ||JONATHAN ROBERTS|212-492-6177|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/16/1988|0|0|0|0|0|0
New York Regional Office| 105909|801-21192|LEIST ALAN R PLANNING GROUP INC|LEIST ALAN R PLANNING GROUP INC|114 BUSINESS PARK DRIVE||UTICA NY 13502|USA|||  ||LEIST, ALAN REMY  JR|315-735-7553|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/02/1984|0|0|0|0|0|0
New York Regional Office| 105915|801-38192|FULREADER & KOMMA MANAGEMENT INC|FULREADER & KOMMA MANAGEMENT INC|642 KREAG ROAD||PITTSFORD NY 14534|USA|||  ||FULREADER, RUFUS E|585-381-4180|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/14/1991|0|0|0|0|0|0
New York Regional Office| 105918|801-45235|MONTROSE ADVISORS INC|MONTROSE ADVISORS INC|505 PARK AVENUE, 20TH FLOOR||NEW YORK NY 10022|USA|||  ||MCNAUGHTON, LOIS|(212) 888-4747|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|11/23/1993|0|0|0|0|0|0
New York Regional Office| 105926|801-18759|AIG GLOBAL INVESTMENT CORP|AIG GLOBAL INVESTMENT CORP|70 PINE STREET||NEW YORK NY 10270|USA|||  ||SEAN KREIGER|(212) 770-6176|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/02/1983|1|5|6|0|0|0
New York Regional Office| 105929|801-45464|OPTIMA FUND MANAGEMENT LLC|OPTIMA FUND MANAGEMENT LLC|10 EAST 53RD STREET|29TH FLOOR|NEW YORK NY 10022|USA|P.O. BOX 1079||RADIO CITY STATION NY 10101-1079|USA|RIVERA, CHRISTINE A.|212-484-3080|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|12/16/1993|1|0|0|0|0|0
New York Regional Office| 105952|801-31896|BNP PARIBAS ASSET MANAGEMENT, INC.|BNP PARIBAS ASSET MANAGEMENT, INC.|200 PARK AVENUE|45TH  FLOOR|NEW YORK NY 10166|USA|||  ||THERESA MCCLOSKEY|(610) 491-1572|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/28/1988|0|0|0|0|0|0
New York Regional Office| 105963|801-47568|TETON ADVISORS, INC.|TETON ADVISORS, INC.|ONE CORPORATE CENTER||RYE NY 10580-1422|USA|||  ||CHRISTOPHER MICHAILOFF|914-921-5000|Corporation|Portfolio management for investment companies|APPROVED|10/06/1994|0|0|0|0|0|0
New York Regional Office| 105992|801-10733|MANNING & NAPIER ADVISORS INC|MANNING & NAPIER ADVISORS INC|290 WOODCLIFF DRIVE||FAIRPORT NY 14450|USA|||  ||MICHELLE THOMAS|585-325-6880|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|06/04/1975|0|0|0|0|0|0
New York Regional Office| 105995|801-17301|REGENTATLANTIC CAPITAL, LLC|REGENTATLANTIC CAPITAL, LLC|1 MAIN STREET||CHATHAM NJ 07928|USA|||  ||JENNIFER PAPADOPOLO|973-635-7070|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|07/01/1982|0|0|0|0|0|0
New York Regional Office| 106011|801-16075|MORSE WILLIAMS & CO. INC.|MORSE WILLIAMS & CO. INC.|441 LEXINGTON AVENUE|17TH FLOOR|NEW YORK NY 10017|USA|||  ||ROBERT P. MORSE|(212)856-8200|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/04/1981|0|2|0|0|0|0
New York Regional Office| 106012|801-37170|CREDIT SUISSE ASSET MANAGEMENT, LLC|CREDIT SUISSE ASSET MANAGEMENT, LLC|ELEVEN MADISON AVENUE||NEW YORK NY 10010-3629|USA|||  ||EMIDIO MORIZIO|212-325-7059|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|08/13/1990|0|11|2|0|0|0
New York Regional Office| 106018|801-10571|TRAIN, BABCOCK ADVISORS LLC|TRAIN, BABCOCK ADVISORS LLC|100 PARK AVENUE|27TH FLOOR|NEW YORK NY 10017|USA|||  ||JOHN ROGICKI|(212) 451-3434|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|01/27/1975|0|2|0|0|0|0
New York Regional Office| 106032|801-67431|IDB ASSET MANAGEMENT, A DIVISION OF IDB CAPITAL CORP.|IDB CAPITAL CORP.|511 FIFTH AVENUE||NEW YORK NY 10017|USA|||  ||KEITH VAN NAME|212-551-8729|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/09/2007|2|2|0|0|0|0
New York Regional Office| 106066|801-40750|LYSTER WATSON & COMPANY|LYSTER WATSON MANAGEMENT, INC.|888 SEVENTH AVENUE|40TH FLOOR|NEW YORK NY 10019|USA|||  ||KAHN-GARBER, LIZA|(212) 841-6804|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|03/13/1992|0|0|0|0|0|0
New York Regional Office| 106070|801-32046|CLEARBRIDGE ASSET MANAGEMENT INC|CLEARBRIDGE ASSET MANAGEMENT INC|620 8TH AVENUE||NEW YORK NY 10018|USA|||  ||BARBARA BROOKE MANNING|212-805-2076|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/13/1988|0|4|2|0|0|0
New York Regional Office| 106072|801-4068|FIRST MANHATTAN CO INC|FIRST MANHATTAN CO INC|437 MADISON AVE||NEW YORK NY 10022|USA|||  ||CAPELLINI, SUZANNE M|212-756-3480|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/30/1966|0|6|0|0|0|0
New York Regional Office| 106096|801-47515|HORIZON ASSET MANAGEMENT INC|HORIZON ASSET MANAGEMENT INC|470 PARK AVENUE SOUTH|4TH FLOOR SOUTH|NEW YORK NY 10016|USA|||  ||FISHMAN, ANDREW MARTIN|646-495-7347|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters, Other|APPROVED|09/23/1994|0|0|0|0|0|0
New York Regional Office| 106101|801-49354|DARUMA ASSET MANAGEMENT, INC.|DARUMA ASSET MANAGEMENT, INC.|80 WEST 40TH STREET|9TH FLOOR|NEW YORK NY 10018|USA|||  ||WILLIAMS, KIM|212-869-4000|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/09/1995|0|0|0|0|0|0
New York Regional Office| 106119|801-43340|POINT VIEW FINANCIAL SERVICES,INC.|POINT VIEW FINANCIAL SERVICES INC|382 SPRINGFIELD AVENUE|SUITE 208|SUMMIT NJ 07901-2707|USA|||  ||TOTH, CLAIRE E|(908) 598-1717|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|02/17/1993|0|0|0|0|0|0
New York Regional Office| 106123|801-46798|LAWRENCE CAPITAL MANAGEMENT, INC.|LAWRENCE CAPITAL MANAGEMENT, INC.|708 THIRD AVENUE|5TH FLOOR|NEW YORK NY 10017-4201|USA|||  ||KATHRYN PAYNE BELLER|212-209-3988|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|06/24/1994|0|0|1|0|0|0
New York Regional Office| 106133|801-47690|PASCO INVESTMENT ADVISORS INC|PASCO INVESTMENT ADVISORS INC|509 EAST BROAD ST.||WESTFIELD NJ 07090-2115|USA|||  ||SANTORIELLO, PETER ANTHONY|908-518-1890|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/24/1994|0|0|0|0|0|0
New York Regional Office| 106146|801-48908|SYSTEMATIC FINANCIAL MANAGEMENT LP|SYSTEMATIC FINANCIAL MANAGEMENT LP|300 FRANK W BURR BLVD|7TH FL GLENPOINTE EAST|TEANECK NJ 07666|USA|||  ||KAREN E. KOHLER|201-708-1678|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/10/1995|0|0|0|0|0|0
New York Regional Office| 106154|801-46755|HARTWELL J M LTD PARTNERSHIP|HARTWELL J M LTD PARTNERSHIP|515 MADISON AVE||NEW YORK NY 10022|USA|||  ||DAWES, ADRIAN S.|212-308-3355|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|09/13/1994|0|1|0|0|0|0
New York Regional Office| 106170|801-52211|P. SCHOENFELD ASSET MANAGEMENT LLC|P. SCHOENFELD ASSET MANAGEMENT LLC|1350 AVENUE OF THE AMERICAS|21ST FLOOR|NEW YORK NY 10019|USA|||  ||DHANANJAY PAI|212 649-9506|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/24/1996|0|1|0|0|0|0
New York Regional Office| 106181|801-49390|SONTAG ADVISORY LLC|SONTAG ADVISORY LLC|261 MADISON AVE 14TH FLOOR||NEW YORK NY 10016|USA|||  ||CRAIG SHACKATANO|(212) 973-1200|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers, Other|APPROVED|06/16/1995|0|0|0|0|0|0
New York Regional Office| 106186|801-47230|REICH & TANG ASSET MANAGEMENT, LLC|REICH & TANG ASSET MANAGEMENT,LLC|600 FIFTH AVE|8TH FLOOR|NEW YORK NY 10020-2302|USA|||  ||BRANCAZIO, CHRISTOPHER J.|212-830-5200|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|08/26/1994|0|4|0|0|0|0
New York Regional Office| 106199|801-51163|NAVIGATOR MONEY MANAGEMENT, INC.|NAVIGATOR MONEY MANAGEMENT, INC.|1207 ROUTE 9, SUITE 10||WAPPINGERS FALLS NY 12590|USA|||  ||GRIMALDI, MARK A.|845-297-3500|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|02/05/1996|0|0|0|0|0|0
New York Regional Office| 106204|801-52581|KINETICS ASSET MANAGEMENT INC.|KINETICS ASSET MANAGEMENT INC.|16 NEW BROADWAY||SLEEPY HOLLOW NY 10591|USA|||  ||FISHMAN, ANDREW MARTIN|646-495-7347|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/23/1996|0|0|0|0|0|0
New York Regional Office| 106217|801-45687|DLJ LBO PLANS MANAGEMENT CORPORATION|DLJ LBO PLANS MANAGEMENT CORPORATION|11 MADISON AVENUE, 16TH FLOOR||NEW YORK NY 10010|USA|||  ||ANDREA JOHNSTON|212-538-4507|Corporation|Other|APPROVED|02/18/1994|0|8|1|0|0|0
New York Regional Office| 106219|801-53936|ENTRUST CAPITAL INC.|ENTRUST CAPITAL INC.|717 5TH AVENUE|25TH FLOOR|NEW YORK NY 10022|USA|||  ||KAHNE, BRUCE|212-224-5548|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/21/1997|0|0|0|0|0|0
New York Regional Office| 106238|801-50763|DLJ REAL ESTATE CAPITAL PARTNERS, INC.|DLJ REAL ESTATE CAPITAL PARTNERS, INC.|11 MADISON AVENUE, 16TH FLOOR||NEW YORK NY 10010|USA|||  ||ANDREA JOHNSTON|212-325-4507|Corporation|Other|APPROVED|01/11/1996|0|8|1|0|0|0
New York Regional Office| 106248|801-64169|DELTA CAPITAL MANAGEMENT LLC|DELTA CAPITAL MANAGEMENT LLC|420 LEXINGTON AVENUE||NEW YORK NY 10170|USA|||  ||COUGHLIN,WILLIAM F|212-986-4040|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/22/2005|0|0|0|0|0|0
New York Regional Office| 106251|801-53846|ICICI SECURITIES HOLDINGS INC.|ICICI SECURITIES HOLDINGS INC.|300 ALEXANDER PARK, SUITE 206||PRINCETON NJ 08540|USA|||  ||RAM KOLLURI|(609) 452-2929|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/11/1997|0|0|0|0|0|0
New York Regional Office| 106253|801-39692|CLINTON GROUP, INC|CLINTON GROUP, INC|9 WEST 57TH STREET, 26TH FLOOR||NEW YORK NY 10019|USA|||  ||RUBERTI,WENDY|212-739-1828|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/20/1991|0|0|0|0|0|0
New York Regional Office| 106263|801-15105|CAROL H. BALDI, INC.|CAROL H. BALDI, INC.|420 LEXINGTON AVE|SUITE 2745|NEW YORK NY 10170|USA|||  ||BALDI CAROL H|212-697-6266|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/17/1980|0|0|0|0|0|0
New York Regional Office| 106264|801-15106|ROCKEFELLER & CO., INC|ROCKEFELLER & CO., INC|30 ROCKEFELLER PLAZA||NEW YORK NY 10112|USA|||  ||RANDI I. LEDERMAN|212-649-5843|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|03/12/1980|0|0|0|0|0|0
New York Regional Office| 106266|801-27721|COHEN & STEERS CAPITAL MANAGEMENT INC.|COHEN & STEERS CAPITAL MANAGEMENT, INC.|280 PARK AVE|10TH FLOOR|NEW YORK NY 10017-1216|USA|||  ||LISA D. PHELAN|(212) 832-3232|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|08/07/1986|1|1|1|0|0|0
New York Regional Office| 106267|801-42886|WEBER ASSET MANAGEMENT, INC.|WEBER ASSET MANAGEMENT, INC.|1983 MARCUS AVE, SUITE 221||LAKE SUCCESS NY 11042|USA|||  ||WEBER, KEN|516-326-3299|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/12/1993|0|0|0|0|0|0
New York Regional Office| 106277|801-49470|FEDERATED GLOBAL INVESTMENT MANAGEMENT CORP.|FEDERATED GLOBAL INVESTMENT MANAGEMENT CORP.|450 LEXINGTON AVE|SUITE 3700|NEW YORK NY 10017-3943|USA|||  ||BRIAN P. BOUDA|(412)288-8634|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|06/22/1995|0|0|0|0|0|0
New York Regional Office| 106286|801-45566|ZIMMERMANN ALAN L|ZIMMERMANN ALAN L|C/O RZ CAPITAL LLC|555 MADISON AVENIE 29TH FLOOR|NEW YORK NY 10022|USA|||  ||ZIMMERMANN, ALAN L|212-906-9000|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|01/12/1994|0|0|0|0|0|0
New York Regional Office| 106291|801-53729|DLJ DIVERSIFIED PARTNERS, INC.|DLJ DIVERSIFIED PARTNERS, INC.|11 MADISON AVENUE, 16TH FLOOR||NEW YORK NY 10010|USA|||  ||ANDREA JOHNSTON|212-538-4507|Corporation|Other|APPROVED|02/25/1997|0|8|1|0|0|0
New York Regional Office| 106297|801-42753|UTENDAHL CAPITAL MANAGEMENT LP|UTENDAHL CAPITAL MANAGEMENT LP|30 BROAD ST|21ST FLOOR|NEW YORK NY 10004|USA|||  ||MARTINNETTE J. WITRICK|212-612-9192|Partnership|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/25/1992|0|4|0|0|0|0
New York Regional Office| 106304|801-47765|TOEWS CORPORATION|TOEWS CORPORATION|1201 NEW ROAD|SUITE 111B|LINWOOD NJ 08221|USA|||  ||RANDALL SCHROEDER|877-863-9726|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|12/09/1994|0|0|0|0|0|0
New York Regional Office| 106306|801-50689|DLJ INVESTMENT PARTNERS, INC.|DLJ INVESTMENT PARTNERS, INC.|11 MADISON AVENUE, 16TH FLOOR||NEW YORK NY 10010|USA|||  ||ANDREA JOHNSTON|212-538-4507|Corporation|Other|APPROVED|12/08/1995|0|8|1|0|0|0
New York Regional Office| 106307|801-44169|AVIEMORE ASSET MANAGEMENT, LLC|AVIEMORE ASSET MANAGEMENT, LLC|20 PHELPS ROAD||OLD CHATHAM NY 12136|USA|||  ||FRANK, PAUL MICHAEL|518 392 5880|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies|APPROVED|06/23/1993|0|0|0|0|0|0
New York Regional Office| 106311|801-46908|DRA ADVISORS LLC|DRA ADVISORS LLC|220 EAST 42ND ST 27TH FLOOR||NEW YORK NY 10017|USA|||  ||SUMMERS,BRIAN T|212-697-4740|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/25/1994|0|0|0|0|0|0
New York Regional Office| 106312|801-41248|DLJ MERCHANT BANKING INC|DLJ MERCHANT BANKING INC|11 MADISON AVENUE, 16TH FLOOR||NEW YORK NY 10010|USA|||  ||ANDREA JOHNSTON|212-325-4507|Corporation|Other|APPROVED|04/09/1992|0|9|1|0|0|0
New York Regional Office| 106317|801-38553|SAUBERAN & COMPANY LTD|SAUBERAN & COMPANY LTD|ULRICH CITY CENTRE SUITE #6||LOCKPORT NY 14094|USA|PO BOX 0466||ORCHARD PARK NY 14127-0466|US|SAUBERAN, CHARLES K|716-439-1265|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|04/19/1991|0|0|0|0|0|0
New York Regional Office| 106323|801-8314|SMITH BARNEY FUND MANAGEMENT LLC|SMITH BARNEY FUND MANAGEMENT LLC|620 EIGHTH AVENUE|47TH FLOOR|NEW YORK NY 10018|USA|||  ||C/O THOMAS C. MANDIA, ESQ|203-703-7038|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/14/1971|0|7|1|0|0|0
New York Regional Office| 106325|801-53078|DLJ MERCHANT BANKING II, INC.|DLJ MERCHANT BANKING II, INC.|11 MADISON AVENUE, 16TH FLOOR||NEW YORK NY 10010|USA|||  ||ANDREA JOHNSTON|212-325-4507|Corporation|Other|APPROVED|11/08/1996|0|8|1|0|0|0
New York Regional Office| 106326|801-27046|PETER B. CANNELL & CO., INC.|PETER B. CANNELL & CO., INC.|645 MADISON AVE||NEW YORK NY 10022|USA|||  ||KATHLEEN DUFFY|212-752-5255|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/31/1986|0|0|0|0|0|0
New York Regional Office| 106332|801-27914|ABBOTT CAPITAL MANAGEMENT LLC|ABBOTT CAPITAL MANAGEMENT LLC|1211 AVENUE OF THE AMERICAS|SUITE 4300|NEW YORK NY 10036|USA|||  ||MASSEY, LAUREN M|212-757-2700|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|09/22/1986|0|0|0|0|0|0
New York Regional Office| 106336|801-22873|WBI INVESTMENTS|WEALTH BUILDERS INC|34 SYCAMORE AVE|SUITE 1-E|LITTLE SILVER NJ 07739|USA|||  ||GARY STROIK|732-842-4920|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters, Market timing services, Other|APPROVED|03/12/1985|0|0|0|0|0|0
New York Regional Office| 106339|801-47703|SCHNALL ADVISORY SERVICES, INC|SCHNALL ADVISORY SERVICES, INC|350 FIFTH AVENUE, SUITE 3505||NEW YORK NY 10118|USA|||  ||SCHNALL, DARIN|212-967-6155|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|11/16/1994|0|0|0|0|0|0
New York Regional Office| 106340|801-50349|LAZARD ASSET MANAGEMENT CANADA INC|LAZARD ASSET MANAGEMENT (CANADA)INC|30 ROCKEFELLER PLAZA, 59TH FLOOR||NEW YORK NY 10112|USA|||  ||PAUL, NATHAN A.|212-632-6621|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/23/1995|1|11|0|0|0|0
New York Regional Office| 106341|801-40364|STONEBRIDGE CAPITAL MANAGEMENT|STONEBRIDGE FINANCIAL INC|33 CLINTON ROAD||WEST CALDWELL NJ 07006|USA|||  ||HARCLERODE, ROBERT ANTHONY|973-244-9696|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/16/1991|0|0|0|0|0|0
New York Regional Office| 106372|801-27964|INVICTUS TIMING SERVICE LTD|INVICTUS TIMING SERVICE LTD|600 OLD COUNTRY ROAD|SUITE 337|GARDEN CITY NY 11530|USA|||  ||MATTHEW EVAN ECKSTEIN|516-741-0500|Corporation|Market timing services|APPROVED|09/05/1986|0|0|0|0|0|0
New York Regional Office| 106388|801-35134|ARK ASSET MANAGEMENT CO., INC.|ARK ASSET MANAGEMENT CO., INC.|125 BROAD STREET||NEW YORK NY 10004|USA|||  ||MARK R. GREWE|212-487-5050|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/21/1989|0|0|0|0|0|0
New York Regional Office| 106399|801-42253|WYSER PRATTE MANAGEMENT CO INC|WYSER PRATTE MANAGEMENT CO INC|410 PARK AVENUE|SUITE 1520|NEW YORK NY 10022||||  ||ANTONY NACCARELLI|646-735-5000|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/09/1992|1|1|0|0|0|0
New York Regional Office| 106421|801-47796|INTERNATIONAL INVESTMENT GROUP LLC|INTERNATIONAL INVESTMENT GROUP LLC|1500 BROADWAY|17TH FLOOR|NEW YORK NY 10036|USA|||  ||MARTIN SILVER|212-806-5120|Limited Liability Company|Other|APPROVED|01/10/1995|0|0|0|0|0|0
New York Regional Office| 106422|801-48883|EAGLE CAPITAL MANAGEMENT LLC|EAGLE CAPITAL MANAGEMENT LLC|499 PARK AVE||NEW YORK NY 10022|USA|||  ||SCHATZ, MIRIAM B|212-293-4012|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|04/05/1995|0|0|0|0|0|0
New York Regional Office| 106425|801-38888|MARK J SNYDER FINANCIAL SERVICES INC|MARK J SNYDER FINANCIAL SERVICES INC|1731 N OCEAN AVE||MEDFORD NY 11763|USA|||  ||SNYDER, MARK J|631-289-4224|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|05/09/1991|0|0|0|0|0|0
New York Regional Office| 106433|801-52209|PAYTON CAPITAL MANAGEMENT LLC|PAYTON, SAMUEL ALLEN|206 WASHINGTON AVENUE||CHATHAM NJ 07928|USA|||  ||PAYTON, SAMUEL A.|908-273-8441|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|06/21/1996|0|0|0|0|0|0
New York Regional Office| 106440|801-41423|TSA MANAGEMENT INC|TSA MANAGEMENT INC|725 GLEN COVE AVE||GLEN HEAD NY 11545|USA|||  ||HALLIDAY, RACHEL H|516-676-3332|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|05/07/1992|0|0|0|0|0|0
New York Regional Office| 106442|801-43479|PRUDENTIAL PRIVATE PLACEMENT INVESTORS, L.P.|PRUDENTIAL PRIVATE PLACEMENT INVESTORS, L.P.|100 MULBERRY STREET|THREE GATEWAY CENTER|NEWARK NJ 07102-4069|USA|||  ||AMBER D. RILEY-SOTTILE|(973) 802-5434|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/31/1993|0|1|1|0|0|0
New York Regional Office| 106449|801-20236|KR CAPITAL ADVISORS INC|KR CAPITAL ADVISORS INC|445 PARK AVE||NEW YORK NY 10022|USA|||  ||KRAVITZ, RICHARD K|(212) 888-6300|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/16/1983|0|0|0|0|0|0
New York Regional Office| 106461|801-47941|ARBOR CAPITAL MANAGEMENT CORP|ARBOR CAPITAL MANAGEMENT CORP|100 CORPORATE PKWY|SUITE 136|AMHERST NY 14226|USA|||  ||BETH A. EUSTACE|716-446-9111|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|11/29/1994|0|0|0|0|0|0
New York Regional Office| 106470|801-50922|GLOBAL RETAIL PARTNERS, INC.|GLOBAL RETAIL PARTNERS, INC.|11 MADISON AVENUE, 16TH FLOOR||NEW YORK NY 10010|USA|||  ||ANDREA JOHNSTON|212-325-4507|Corporation|Other|APPROVED|01/25/1996|0|8|1|0|0|0
New York Regional Office| 106477|801-37870|DAVIDSON KEMPNER ADVISERS INC|DAVIDSON KEMPNER ADVISERS INC|65 EAST 55TH STREET|19TH FLOOR|NEW YORK NY 10022-4834|USA|||  ||CLARK, JOHN K.|646-282-5891|Corporation|Other|APPROVED|12/04/1990|0|0|0|0|0|0
New York Regional Office| 106478|801-41790|KR CAPITAL PARTNERS I LP|KR CAPITAL PARTNERS I LP|445 PARK AVE C/O KR CAPITAL ADVISORS INC||NEW YORK NY 10022|USA|||  ||KRAVITZ,RICHARD K|(212) 888-6300|Partnership|Other|APPROVED|06/22/1992|0|0|0|0|0|0
New York Regional Office| 106494|801-9046|ING INVESTMENT MANAGEMENT CO.|ING INVESTMENT MANAGEMENT CO.|230 PARK AVENUE||NEW YORK NY 10169|USA|||  ||GERALD T. LINS|212-309-8260|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|01/07/1973|0|2|0|0|0|0
New York Regional Office| 106500|801-46022|CHARTWELL CONSULTING USA LLC|CHARTWELL CONSULTING USA LLC|34 PARK STREET||MONTCLAIR NJ 07042|USA|||  ||NATALKA OKSANA BUKALO|973-783-2900|Limited Liability Company|Pension consulting services, Selection of other advisers|APPROVED|03/11/1994|0|0|0|0|0|0
New York Regional Office| 106504|801-40829|BENTLEY CAPITAL MANAGEMENT I LLC|BENTLEY CAPITAL MANAGEMENT I LLC|520 MADISON AVENUE, 8TH FLOOR||NEW YORK NY 10022|USA|||  ||FIGUEROA, IVETTE|212-583-8888|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/11/1992|0|0|0|0|0|0
New York Regional Office| 106520|801-40161|INVERNESS COUNSEL INC|INVERNESS COUNSEL INC|845 THIRD AVENUE||NEW YORK NY 10022|USA|||  ||DEANS III, ROBERT B.|(212) 207-2130|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|11/13/1991|0|0|0|0|0|0
New York Regional Office| 106523|801-43897|MUTUAL OF AMERICA CAPITAL MANAGEMENT CORP.|MUTUAL OF AMERICA CAPITAL MANAGEMENT CORP.|320 PARK AVENUE||NEW YORK NY 10022-6839|USA|||  ||JAMES J. ROTH|(212) 224-1569|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/12/1993|0|2|0|0|0|0
New York Regional Office| 106524|801-49615|ZESIGER CAPITAL GROUP LLC|ZESIGER CAPITAL GROUP LLC|320 PARK AVE 30TH FLOOR||NEW YORK NY 10022|USA|||  ||ZESIGER,BARRIE R|212-508-6390|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/12/1995|0|0|0|0|0|0
New York Regional Office| 106539|801-35162|GBU INC|GBU INC|950 THIRD AVE, 22ND FLOOR||NEW YORK NY 10022-2705|USA|||  ||BODOW, ERIK M|212-753-0700|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/11/1989|0|1|0|0|0|0
New York Regional Office| 106541|801-30025|HOTTINGER CAPITAL CORP|HOTTINGER CAPITAL CORP|1270 AVENUE OF THE AMERICAS|SUITE 400|NEW YORK NY 10020|USA|||  ||RUDOLF MILLISITS|212-332-7930|Corporation|Portfolio management for investment companies, Other|APPROVED|07/17/1987|0|0|0|0|0|0
New York Regional Office| 106574|801-36250|ENRIGHT, MOLLIN, CASCIO AND RAMUSEVIC|ENRIGHT, MOLLIN, CASCIO AND RAMUSEVIC|91-31 QUEENS BLVD.|SUITE 308|ELMHURST NY 11373|USA|||  ||STEVEN RAMUSEVIC|718-803-1817|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|02/27/1990|0|0|0|0|0|0
New York Regional Office| 106577|801-45064|CFS INVESTMENT ADVISORY SERVICES LLC|CFS INVESTMENT ADVISORY SERVICES LLC|97 LACKAWANNA AVENUE|SUITE 101|TOTOWA NJ 07512|USA|||  ||MAKOWSKI, GREGORY MARK|973-826-8800|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|12/28/1993|0|0|0|0|0|0
New York Regional Office| 106583|801-17119|COHEN, KLINGENSTEIN & MARKS INCORPORATED|COHEN, KLINGENSTEIN & MARKS INCORPORATED|2109 BROADWAY|SUITE 207|NEW YORK NY 10023|USA|||  ||MILDE, FRANCESCA|212-799-4880|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|05/17/1982|0|0|0|0|0|0
New York Regional Office| 106606|801-41788|DISCIPLINED CAPITAL MANAGEMENT CORP|DISCIPLINED CAPITAL MANAGEMENT CORP|101 SOUTH SALINA STREET|SUITE 750|SYRACUSE NY 13202|USA|||  ||ROBERT J RYAN|315-476-8202|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/23/1992|0|0|0|0|0|0
New York Regional Office| 106618|801-46343|ASSET ADVISORY GROUP INC|ASSET ADVISORY GROUP INC|170 KINNELON ROAD, SUITE 3||KINNELON NJ 07405|USA|||  ||ZOCH, PAUL B|973-492-0808|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/26/1994|0|0|0|0|0|0
New York Regional Office| 106643|801-27858|FINANCIAL ASSET MANAGEMENT CORP|FINANCIAL ASSET MANAGEMENT CORP|192 LEXINGTON AVE.|SUITE 902|NEW YORK NY 10016|USA|||  ||KAHAN, SCOTT M|212-239-7777|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|08/22/1986|0|0|0|0|0|0
New York Regional Office| 106647|801-9970|EDGEWOOD MANAGEMENT LLC|EDGEWOOD MANAGEMENT LLC|350 PARK AVENUE|18TH FLOOR|NEW YORK NY 10022-6057|USA|||  ||FAUSTO ROTUNDO|212-652-9100|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/08/1974|0|1|0|0|0|0
New York Regional Office| 106652|801-37236|MANNING & NAPIER ADVISORY ADVANTAGE CORPORATION|MANNING & NAPIER ADVISORY ADVANTAGE CORPORATION|290 WOODCLIFF DRIVE||FAIRPORT NY 14450|USA|||  ||BRENDA F. OATHOUT|585-325-6880|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|08/17/1990|0|0|0|0|0|0
New York Regional Office| 106656|801-46765|PINE GROVE ASSOCIATES,INC|PINE GROVE ASSOCIATES,INC|25 DEFOREST AVENUE||SUMMIT NJ 07901-2154|USA|||  ||NATASHA FEDOROW|908-273-6321|Corporation|Selection of other advisers|APPROVED|07/01/1994|0|0|0|0|0|0
New York Regional Office| 106659|801-53272|DAVIS SELECTED ADVISERS - NY, INC.|DAVIS SELECTED ADVISERS - NY, INC.|609 FIFTH AVENUE, 11TH FLOOR||NEW YORK NY 10007|USA|||  ||THOMAS TAYS|(520)434-3771|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/20/1996|0|3|1|0|0|0
New York Regional Office| 106661|801-53609|RENAISSANCE TECHNOLOGIES LLC|RENAISSANCE TECHNOLOGIES LLC|800 THIRD AVENUE||NEW YORK NY 10022|USA|||  ||SILBER, MENDEL MARK|212-486-6780|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/12/1998|0|1|0|0|0|0
New York Regional Office| 106666|801-54036|GREENTREE CAPITAL MANAGEMENT LLC|GREENTREE CAPITAL MANAGEMENT LLC|805 CROSSKEYS OFFICE PARK||FAIRPORT NY 14450|USA|||  ||GAESS,PETER JOHN|585-425-5100|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/11/1997|0|0|0|0|0|0
New York Regional Office| 106667|801-52286|HIGHLANDER CAPITAL MANAGEMENT LLC|HIGHLANDER CAPITAL MANAGEMENT LLC|119 LITTLETON ROAD||PARSIPPANY NJ 07054|USA|||  ||WEECK, ECKART A.|973-335-3300|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/27/1996|0|1|0|0|0|0
New York Regional Office| 106674|801-37085|LEDONNE ADVISORY SERVICES|LEDONNE EDMOND V|200 BUSINESS PARK DRIVE, SUITE 106||ARMONK NY 10504|USA|||  ||MATTHEWS,JEANINE|914-730-0196|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|08/03/1990|0|0|0|0|0|0
New York Regional Office| 106679|801-44798|GROESBECK INVESTMENT MANAGEMENT CORP|GROESBECK INVESTMENT MANAGEMENT CORP|12 RTE. 17 NORTH|SUITE 130|PARAMUS NJ 07652|USA|||  ||WAYNE, MICHELE|201 291-7888|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/24/1993|0|0|0|0|0|0
New York Regional Office| 106687|801-44099|EII REALTY SECURITIES INC|EII REALTY SECURITIES INC|717 FIFTH AVENUE, 10TH FLOOR||NEW YORK NY 10022|USA|||  ||MEAGHER,MICHAEL|212-644-0794|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/07/1993|0|0|0|0|0|0
New York Regional Office| 106693|801-48238|THE AYCO COMPANY,L.P.|THE AYCO COMPANY,L.P.|321 BROADWAY||SARATOGA SPRINGS NY 12866|USA|P.O. BOX 860||SARATOGA SPRINGS NY 12866-0860|USA|PETER MARTIN|518-886-4400|Partnership|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|12/09/1994|0|38|1|0|0|0
New York Regional Office| 106716|801-49805|BENNETT LAWRENCE MANAGEMENT LLC|BENNETT LAWRENCE MANAGEMENT LLC|THE LINCOLN BUILDING|60 EAST 42ND STREET, 43RD FLOOR|NEW YORK NY 10165|USA|||  ||FISHER, JANE H.|212-508-6408|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/07/1995|0|0|0|0|0|0
New York Regional Office| 106719|801-42744|RUNNYMEDE CAPITAL MANAGEMENT INC|RUNNYMEDE CAPITAL MANAGEMENT INC|10 WILRICH GLEN ROAD||MORRISTOWN NJ 07960|USA|P.O. BOX 359||MENDHAM NJ 07945-0359|US|WANG, PAULINE FUNG|973-267-6886|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/03/1992|0|0|0|0|0|0
New York Regional Office| 106721|801-52308|WELCH CAPITAL PARTNERS LLC|WELCH CAPITAL PARTNERS LLC|600 LEXINGTON AVENUE, 31ST FL||NEW YORK NY 10022|USA|||  ||WELCH, CHRISTOPHER WARREN|212-754-6077|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/01/1996|0|0|0|0|0|0
New York Regional Office| 106736|801-16633|TCW ADVISORS INC|TCW ADVISORS INC|200 PARK AVENUE|SUITE 2200|NEW YORK NY 10166|USA|||  ||HENRY SOLIS|213-244-0103|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/30/1981|1|0|1|0|0|0
New York Regional Office| 106740|801-54100|RESURGENCE ASSET MANAGEMENT,LLC|RESURGENCE ASSET MANAGEMENT, L.L.C.|1185 AVENUE OF THE AMERICAS|18TH FLOOR|NEW YORK NY 10036|USA|||  ||BOBBY LIU|212-843-8980|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|03/28/1997|0|0|0|0|0|0
New York Regional Office| 106743|801-40835|CLARFELD FINANCIAL ADVISORS INC|CLARFELD FINANCIAL ADVISORS INC|560 WHITE PLAINS ROAD||TARRYTOWN NY 10591|USA|||  ||SOODIK,JOY M|914-846-0100|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|02/20/1992|0|0|0|0|0|0
New York Regional Office| 106750|801-6709|FRED ALGER MANAGEMENT, INC|FRED ALGER MANAGEMENT, INC|111 FIFTH AVENUE||NEW YORK NY 10003|USA|||  ||HAL LIEBES|(212) 806-2966|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/15/1970|1|7|2|0|0|0
New York Regional Office| 106752|801-47062|C & C FINANCIAL SERVICES, INC.|C & C FINANCIAL SERVICES, INC.|175 GREAT NECK RD|SUITE 405|GREAT NECK NY 11021|USA|||  ||BIRNBACH, RICHARD J|516-482-3260|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|07/26/1994|0|0|0|0|0|0
New York Regional Office| 106758|801-33850|THE HOGAN-KNOTTS FINANCIAL GROUP, INC.|THE HOGAN-KNOTTS FINANCIAL GROUP, INC.|298 BROAD ST||RED BANK NJ 07701|USA|||  ||TIMOTHY A. KNOTTS, CFP|1-732-842-7400|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/10/1989|0|1|0|0|0|0
New York Regional Office| 106780|801-48165|SAGE PARTNERS LLC|SAGE PARTNERS LLC|220 EAST 42ND STREET|32ND FLOOR|NEW YORK NY 10017|USA|||  ||THOMAS J. O'BRIEN|212-476-9008|Limited Liability Company|Selection of other advisers, Other|APPROVED|01/24/1995|0|1|0|0|0|0
New York Regional Office| 106783|801-50449|NEEDHAM INVESTMENT MANAGEMENT, LLC|NEEDHAM INVESTMENT MANAGEMENT, LLC|445 PARK AVENUE, 15TH FLOOR||NEW YORK NY 10022|USA|||  ||JAMES ABBRUZZESE|212-705-0364|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/17/1995|0|5|1|0|0|0
New York Regional Office| 106787|801-26376|AMERICAN INVESTORS ADVISORS INC|AMERICAN INVESTORS ADVISORS INC|44 WALL STREET 2ND FLOOR||NEW YORK NY 10005|USA|||  ||JACKSON, GILBERT|212-495-4531|Corporation|Portfolio management for investment companies|APPROVED|02/12/1986|0|0|0|0|0|0
New York Regional Office| 106788|801-49482|SIGULER GUFF ADVISERS LLC|SIGULER GUFF ADVISERS LLC|825 THIRD AVENUE|10TH FLOOR|NEW YORK NY 10022|USA|||  ||SPENCER, DONALD|212 332-5105|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/06/1995|0|0|0|0|0|0
New York Regional Office| 106794|801-37165|PECKS MANAGEMENT PARTNERS LTD|PECKS MANAGEMENT PARTNERS LTD|1 ROCKEFELLER PLAZA|SUITE 1730|NEW YORK NY 10020|USA|||  ||GARCIA, THEODORA|212-332-1340|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/01/1990|0|0|0|0|0|0
New York Regional Office| 106820|801-36972|CHIPCO ASSET MANAGEMENT|CHIPCO ASSET MANAGEMENT LLC|950 THIRD AVENUE|30TH FL|NEW YORK NY 10022|USA|||  ||PFORZHEIMER, CARL HOWARD|212-223-6500|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/19/1990|0|1|0|0|0|0
New York Regional Office| 106835|801-17316|CLAY FINLAY LLC|CLAY FINLAY LLC|12 EAST 49TH STREET|32ND FLOOR|NEW YORK NY 10017|USA|||  ||ROSALIND M. HEWSENIAN|(212)692-8000|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|06/21/1982|0|0|0|0|0|0
New York Regional Office| 106847|801-50838|PZENA INVESTMENT MANAGEMENT LLC|PZENA INVESTMENT MANAGEMENT LLC|120 WEST 45TH STREET, 20TH FLOOR||NEW YORK NY 10036|USA|||  ||DAVID H. KANEFSKY|646-344-8443|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/15/1995|0|0|1|0|0|0
New York Regional Office| 106848|801-37715|GEM CAPITAL MANAGEMENT, INC.|GEM CAPITAL MANAGEMENT, INC.|16 EAST 40TH STREET 8TH FLOOR||NEW YORK NY 10016|USA|||  ||JOHN POWER|212-220-5147|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/09/1990|0|1|0|0|0|0
New York Regional Office| 106849|801-38994|JOHN HSU CAPITAL GROUP, INC.|JOHN HSU CAPITAL GROUP, INC.|747 THIRD AVENUE|SUITE 26A|NEW YORK NY 10017|USA|||  ||HSU, REBECCA BODELL|212-223-7515|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/10/1991|0|0|0|0|0|0
New York Regional Office| 106855|801-44577|AT&T INVESTMENT MANAGEMENT CORP|AT&T INVESTMENT MANAGEMENT CORP|10 INDEPENDENCE BLVD-SUITE 110||WARREN NJ 07059-6747|USA|||  ||CARROLL, LYNN|908-605-2111|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|09/30/1993|0|0|0|0|0|0
New York Regional Office| 106861|801-31832|WILLIAMS, JONES & ASSOCIATES, LLC|WILLIAMS, JONES & ASSOCIATES, LLC|717 FIFTH AVE|SUITE 1700|NEW YORK NY 10022|USA|||  ||JONES, WILLIAM P., JR.|212-935-8753|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/14/1988|0|0|0|0|0|0
New York Regional Office| 106862|801-6482|FURGUESON CAPITAL MANAGEMENT INCORPORATED|FURGUESON CAPITAL MANAGEMENT INCORPORATED|19 WEST 44TH ST|SUITE 812|NEW YORK NY 10036-6090|USA|||  ||MICHAEL F. FLEMING|212-840-1781|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|04/08/1970|0|1|0|0|0|0
New York Regional Office| 106863|801-18766|ARTIO GLOBAL MANAGEMENT LLC|ARTIO GLOBAL MANAGEMENT LLC|330 MADISON AVE|FLOOR 12A|NEW YORK NY 10017|USA|||  ||DONALD DELANO|212-297-3628|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|04/13/1983|0|0|0|0|0|0
New York Regional Office| 106864|801-39528|UNITED STATES STEEL & CARNEGIE PENSION FUND INC|UNITED STATES STEEL & CARNEGIE PENSION FUND|350 PARK AVE 17TH FLOOR||NEW YORK NY 10022|USA|||  ||CASSIDY, MARY SHARON|212-826-8438|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|09/19/1991|1|2|0|0|0|0
New York Regional Office| 106867|801-43464|OMEGA ADVISORS,INC.|OMEGA ADVISORS,INC.|88 PINE STREET, 31ST FL|WALL STREET PLAZA|NEW YORK NY 10005|USA|||  ||SUSAN LEONG|212-495-5889|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|03/12/1993|0|0|0|0|0|0
New York Regional Office| 106913|801-50326|HFR INVESTMENT ADVISORY SERVICES|REILLY HERBERT FAULKNER III|1760 VAN ANTWERP ROAD||NISKAYUNA NY 12309|USA|||  ||REILLY III, HERBERT F|518-346-8189|Sole Proprietorship|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/06/1995|0|0|0|0|0|0
New York Regional Office| 106936|801-50793|ALLBRIGHT ASSET MANAGEMENT INC|ALLBRIGHT ASSET MANAGEMENT INC|640 STATE ROUTE 48||FULTON NY 13069|USA|||  ||ALLBRIGHT, LEE A|3155936795|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|12/18/1995|0|0|0|0|0|0
New York Regional Office| 106939|801-42732|GENERAL MOTORS INVESTMENT MANAGEMENT CORPORATION|GENERAL MOTORS INVESTMENT MANAGEMENT CORPORATION|767 FIFTH AVENUE||NEW YORK NY 10153|USA|||  ||MULLIN, MARY A.|(212) 418-6318|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|12/01/1992|0|0|2|0|0|0
New York Regional Office| 106941|801-34753|RDM CAPITAL ASSOCIATES INC|RDM CAPITAL ASSOCIATES INC|20 BINGHAM AVE|PO BOX 550|RUMSON NJ 07760|USA|||  ||FLYNN, THOMAS FRANCIS|732-219-9399|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/06/1989|0|2|0|0|0|0
New York Regional Office| 106942|801-45798|PORTFOLIO STRATEGIES INC NY|PORTFOLIO STRATEGIES INC NY|11 WAVERLY PL||MONSEY NY 10952|USA|||  ||MUNK, CHAIM M|845-352-1919|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/01/1994|0|0|0|0|0|0
New York Regional Office| 106955|801-47378|STEPHEN P. MOULTON & ASSOCIATES, LTD.|STEPHEN P. MOULTON & ASSOCIATES, LTD.|7133 WEST MAIN||LEROY NY 14482|USA|PO BOX 220||LEROY NY 14482|USA|STEPHEN P. MOULTON|585-768-8760|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/26/1994|0|0|0|0|0|0
New York Regional Office| 106957|801-53336|HALCYON ASSET MANAGEMENT LLC|HALCYON ASSET MANAGEMENT LLC|477 MADISON AVENUE, 8TH FL||NEW YORK NY 10022-5843|USA|||  ||FOX, NANCY|212-303-9404|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/02/1997|0|0|0|0|0|0
New York Regional Office| 106998|801-32361|ALLIANCEBERNSTEIN HOLDING L.P.|ALLIANCEBERNSTEIN HOLDING L.P.|1345 AVENUE OF THE AMERICAS||NEW YORK NY 10105|USA|||  ||MARK ANDERSON|(212) 969-1428|Other (specify)|Other|APPROVED|04/21/1988|0|28|0|0|0|0
New York Regional Office| 107022|801-28257|JACOBS LEVY EQUITY MANAGEMENT|JACOBS LEVY EQUITY MANAGEMENT INC|100 CAMPUS DRIVE|P.O. BOX 650|FLORHAM PARK NJ 07932-0650|USA|||  ||WEISBERG, HEATH N|973-410-9222|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/30/1986|0|0|0|0|0|0
New York Regional Office| 107038|801-21011|JPMORGAN ASSET MANAGEMENT|J.P. MORGAN INVESTMENT MANAGEMENT INC.|245 PARK AVENUE||NEW YORK NY 10167|USA|||  ||JOSEPH J. BERTINI|212-648-1787|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|04/04/1984|0|6|5|0|0|0
New York Regional Office| 107046|801-49394|HOLLAND & CO LLC|HOLLAND & CO LLC|375 PARK AVE||NEW YORK NY 10152|USA|||  ||HOLLAND,MICHAEL F|212-486-2002|Limited Liability Company|Portfolio management for investment companies, Other|APPROVED|06/12/1995|0|0|0|0|0|0
New York Regional Office| 107063|801-13857|ROANOKE ASSET MANAGEMENT CORP|ROANOKE ASSET MANAGEMENT CORP|529 5TH AVE|14TH FLR|NEW YORK NY 10017|USA|||  ||CAMPBELL, MARVIA S.|212-682-7580 X116|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/15/1978|0|0|0|0|0|0
New York Regional Office| 107067|801-56705|MADISON PORTFOLIO CONSULTANTS INC.|MADISON PORTFOLIO CONSULTANTS INC.|280 PARK AVE|24TH FLOOR|NEW YORK NY 10017|USA|||  ||WEISENBERG, ALAN C|212-683-6686|Corporation|Pension consulting services, Selection of other advisers|APPROVED|07/23/1999|0|0|0|0|0|0
New York Regional Office| 107073|801-44209|M.D. SASS MANAGEMENT, INC.|M.D. SASS MANAGEMENT, INC.|1185 AVENUE OF THE AMERICAS|18TH FLOOR|NEW YORK NY 10036|USA|||  ||SUSAN GARRISON HICKEY|(212) 730 2000|Corporation|Other|APPROVED|07/15/1993|0|0|0|0|0|0
New York Regional Office| 107076|801-53561|BAY HARBOUR MANAGEMENT LC|BAY HARBOUR MANAGEMENT LC|885 THIRD AVENUE|34TH FLOOR|NEW YORK NY 10022-4904|USA|885 THIRD AVENUE|34TH FLOOR|NEW YORK NY 10022-4904|USA|MORRO, ANTHONY|646-205-1030|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/02/1996|0|0|0|0|0|0
New York Regional Office| 107100|801-32541|W.R. HUFF ASSET MANAGEMENT CO., L.L.C.|W.R. HUFF ASSET MANAGEMENT CO., L.L.C.|67 PARK PLACE||MORRISTOWN NJ 07960|USA|||  ||CARBONE, JOSEPHINE|973-984-1233|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/01/1988|0|0|0|0|0|0
New York Regional Office| 107104|801-13399|TIRSCHWELL & LOEWY INC|TIRSCHWELL & LOEWY INC|400 PARK AVENUE||NEW YORK NY 10022-4406|USA|||  ||SCHWARTZ, HENDREA|212-888-7940|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/13/1977|0|0|0|0|0|0
New York Regional Office| 107105|801-48433|BLACKROCK FINANCIAL MANAGEMENT, INC|BLACKROCK FINANCIAL MANAGEMENT, INC|40 EAST 52ND STREET||NEW YORK NY 10022|USA|||  ||BATTISTA, BARTHOLOMEW|212-810-3423|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/28/1995|0|5|2|0|0|0
New York Regional Office| 107124|801-43760|ACORN DERIVATIVES MANAGEMENT CORP|ACORN DERIVATIVES MANAGEMENT CORP|50 MAIN STREET||WHITE PLAINS NY 10606|USA|||  ||BOYLE, ROBERTA G|914-949-3516|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/30/1993|0|0|0|0|0|0
New York Regional Office| 107128|801-37636|HAMEL ASSOCIATES,INC.|HAMEL ASSOCIATES INC|615 WEST MT. PLEASANT AVE||LIVINGSTON NJ 07039|USA|||  ||FRANKO,BARBARA|973-758-1400|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|10/29/1990|0|0|0|0|0|0
New York Regional Office| 107157|801-46887|TEACHERS ADVISORS, INC.|TEACHERS ADVISORS, INC.|730 THIRD AVE|8TH FLR|NEW YORK NY 10017|USA|||  ||RICHARD S. BIEGEN|212-913-5830|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/21/1994|0|0|0|0|0|0
New York Regional Office| 107162|801-37198|SECURITY ASSET MANAGEMENT|SECURITY ASSET MANAGEMENT INC|400 MADISON AVENUE|SUITE 5C|NEW YORK NY 10017-1983|USA|||  ||JOHANNA F. AMBROSIO|(212) 644-3410|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/17/1990|0|0|0|0|0|0
New York Regional Office| 107168|801-38029|TIAA-CREF INVESTMENT MANAGEMENT LLC|TIAA-CREF INVESTMENT MANAGEMENT LLC|730 THIRD AVE|8TH FLR|NEW YORK NY 10017-3206|USA|||  ||RICHARD S. BIEGEN|212-913-5830|Limited Liability Company|Portfolio management for investment companies|APPROVED|12/31/1990|0|0|0|0|0|0
New York Regional Office| 107170|801-46277|PETER A. FARRELL INVESTMENT MANAGEMENT SERVICES|FARRELL PETER ALLAN|14 CORPORATE WOODS BLVD||ALBANY NY 12211|USA|||  ||FARRELL, PETER ALLAN|518-462-4979|Sole Proprietorship|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/14/1994|0|0|0|0|0|0
New York Regional Office| 107182|801-53491|HALCYON OFFSHORE ASSET MANAGEMENT LLC|HALCYON OFFSHORE ASSET MANAGEMENT LLC|477 MADISON AVE||NEW YORK NY 10022-5843|USA|||  ||FOX, NANCY I.|212-303-9404|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/02/1997|0|0|0|0|0|0
New York Regional Office| 107200|801-38363|MBIA ASSET MANAGEMENT GROUP|MBIA MUNICIPAL INVESTORS SERVICES CORP|113 KING STREET||ARMONK NY 10504|USA|||  ||CHUBINSKY,LEONARD|914-765-3918|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/01/1991|0|0|0|0|0|0
New York Regional Office| 107203|801-36836|VICTORY ASSET MANAGEMENT CO INC|VICTORY ASSET MANAGEMENT CO INC|1050 MANTUA PIKE|SUITE 105|WENONAH NJ 08090-1141|USA|||  ||VERFAILLIE,JR., HOWARD R.|(856)464-3100|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|06/15/1990|0|0|0|0|0|0
New York Regional Office| 107221|801-34345|HUBER JOAN MACMONNIES|HUBER JOAN MACMONNIES|24 ROLLING DRIVE||BROOKVILLE NY 11545-2613|USA|||  ||HUBER,JOAN MACMONNIES|516-626-3359|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/04/1989|0|0|0|0|0|0
New York Regional Office| 107223|801-23822|TREMONT PARTNERS INC|TREMONT PARTNERS INC|555 THEODORE FREMD AVENUE||RYE NY 10580|USA|||  ||CLAYTON, STEPHEN T.|914-925-1158|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|04/18/1985|0|33|1|0|0|0
New York Regional Office| 107235|801-51125|ING ALTERNATIVE ASSET MANAGEMENT LLC|ING ALTERNATIVE ASSET MANAGEMENT LLC|230 PARK AVENUE||NEW YORK NY 10169|USA|||  ||LINS, GERALD T.|212-309-8260|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|03/08/1996|0|1|0|0|0|0
New York Regional Office| 107244|801-43696|C.E. UNTERBERG, TOWBIN ADVISORS, LLC|C.E. UNTERBERG TOWBIN ADVISORS, LLC|350 MADISON AVENUE||NEW YORK NY 10017|USA|||  ||REYNOSO, RICH|(212) 389-8043|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|04/27/1993|0|1|0|0|0|0
New York Regional Office| 107275|801-53493|PINNACLE ADVISORS LLC|PINNACLE ADVISORS LLC|507 PLUM ST.||SYRACUSE NY 13204|USA|||  ||MICHAEL SAMORAJ|315.251.1101|Limited Liability Company|Portfolio management for investment companies|APPROVED|12/19/1996|0|0|0|0|0|0
New York Regional Office| 107291|801-38219|CONCORD ADVISORY GROUP LTD|CONCORD ADVISORY GROUP LTD|700 ALEXANDER PARK|SUITE 203|PRINCETON NJ 08540|USA|||  ||SCOTT SANTIN|609-987-9000|Corporation|Pension consulting services, Selection of other advisers|APPROVED|02/01/1991|0|0|0|0|0|0
New York Regional Office| 107303|801-38340|UPRIGHT FINANCIAL CORP|UPRIGHT FINANCIAL CORP|615 WEST MT PLEASANT AVE||LIVINGSTON NJ 07039|USA|||  ||DAVID CHIUEH|973-533-1818|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Pension consulting services|APPROVED|03/01/1991|0|0|0|0|0|0
New York Regional Office| 107309|801-661|MEYER HANDELMAN COMPANY|MEYER HANDELMAN COMPANY|RECKSON EXECUTIVE PARK 4 INTERNATIONAL DR||RYE BROOK NY 10573-1056|USA|P.O. BOX 817||PURCHASE NY 10577-0817|USA|WILLIAM R. HANDELMAN|914-939-4060|Partnership|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|08/19/1951|0|0|0|0|0|0
New York Regional Office| 107319|801-42910|DIVERSIFIED INVESTMENT ADVISORS, INC.|DIVERSIFIED INVESTMENT ADVISORS, INC.|4 MANHATTANVILLE ROAD||PURCHASE NY 10577|USA|||  ||RICK RESNIK|914-697-8645|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|12/16/1992|0|2|0|0|0|0
New York Regional Office| 107338|801-19813|AIG SUNAMERICA ASSET MANAGEMENT CORP.|AIG SUNAMERICA ASSET MANAGEMENT CORP.|HARBORSIDE FINANCIAL CENTER|3200 PLAZA 5|JERSEY CITY NJ 07311-4992|USA|||  ||JOSEPH NEARY|201-324-6360|Corporation|Portfolio management for investment companies, Selection of other advisers|APPROVED|09/16/1983|1|6|2|0|0|0
New York Regional Office| 107351|801-23767|VOLUMETRIC ADVISERS|VOLUMETRIC ADVISERS INC|87 VIOLET DRIVE||PEARL RIVER NY 10965|USA|||  ||GABRIEL GIBS|845-623-7637|Corporation|Portfolio management for investment companies|APPROVED|05/15/1985|0|0|0|0|0|0
New York Regional Office| 107363|801-46723|SCHOLTZ & CO|SCHOLTZ & COMPANY, L.L.C.|500 FIFTH AVENUE|SUITE 2440|NEW YORK NY 10110|USA|||  ||PETER D. SCHOLTZ|212-812-4400|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|07/05/1994|0|0|0|0|0|0
New York Regional Office| 107364|801-51739|LEXINGTON ADVISORS INC|LEXINGTON ADVISORS INC|660 MADISON AVENUE, 23RD FLOOR||NEW YORK NY 10065|USA|||  ||THOMAS GIANNETTI|(212)754-0411|Corporation|Other|APPROVED|05/13/1996|0|0|0|0|0|0
New York Regional Office| 107367|801-54142|ROBECO INSTITUTIONAL ASSET MANAGEMENT US INC|ROBECO INSTITUTIONAL ASSET MANAGEMENT US INC|C/O ROBECO INVSTMT MGMT INC, COMPLIANCE DEPT|909 THIRD AVENUE, 32ND FLOOR|NEW YORK NY 10022|USA|||  ||MARY ANN IUDICE|212-908-9620|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/14/1997|0|0|0|0|0|0
New York Regional Office| 107387|801-48913|HV CAPITAL MANAGEMENT, INC.|HV CAPITAL MANAGEMENT, INC.|97 W MAIN STREET||GOSHEN NY 10924|USA|P.O. BOX 268||GOSHEN NY 10924|USA|THOMAS V. GUARINO|845-294-6127|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Portfolio management for individuals and/or small businesses|APPROVED|04/07/1995|0|0|0|0|0|0
New York Regional Office| 107399|801-38772|DELTA FINANCIAL GROUP, INC.|DELTA FINANCIAL GROUP, INC.|41 STONEHOUSE ROAD||BASKING RIDGE NJ 07920|USA|||  ||SEAN F. DONOVAN|908-542-9400|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/09/1991|0|0|0|0|0|0
New York Regional Office| 107400|801-50346|SPOOR BEHRINS CAMPBELL & YOUNG SECURITIES CORP|SPOOR BEHRINS CAMPBELL & YOUNG SECURITIES CORP|42 MAIN STREET||CLINTON NJ 08809-2634|USA|||  ||DEBORAH A. MILLER|9087350448|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|10/06/1995|0|0|0|0|0|0
New York Regional Office| 107408|801-36872|MATRIX ASSET ADVISORS INC|MATRIX ASSET ADVISORS INC|747 THIRD AVENUE, 31ST FL||NEW YORK NY 10017|USA|||  ||LAURIE S. GAETA|212 486 2004|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/15/1990|0|0|0|0|0|0
New York Regional Office| 107414|801-49363|KRAMER CAPITAL MANAGEMENT|KRAMER CAPITAL MANAGEMENT INC|622 THIRD AVENUE, 32ND FLOOR||NEW YORK NY 10017|USA|||  ||SHU FANG WU|212-906-1167|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/09/1995|0|0|0|0|0|0
New York Regional Office| 107434|801-41464|UNITED ASSET STRATEGIES INC.|UNITED ASSET STRATEGIES INC.|666 OLD COUNTRY RD|SUITE 104|GARDEN CITY NY 11530|USA|||  ||LEE DELORENZO|516-222-0021|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|06/09/1992|0|0|0|0|0|0
New York Regional Office| 107436|801-53005|ALBION INVESTORS LLC|ALBION INVESTORS LLC|75 ROCKEFELLER PLAZA, 15TH FL.||NEW YORK NY 10019|USA|||  ||ARTHUR MEEHAN|212-277-7522|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/10/1996|0|23|0|0|0|0
New York Regional Office| 107437|801-43569|ALLIANCE CORPORATE FINANCE GROUP INC|ALLIANCE CORPORATE FINANCE GROUP INC|1345 AVENUE OF THE AMERICAS||NEW YORK NY 10105|USA|||  ||MARK ANDERSON|(212) 969-1428|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/23/1993|0|28|0|0|0|0
New York Regional Office| 107439|801-40414|ALLIANCEBERNSTEIN GLOBAL DERIVATIVES CORPORATION|ALLIANCEBERNSTEIN GLOBAL DERIVATIVES CORPORATION|1345 AVENUE OF THE AMERICAS||NEW YORK NY 10105|USA|||  ||MARK ANDERSON|(212) 969-1428|Corporation|Other|APPROVED|12/17/1991|0|29|0|0|0|0
New York Regional Office| 107445|801-39910|ALLIANCEBERNSTEIN CORPORATION|ALLIANCEBERNSTEIN CORPORATION|1345 AVENUE OF THE AMERICAS||NEW YORK NY 10105|USA|||  ||MARK ANDERSON|(212) 969-1428|Corporation|Other|APPROVED|11/04/1991|0|28|0|0|0|0
New York Regional Office| 107478|801-50751|FLETCHER ASSET MANAGEMENT, INC.|FLETCHER ASSET MANAGEMENT, INC.|48 WALL STREET|5TH FLOOR|NEW YORK NY 10005|USA|||  ||JAY SHOWS|212-284-4800|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/07/1995|0|0|0|0|0|0
New York Regional Office| 107486|801-41741|PARAGON CAPITAL MANAGEMENT|PARAGON CAPITAL MANAGEMENT CORP|10 EDGEWOOD AVENUE,||SMITHTOWN NY 11787|USA|||  ||SUSAN WISNIEWSKI|631-863-2700|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|08/12/1992|0|0|0|0|0|0
New York Regional Office| 107497|801-43158|WHIPPOORWILL ASSOCIATES INC|WHIPPOORWILL ASSOCIATES INC|11 MARTINE AVE||WHITE PLAINS NY 10606|USA|||  ||DANIEL GEWANTER|914-683-1002|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/26/1993|0|0|0|0|0|0
New York Regional Office| 107520|801-34127|DEVON ASSOCIATES|DEVON CONSULTING LTD|250 MILL STREET||ROCHESTER NY 14614|USA|||  ||SUSAN BLANCHE WILSON|585.777.4000|Corporation|Pension consulting services, Selection of other advisers|APPROVED|03/23/1989|0|0|0|0|0|0
New York Regional Office| 107524|801-52224|KM ADVISORY SERVICES|MEREDITH KATHRYN JANE|1170 PITTSFORD VICTOR ROAD|SUITE 270|PITTSFORD NY 14534|USA|||  ||JOHN HARNISH|585-381-5900|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|06/24/1996|0|2|0|0|0|0
New York Regional Office| 107533|801-44062|SHIKIAR ASSET MANAGEMENT INC|SHIKIAR ASSET MANAGEMENT INC|1633 BROADWAY|9TH FLOOR|NEW YORK NY 10019|USA|||  ||DIANE MCDERMOTT|212-660-5643|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/03/1993|0|0|0|0|0|0
New York Regional Office| 107545|801-27792|THIRD AVENUE MANAGEMENT LLC|THIRD AVENUE MANAGEMENT LLC|622 THIRD AVE|32ND FLOOR|NEW YORK NY 10017-6715|USA|||  ||JOSEPH J. REARDON|212-888-5222|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/29/1986|0|0|0|0|0|0
New York Regional Office| 107562|801-50955|FAGAN ASSOCIATES INC|FAGAN ASSOCIATES INC|767 HOOSICK ROAD||TROY NY 12180|USA|||  ||DENNIS P. FAGAN|518-279-1044|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|03/06/1996|0|0|0|0|0|0
New York Regional Office| 107580|801-52559|BLACKSTONE ALTERNATIVE ASSET MANAGEMENT LP|BLACKSTONE ALTERNATIVE ASSET MANAGEMENT LP|345 PARK AVE||NEW YORK NY 10154|USA|||  ||ROBERT L. FRIEDMAN|212-583-5268|Partnership|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/28/1996|0|0|0|0|0|0
New York Regional Office| 107584|801-45224|INVESCO PRIVATE CAPITAL, INC.|INVESCO PRIVATE CAPITAL, INC.|1166 AVE OF THE AMERICAS||NEW YORK NY 10036|USA|||  ||CARMINE E. ANGONE|212-278-9834|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|12/03/1993|0|2|0|0|0|0
New York Regional Office| 107585|801-41174|ALTER ASSET MANAGEMENT INC|ALTER ASSET MANAGEMENT INC|731 ALEXANDER ROAD|SUITE 301|PRINCETON NJ 08540|USA|||  ||GEORGE ANDRESEN|609-514-3690|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/02/1992|0|0|0|0|0|0
New York Regional Office| 107589|801-38030|DNB NOR ASSET MANAGEMENT (US), INC.|DNB NOR ASSET MANAGEMENT (US), INC.|200 PARK AVENUE, 31ST FLOOR||NEW YORK NY 10166|USA|||  ||KIM DALTON|212-551-9819|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/17/1991|0|0|0|0|0|0
New York Regional Office| 107590|801-38119|INVESCO SENIOR SECURED MANAGEMENT, INC.|INVESCO SENIOR SECURED MANAGEMENT INC|1166 AVE OF THE AMERICAS||NEW YORK NY 10036|USA|||  ||CARMINE E. ANGONE|212-278-9834|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/15/1992|0|2|0|0|0|0
New York Regional Office| 107598|801-43675|LOEB PARTNERS MANAGEMENT INC|LOEB PARTNERS MANAGEMENT INC|61 BROADWAY||NEW YORK NY 10006|USA|||  ||PETER A. TCHEREPNINE|212-483-7039|Corporation|Other|APPROVED|04/19/1993|0|3|0|0|0|0
New York Regional Office| 107637|801-27180|OPCAP ADVISORS LLC|OPCAP ADVISORS LLC|1345 AVENUE OF THE AMERICAS|4TH FLOOR|NEW YORK NY 10105-4800|USA|680 NEWPORT CENTER DRIVE|SUITE 250|NEWPORT BEACH CA 92660|UNITED STATES|WILLIAM V. HEALEY|(212) 739-3230|Limited Liability Company|Portfolio management for investment companies|APPROVED|06/09/1986|0|2|1|0|0|0
New York Regional Office| 107652|801-49418|NICHOLAS ADVISORS INC|NICHOLAS ADVISORS INC|126 EAST 56 STREET, SUITE 1510||NEW YORK NY 10022|USA|||  ||LOUISE ORZO|212-317-0200|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|06/27/1995|0|0|0|0|0|0
New York Regional Office| 107668|801-37888|MARQUE MILLENNIUM CAPITAL MANAGEMENT LLC|MARQUE MILLENNIUM CAPITAL MANAGEMENT LLC|366 MADISON AVENUE, 10TH FLOOR||NEW YORK NY 10017|USA|||  ||EILEEN GUARDIANO|212-759-6805|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|12/13/1990|0|1|2|0|0|0
New York Regional Office| 107675|801-17037|SMITH AFFILIATED CAPITAL CORP.|SMITH AFFILIATED CAPITAL CORP|800 3RD AVENUE|12TH FLOOR|NEW YORK NY 10022|USA|||  ||JOHN K. SMITH|(212) 644-9440|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/01/1982|0|0|0|0|0|0
New York Regional Office| 107677|801-9788|JEANNERET J P ASSOCIATES INC|JEANNERET J P ASSOCIATES INC|100 E. WASHINGTON STREET||SYRACUSE NY 13202|USA|||  ||JOHN P. JEANNERET|315-478-2770|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|02/16/1974|0|0|0|0|0|0
New York Regional Office| 107689|801-8268|ROYCE & ASSOCIATES, LLC|ROYCE & ASSOCIATES, LLC|1414 AVENUE OF THE AMERICAS||NEW YORK NY 10019|USA|||  ||JOHN E. DENNEEN|212-486-1445|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|12/14/1971|0|0|0|0|0|0
New York Regional Office| 107695|801-41108|CARL MARKS MANAGEMENT CO LP|CARL MARKS MANAGEMENT COMPANY, LLC|900 THIRD AVENUE - 33RD FLOOR||NEW YORK NY 10022|USA|||  ||LAUREN REYNOLDS|212-909-8442|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/25/1992|0|0|0|0|0|0
New York Regional Office| 107707|801-21972|RESERVE MANAGEMENT CO., INC.|RESERVE MANAGEMENT CO., INC.|C/O THE RESERVE|1250 BROADWAY, 32ND FLOOR|NEW YORK NY 10001-3701|USA|||  ||CHRISTINA MASSARO|212-401-5560|Corporation|Portfolio management for investment companies, Selection of other advisers|APPROVED|08/21/1984|0|0|0|0|0|0
New York Regional Office| 107717|801-5594|MACKAY SHIELDS LLC|MACKAY SHIELDS LLC|9 WEST 57TH ST||NEW YORK NY 10019|USA|||  ||ELLEN METZGER|(212) 230-3959|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/11/1969|0|58|4|0|0|0
New York Regional Office| 107718|801-52142|THE MDE GROUP, INC.|THE MDE GROUP, INC.|465 SOUTH STREET|SUITE 304|MORRISTOWN NJ 07960|USA|||  ||EMIL COSCARELLI|973-206-7139|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|06/17/1996|0|0|0|0|0|0
New York Regional Office| 107726|801-60476|UBS INTERNATIONAL INC.|UBS INTERNATIONAL INC.|101 PARK AVENUE||NEW YORK NY 10178|USA|||  ||KENNETH TOWNLEY|(212) 916-2124|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/31/2001|2|69|5|0|0|0
New York Regional Office| 107738|801-37591|GOLDMAN SACHS ASSET MANAGEMENT, L.P.|GOLDMAN SACHS ASSET MANAGEMENT, L.P.|32 OLD SLIP||NEW YORK NY 10005|USA|||  ||JUDITH SHANDLING|212-855-9191|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|10/25/1990|0|49|0|0|0|0
New York Regional Office| 107755|801-39858|FINANCIAL DECISIONS INC|FINANCIAL DECISIONS INC|780 THIRD AVENUE|19TH FLOOR|NEW YORK NY 10017|USA|||  ||LINDA SCHOENTHALER|212-920-3470|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|10/02/1991|0|0|0|0|0|0
New York Regional Office| 107763|801-46380|ARISTA INVESTMENT ADVISORS, LTD.|ARISTA INVESTMENT ADVISORS, LTD.|255 WASHINGTON AVENUE EXTENSION||ALBANY NY 12205|USA|||  ||KARIN LOPEZ-GERBER|518-452-3805|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/28/1994|0|0|0|0|0|0
New York Regional Office| 107764|801-56130|TRAPHAGEN INVESTMENT ADVISORS LLC|TRAPHAGEN INVESTMENT ADVISORS LLC|234 KINDERKAMACK RD||ORADELL NJ 07649|USA|||  ||KATHRYN MARSICO|201-262-0841|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/07/1999|0|0|0|0|0|0
New York Regional Office| 107769|801-54763|HUDSON ADVISOR SERVICES, INC.|HUDSON ADVISOR SERVICES, INC.|237 MAIN STREET|SUITE 600|BUFFALO NY 14203|USA|||  ||JEREMY C. HUDSON|716-852-7628|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/01/1997|0|0|0|0|0|0
New York Regional Office| 107786|801-56141|MARKSTON INTERNATIONAL LLC|MARKSTON INTERNATIONAL LLC|50 MAIN STREET, SUITE 285||WHITE PLAINS NY 10606|UNITED STATES|||  ||ROGER LOB|914-761-4700|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/31/1998|0|0|0|0|0|0
New York Regional Office| 107791|801-54418|GABELLI FIXED INCOME LLC|GABELLI FIXED INCOME LLC|ONE CORPORATE CENTER||RYE NY 10580-1422|USA|||  ||CHRISTOPHER J. MICHAILOFF|914-921-5000|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/27/1997|0|0|0|0|0|0
New York Regional Office| 107807|801-57520|OFI PRIVATE INVESTMENTS INC|OFI PRIVATE INVESTMENTS INC|2 WORLD FINANCIAL CENTER|225 LIBERTY STREET|NEW YORK NY 10281-1008|USA|||  ||ROBERT G. ZACK|212-323-0250|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/12/2000|0|21|1|0|0|0
New York Regional Office| 107818|801-60102|SUMMIT FINANCIAL STRATEGIES, INC|SUMMIT FINANCIAL STRATEGIES, INC|100 SYLVAN PARKWAY|SUITE 500|AMHERST NY 14228|USA|||  ||DAVID L. FADEL|716-636-0169|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/20/2001|0|0|0|0|0|0
New York Regional Office| 107825|801-30492|BALESTRA CAPITAL LTD|BALESTRA CAPITAL LTD|1185 AVE OF THE AMERICAS|32ND. FLOOR|NEW YORK NY 10036|USA|||  ||JAMES L. MELCHER|212-768-9000|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|11/02/1987|0|0|0|0|0|0
New York Regional Office| 107831|801-45776|IVY ASSET MANAGEMENT CORP|IVY ASSET MANAGEMENT CORP|ONE JERICHO PLAZA||JERICHO NY 11753|USA|||  ||KENNETH R. MARLIN|516-228-6500|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|02/02/1994|0|0|0|0|0|0
New York Regional Office| 107832|801-11031|SANTOMENNO ROCCO ROBERT|SANTOMENNO ROCCO ROBERT|18-00 FAIR LAWN AVENUE|SUITE 105|FAIR LAWN NJ 07410|USA|||  ||ROCCO R. SANTOMENNO|201-797-8866|Sole Proprietorship|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/03/1975|0|0|0|0|0|0
New York Regional Office| 107835|801-13068|J.W.BURNS & COMPANY, INC.|BURNS J W & CO INC|GLACIER CREEK OFFICE PARK|6711 TOWPATH ROAD, STE. 200|EAST SYRACUSE NY 13057|USA|||  ||PETER N. BUNITSKY|315-449-1341|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/09/1977|0|0|0|0|0|0
New York Regional Office| 107848|801-60178|MEHTA PARTNERS LLC|MEHTA PARTNERS LLC|276 5TH AVE|SUITE 1100|NEW YORK NY 10001|USA|||  ||AMITA RODMAN MEHTA|212-343-4300|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters, Other|APPROVED|05/11/2001|0|0|0|0|0|0
New York Regional Office| 107850|801-55755|GOLDMAN SACHS HEDGE FUND STRATEGIES LLC|GOLDMAN SACHS HEDGE FUND STRATEGIES LLC|1 NEW YORK PLAZA||NEW YORK NY 10004|USA|||  ||JUDITH L. SHANDLING|212 855-9191|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|03/08/1999|0|49|1|0|0|0
New York Regional Office| 107853|801-38824|THE ROOSEVELT INVESTMENT GROUP, INC|THE ROOSEVELT INVESTMENT GROUP, INC|317 MADISON AVENUE, STE 1004||NEW YORK NY 10017|USA|||  ||STEVEN WEISS|646-452-6700|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/17/1991|0|2|0|0|0|0
New York Regional Office| 107854|801-55350|P. SCHOENFELD ASSET MANAGEMENT INTERNATIONAL LLC|P. SCHOENFELD ASSET MANAGEMENT INTL LLC|1350 AVENUE OF THE AMERICAS|21ST FLOOR|NEW YORK NY 10019|USA|||  ||DHANANJAY PAI|212-649-9506|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/16/1998|0|1|0|0|0|0
New York Regional Office| 107856|801-38764|TANDEM CAPITAL MANAGEMENT, INC.|TANDEM CAPITAL MANAGEMENT CORP|50 TICE BOULEVARD||WOODCLIFF LAKE NJ 07677|USA|||  ||PHUALIN YOUNG|201-822-0028|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/24/1991|0|0|0|0|0|0
New York Regional Office| 107865|801-56632|CASTLE FINANCIAL & RETIREMENT PLANNING ASSOCIATES INC|CASTLE FINANCIAL & RETIREMENT PLANNING ASSOCIATES INC|2899 STATE HIGHWAY 35||HAZLET NJ 07730-1549|USA|||  ||ALPHONSE PROCACCINO|732-888-4994|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|06/25/1999|0|0|0|0|0|0
New York Regional Office| 107911|801-55244|CRAMER ROSENTHAL MCGLYNN LLC|CRAMER ROSENTHAL MCGLYNN LLC|520 MADISON AVENUE|20TH FLOOR|NEW YORK NY 10022|USA|||  ||STEVEN A. YADEGARI|(212)326-5334|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|06/13/1983|0|0|0|0|0|0
New York Regional Office| 107913|801-56729|OZ MANAGEMENT LP|OZ MANAGEMENT LP|9 WEST 57TH STREET|13TH FLOOR|NEW YORK NY 10019|USA|||  ||JOEL M. FRANK|212-790-0160|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/29/1999|0|0|0|0|0|0
New York Regional Office| 107940|801-56043|ENTRUST PARTNERS LLC|ENTRUST PARTNERS LLC|717 FIFTH AVENUE|25TH FLOOR|NEW YORK NY 10022|USA|||  ||BRUCE KAHNE|(212) 224-5548|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|11/17/1998|0|0|0|0|0|0
New York Regional Office| 107951|801-57139|TRILOGY GLOBAL ADVISORS, LLC|TRILOGY GLOBAL ADVISORS, LLC|1114 AVENUE OF THE AMERICAS, 28TH FLOOR||NEW YORK NY 10036-7701|USA|||  ||VERONICA STORK|212-703-3100|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/07/2000|0|0|0|0|0|0
New York Regional Office| 107956|801-57098|ROCHESTER FINANCIAL SERVICES|FELDMAN JEFFREY MARK|7 HASTINGS CIRCLE||PITTSFORD NY 14534|USA|||  ||JEFFREY MARK FELDMAN|585-442-7580|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|12/23/1999|0|0|0|0|0|0
New York Regional Office| 107959|801-5608|JENNISON ASSOCIATES LLC|JENNISON ASSOCIATES LLC|466 LEXINGTON AVENUE||NEW YORK NY 10017|USA|||  ||STEPHANIE WILLIS|(212) 421-1000|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|04/16/1969|0|1|1|0|0|0
New York Regional Office| 107960|801-57725|CAPITAL FINANCIAL SERVICES LLC|CAPITAL FINANCIAL SERVICES LLC|133 SARATOGA RD|PROFESSIONAL BLDG|GLENVILLE NY 12302|USA|||  ||WILLIAM C. JEROME|(518) 399-3903|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/20/2000|0|1|0|0|0|0
New York Regional Office| 107964|801-55344|CUMBERLAND ADVISORS|CUMBERLAND ADVISORS INC|614 LANDIS AVE||VINELAND NJ 08360|USA|||  ||THERESE M. PANTALIONE|856-692-6690|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Publication of periodicals or newsletters|APPROVED|02/27/1998|0|2|0|0|0|0
New York Regional Office| 107973|801-55905|R.T. HICKMAN, REGISTERED INVESTMENT ADVISER, LLC|HICKMAN R T REGISTERED INVESTMENT ADVISER LLC|96 FOREST PLACE||ROCHELLE PARK NJ 07662|USA|POST OFFICE LOCKBOX 280||ROCHELLE PARK NJ 07662|USA|ROBERT T. HICKMAN|201-368-3412|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|10/02/1998|0|0|0|0|0|0
New York Regional Office| 107982|801-47403|PARADIGM CAPITAL MANAGEMENT, INC.|PARADIGM CAPITAL MANAGEMENT, INC.|NINE ELK STREET||ALBANY NY 12207|USA|||  ||JOHN V. GULICK|518-431-3500|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/22/1994|0|0|0|0|0|0
New York Regional Office| 107992|801-56798|COBBLE HILL FINANCIAL SERVICES, INC.|COBBLE HILL FINANCIAL SERVICES, INC.|214 WEST MAIN ST #210||MOORESTOWN NJ 08057|USA|||  ||THOMAS GRANITE|856-231-7770|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|09/23/1999|0|0|1|0|0|0
New York Regional Office| 107993|801-57039|RAMIUS LLC|RAMIUS LLC|599 LEXINGTON AVE|21ST FLOOR|NEW YORK NY 10022|USA|||  ||MARC BAUM|212-201-4804|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|12/09/1999|0|4|0|0|0|0
New York Regional Office| 108008|801-55111|OPTIMUM GROWTH ADVISORS,LLC|OPTIMUM GROWTH ADVISORS, LLC|36 LEE AVENUE||N. MERRICK NY 11566|USA|||  ||DIANE ENGLERT CHRISTIAN|781-631-9228|Limited Liability Company|Portfolio management for individuals and/or small businesses, Other|APPROVED|01/05/1998|0|0|0|0|0|0
New York Regional Office| 108023|801-55482|COBBLESTONE CAPITAL ADVISORS, LLC|COBBLESTONE CAPITAL ADVISORS, LLC|140 ALLENS CREEK RD||ROCHESTER NY 14618-3304|USA|||  ||THOMAS M. BARTLETT, CFA|585 473-3333|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/08/1998|0|0|0|0|0|0
New York Regional Office| 108035|801-56588|ENTRUST PARTNERS OFFSHORE LLC|ENTRUST PARTNERS OFFSHORE LLC|717 FIFTH AVE|25TH FLOOR|NEW YORK NY 10022|USA|||  ||BRUCE KAHNE|(212) 224-5548|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|06/04/1999|0|0|0|0|0|0
New York Regional Office| 108040|801-57062|STONEBRIDGE CAPITAL MANAGEMENT II LLC|STONEBRIDGE CAPITAL MANAGEMENT II LLC|33 CLINTON ROAD||WEST CALDWELL NJ 07006|USA|||  ||ROBERT ANTHONY HARCLERODE|973-244-9696|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/10/1999|0|0|0|0|0|0
New York Regional Office| 108049|801-57798|ALLIANZ GLOBAL INVESTORS FUND MANAGEMENT LLC|ALLIANZ GLOBAL INVESTORS FUND MANAGEMENT LLC|1345 AVENUE OF THE AMERICAS|4TH FLOOR|NEW YORK NY 10105-4800|USA|680 NEWPORT CENTER DRIVE|SUITE 250|NEWPORT BEACH CA 92660|UNITED STATES|WILLIAM V. HEALEY|(212) 739-3230|Limited Liability Company|Portfolio management for investment companies|APPROVED|07/27/2000|0|2|2|0|0|0
New York Regional Office| 108053|801-55879|SUMMIT FAMILY WEALTH COUNSELING INC|SUMMIT FAMILY WEALTH COUNSELING INC|4 CAMPUS DRIVE||PARSIPPANY NJ 07054|USA|||  ||JUANITA D. HANLEY|973-285-3600|Corporation|Financial planning services|APPROVED|09/14/1998|0|0|0|0|0|0
New York Regional Office| 108055|801-56920|SUMMIT INVESTMENTS MANAGEMENT LLC|SUMMIT INVESTMENTS MANAGEMENT LLC|4 CAMPUS DRIVE||PARSIPPANY NJ 07054|USA|||  ||JUANITA D. HANLEY|973 292-3709|Limited Liability Company|Other|APPROVED|10/20/1999|0|0|0|0|0|0
New York Regional Office| 108057|801-54740|ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC|ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC|1345 AVENUE OF THE AMERICAS|3RD FLOOR|NEW YORK NY 10105|USA|680 NEWPORT CENTER DRIVE|SUITE 250|NEWPORT BEACH CA 92660|UNITED STATES|EVAN RICH|(212) 739-3228|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/18/1997|0|0|1|0|0|0
New York Regional Office| 108077|801-56956|STONEBRIDGE CAPITAL MANAGEMENT III LLC|STONEBRIDGE CAPITAL MANAGEMENT III LLC|33 CLINTON ROAD||WEST CALDWELL NJ 07006|USA|||  ||ROBERT A. HARCLERODE|973-244-9696|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|10/28/1999|0|0|0|0|0|0
New York Regional Office| 108078|801-56520|EIM MANAGEMENT USA INC|EIM MANAGEMENT (USA) INC.|750 LEXINGTON AVENUE,|27TH FLOOR|NEW YORK NY 10022|USA|||  ||DIANNE MATTIOLI|212-220-5602|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|05/24/1999|0|0|0|0|0|0
New York Regional Office| 108105|801-57422|KB & PARTNERS MANAGEMENT CO LLC|KB & PARTNERS MANAGEMENT CO LLC|555 MADISON AVE|22ND FL|NEW YORK NY 10022|USA|||  ||THOMAS GRAHAM KAHN|212-980-5050|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|04/07/2000|0|0|0|0|0|0
New York Regional Office| 108109|801-57938|LYTLE INVESTMENTS|LYTLE INVESTMENT SERVICES CORP|101 LANG BLVD||GRAND ISLAND NY 14072|USA|||  ||MARIE ZACZEK|(716) 773-6626 X204|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|09/13/2000|0|0|0|0|0|0
New York Regional Office| 108116|801-55762|LAIDLAW GROUP, LLC|LAIDLAW GROUP, LLC|95 KATONAH AVENUE||KATONAH NY 10536|USA|||  ||DAVID K. LAIDLAW|914.767.0650|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/10/1998|0|0|0|0|0|0
New York Regional Office| 108120|801-55938|NANCY A SOCHA & ASSOCIATES, LLC|NANCY A SOCHA & ASSOCIATES, LLC|181 EAST SECOND STREET||CORNING NY 14830|USA|||  ||NANCY A SOCHA|607-962-0605|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/08/1998|1|0|0|0|0|0
New York Regional Office| 108127|801-57395|RANDOLPH CAPITAL MANAGEMENT, INC.|RANDOLPH CAPITAL MANAGEMENT INC|77 MUSIKER AVENUE||RANDOLPH NJ 07869|USA|P.O. BOX 161||MT. FREEDOM NJ 07970|USA|JAY R. HOLIDAY|973-895-4476|Corporation|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|04/06/2000|0|0|0|0|0|0
New York Regional Office| 108139|801-57019|KARPAS STRATEGIES LLC|KARPAS STRATEGIES LLC|555 MADISON AVENUE, 17TH FL||NEW YORK NY 10022|USA|||  ||MATTHEW P. KARPAS|212-223-7280|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/29/1999|0|0|0|0|0|0
New York Regional Office| 108178|801-57013|ADVANTAGE ADVISERS MULTI-MANAGER, L.L.C.|ADVANTAGE ADVISERS MULTI-MANAGER, L.L.C.|200 PARK AVENUE|24TH FLOOR|NEW YORK NY 10166|USA|||  ||DEBORAH KABACK|212-667-4395|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/01/1999|0|3|0|0|0|0
New York Regional Office| 108180|801-55640|ADVANTAGE ADVISERS MANAGEMENT, LLC|ADVANTAGE ADVISERS MANAGEMENT, LLC|200 PARK AVENUE|24TH FLOOR|NEW YORK NY 10166|USA|||  ||DEBORAH KABACK|212-667-4395|Limited Liability Company|Portfolio management for investment companies|APPROVED|07/31/1998|0|3|0|0|0|0
New York Regional Office| 108181|801-56217|ADVANTAGE ADVISERS PRIVATE EQUITY MANAGEMENT LLC|ADVANTAGE ADVISERS PRIVATE EQUITY MANAGEMENT LLC|200 PARK AVENUE|24TH FLOOR|NEW YORK NY 10166|USA|||  ||DEBORAH KABACK|212-667-4395|Limited Liability Company|Other|APPROVED|02/25/1999|0|3|0|0|0|0
New York Regional Office| 108183|801-55829|VAHANIAN & ASSOCIATES FINANCIAL PLANNING INC|VAHANIAN & ASSOCIATES FINANCIAL PLANNING INC|60 RAILROAD PL|STE 104|SARATOGA SPRINGS NY 12866|USA|||  ||BONNIE BOYCE|518-583-0891|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|08/31/1998|0|0|0|0|0|0
New York Regional Office| 108184|801-55146|TCW/LATIN AMERICA PARTNERS, L.L.C.|TCW LATIN AMERICA PARTNERS LLC|200 PARK AVE|STE 2100|NEW YORK NY 10166|USA|||  ||HENRY SOLIS|213-244-0103|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/08/1998|1|0|1|0|0|0
New York Regional Office| 108194|801-6979|EXECUTIVE MONETARY MANAGEMENT INC|EXECUTIVE MONETARY MANAGEMENT, INC.|220 EAST 42ND STREET|32ND FLOOR|NEW YORK NY 10017|USA|||  ||THOMAS J. O'BRIEN|212-476-9008|Corporation|Financial planning services, Selection of other advisers, Other|APPROVED|10/31/1970|0|1|0|0|0|0
New York Regional Office| 108201|801-60137|OCCAM CAPITAL MANAGEMENT, LLC|OCCAM CAPITAL MANAGEMENT, LLC|1303 MARSH ROAD||PITTSFORD NY 14534-1742|USA|||  ||PRISCILLA BAKER JONES|585-218-0310|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/03/2001|0|0|0|0|0|0
New York Regional Office| 108204|801-38089|DB INVESTMENT MANAGERS, INC|DB INVESTMENT MANAGERS, INC|345 PARK AVENUE||NEW YORK NY 10154|USA|280 PARK AVENUE|ATTN:  ANTHONY CONTE MAILSTOP NYC03-0630|NEW YORK NY 10017|USA|ANTHONY CONTE|212-454-1879|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/11/1991|1|6|0|0|0|0
New York Regional Office| 108210|801-44324|PRISM FINANCIAL GROUP INC.|PRISM FINANCIAL GROUP INC.|505 S. LENOLA ROAD, SUITE 211||MOORESTOWN NJ 08057-1549|USA|||  ||MICHAEL W. DELOREY|800-774-7679|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/15/1993|0|0|0|0|0|0
New York Regional Office| 108222|801-12129|NOMURA ASSET MANAGEMENT U.S.A. INC.|NOMURA ASSET MANAGEMENT U.S.A. INC|2 WORLD FINANCIAL CENTER, BUILDING B||NEW YORK NY 10281-1712|USA|||  ||NEIL A. DANIELE|(212) 667-1873|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/24/1976|2|20|0|0|0|0
New York Regional Office| 108229|801-57685|DLJ MERCHANT BANKING III INC|DLJ MERCHANT BANKING III INC|ELEVEN MADISON AVENUE, 16TH FLOOR||NEW YORK NY 10010|USA|||  ||ANDREA JOHNSTON|212-325-4507|Corporation|Other|APPROVED|07/17/2000|0|8|1|0|0|0
New York Regional Office| 108230|801-56518|DLJ INVESTMENT PARTNERS II, INC.|DLJ INVESTMENT PARTNERS II, INC.|11 MADISON AVENUE, 16TH FLOOR||NEW YORK NY 10010|USA|||  ||ANDREA JOHNSTON|212-358-4507|Corporation|Other|APPROVED|05/10/1999|0|8|1|0|0|0
New York Regional Office| 108237|801-49079|MIDAS MANAGEMENT CORPORATION|MIDAS MANAGEMENT CORPORATION|11 HANOVER SQUARE||NEW YORK NY 10005|USA|||  ||JOHN F. RAMIREZ|212-480-6432 X208|Corporation|Portfolio management for investment companies|APPROVED|05/09/1995|0|0|0|0|0|0
New York Regional Office| 108242|801-56184|ZWEIG CONSULTING LLC|ZWEIG CONSULTING LLC|900 3RD AVENUE 31ST FLOOR||NEW YORK NY 10022|USA|||  ||MARC BALTUCH|2124511173|Limited Liability Company|Portfolio management for investment companies, Other|APPROVED|01/15/1999|0|0|0|0|0|0
New York Regional Office| 108255|801-28254|MOUNT LUCAS MANAGEMENT CORP.|MOUNT LUCAS MANAGEMENT CORP.|47 HULFISH STREET|STE 510|PRINCETON NJ 08542|USA|||  ||JAMES MEHLING|609-497-6984|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/23/1986|0|0|0|0|0|0
New York Regional Office| 108260|801-50659|ARNHOLD AND S. BLEICHROEDER ADVISERS, LLC|ARNHOLD AND S. BLEICHROEDER ADVISERS, LLC|1345 AVENUE OF THE AMERICAS||NEW YORK NY 10105-4300|USA|||  ||MARK D. GOLDSTEIN|(212) 698-3101|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/12/1995|0|2|0|0|0|0
New York Regional Office| 108263|801-57781|GUGGENHEIM INVESTMENT ADVISORS, LLC|GUGGENHEIM INVESTMENT ADVISORS, LLC|135 EAST 57TH STREET|9TH FLOOR|NEW YORK NY 10022|USA|||  ||ADAM REZAK|212-918-8765|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/18/2000|0|0|0|0|0|0
New York Regional Office| 108266|801-57735|BANORTE ASSET MANAGEMENT INC|BANORTE ASSET MANAGEMENT INC|540 MADISON AVENUE|36TH FLOOR|NEW YORK NY 10022|USA|||  ||BRIAN SIMMONS|(212)484-5225|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|07/10/2000|0|0|0|0|0|0
New York Regional Office| 108272|801-37258|WATERMARK GROUP|TACHYON PARTNERS, L.L.C.|47 HULFISH STREET|SUITE 201|PRINCETON NJ 08542|USA|||  ||ANDREW OKUN|(609)683-8200|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/08/1990|0|0|0|0|0|0
New York Regional Office| 108279|801-56303|MERCER CAPITAL ADVISERS, INC.|MERCER CAPITAL ADVISERS, INC.|10 DRS. JAMES PARKER BOULEVARD|SUITE 107|RED BANK NJ 07701|USA|||  ||HENRY D. MERCER III|732-758-9350|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/03/1999|0|0|0|0|0|0
New York Regional Office| 108288|801-37592|M. D. FALK & COMPANY, INC.|M. D. FALK & COMPANY, INC.|310 CENTRAL AVE.||LAWRENCE NY 11559|USA|||  ||JON FALK|516-295-9595|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/23/1990|0|0|0|0|0|0
New York Regional Office| 108299|801-57120|SOMERSET CAPITAL ADVISERS LLC|SOMERSET CAPITAL ADVISERS LLC|10 EAST 40TH STREET|SUITE 4210|NEW YORK NY 10016|USA|||  ||ANDREW J. MELNICK|212-931-9600|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/30/1999|0|0|0|0|0|0
New York Regional Office| 108304|801-9382|SIGNALERT CORPORATION|SIGNALERT CORPORATION|150 GREAT NECK ROAD||GREAT NECK NY 11021|USA|||  ||GERALD APPEL|(516)829-6444|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters, Other|APPROVED|07/04/1973|0|0|0|0|0|0
New York Regional Office| 108311|801-51346|APPEL ASSET MANAGEMENT CORPORATION|APPEL ASSET MANAGEMENT CORPORATION|150 GREAT NECK RD||GREAT NECK NY 11021|USA|||  ||MARVIN APPEL|516-487-7146|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/27/1996|0|0|0|0|0|0
New York Regional Office| 108314|801-44613|AFW WEALTH ADVISORS|AFW ASSET MANAGEMENT INC|3020 WESTCHESTER AVE||PURCHASE NY 10577|USA|||  ||JAY FURST|914-696-5300|Other (specify)|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|10/27/1993|0|0|0|0|0|0
New York Regional Office| 108320|801-46631|MUNICIPAL ASSET MANAGEMENT INC|MUNICIPAL ASSET MANAGEMENT INC|50 BROADWAY FL 25||NEW YORK NY 10004-1607|USA|||  ||VIVIAN PAN|212-935-8313|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|05/31/1994|0|0|0|0|0|0
New York Regional Office| 108322|801-57196|FIC CAPITAL, INC.|FIC CAPITAL, INC.|286 MADISON AVE.|9TH FLOOR|NEW YORK NY 10017|USA|||  ||TERRENCE R. EMDE|212-860-2977|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/21/2000|0|0|0|0|0|0
New York Regional Office| 108329|801-11384|ASHLAND MANAGEMENT INCORPORATED|ASHLAND MANAGEMENT INCORPORATED|355 LEXINGTON AVENUE|4TH FLOOR|NEW YORK NY 10017|USA|||  ||CHARLES C. HICKOX|212-425-2803|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/29/1976|0|0|0|0|0|0
New York Regional Office| 108338|801-45276|BARLOW PARTNERS INC|BARLOW PARTNERS INC|880 3RD AVE 3RD FLR||NEW YORK NY 10022-4730|USA|||  ||GEORGE ANDREW HAMBRECHT|(212) 355-3449|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|11/30/1993|0|0|0|0|0|0
New York Regional Office| 108342|801-41980|SELECT EQUITY GROUP INC|SELECT EQUITY GROUP INC|380 LAFAYETTE ST 6TH FLOOR||NEW YORK NY 10003|USA|||  ||JAMES R. BERMAN|212-475-8335|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/21/1992|0|0|0|0|0|0
New York Regional Office| 108356|801-26495|DAHAB ASSOCIATES INC|DAHAB ASSOCIATES INC|423 SOUTH COUNTRY ROAD||BAY SHORE NY 11706|USA|||  ||LUCI RYAN|631-665-6181|Corporation|Pension consulting services|APPROVED|03/07/1986|0|0|0|0|0|0
New York Regional Office| 108371|801-54979|ZAIS GROUP|ZAIS GROUP LLC|GALLERIA BLDG #3|2 BRIDGE AVE SUITE #322|RED BANK NJ 07701-1106|USA|||  ||RUSSELL PRINCE|(732) 450-7459|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|10/21/1997|0|0|0|0|0|0
New York Regional Office| 108376|801-56897|PARADIGM GLOBAL ADVISORS, LLC|PARADIGM GLOBAL ADVISORS, LLC|650 FIFTH AVENUE|17TH FLOOR|NEW YORK NY 10019|USA|||  ||MICHAEL T. CLEMENTS|(212) 271-3388|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|10/27/1999|0|0|0|0|0|0
New York Regional Office| 108378|801-56338|RE ENTERPRISE ASSET MANAGEMENT LLC|RE/ENTERPRISE ASSET MANAGEMENT, L.L.C.|1185 AVENUE OF THE AMERICAS|18TH FLOOR|NEW YORK NY 10036|USA|||  ||BOBBY LIU|212-843-8980|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|03/16/1999|0|0|0|0|0|0
New York Regional Office| 108381|801-57150|RESURGENCE ASSET MANAGEMENT INTL LLC|RESURGENCE ASSET MANAGEMENT INTERNATIONAL, L.L.C.|1185 AVENUE OF THE AMERICAS|18TH FLOOR|NEW YORK NY 10036|USA|||  ||BOBBY LIU|212-843-8980|Limited Liability Company|Other|APPROVED|01/14/2000|0|0|0|0|0|0
New York Regional Office| 108384|801-55060|CARR & ASSOCIATES INC|CARR MICHAEL F & ASSOCIATES INC|150 BROADWAY, SUITE 509||NEW YORK NY 10038-4341|USA|||  ||MICHAEL F. CARR|212-766-2520|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/25/1997|0|0|0|0|0|0
New York Regional Office| 108433|801-57299|EXETER ADVISORS INC|EXETER ADVISORS INC|290 WOODCLIFF DRIVE||FAIRPORT NY 14450|USA|||  ||BRENDA F. OATHOUT|585-325-6880|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/22/2000|0|0|0|0|0|0
New York Regional Office| 108442|801-56321|STRAUS CAPITAL MANAGEMENT LLC|STRAUS CAPITAL MANAGEMENT LLC|320 PARK AVENUE, 10TH FLOOR||NEW YORK NY 10022|USA|||  ||ANDREW MARKS|(212)415-7274|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/04/1999|0|0|0|0|0|0
New York Regional Office| 108477|801-56720|ALLIANCEBERNSTEIN L.P.|ALLIANCEBERNSTEIN L.P.|1345 AVE OF THE AMERICAS||NEW YORK NY 10105|USA|||  ||MARK ANDERSON|(212) 969-1428|Other (specify)|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters, Other|APPROVED|08/13/1999|0|27|0|0|0|0
New York Regional Office| 108507|801-41752|SWARTHMORE ASSET MANAGEMENT LTD|SWARTHMORE ASSET MANAGEMENT LTD|200 WEST 16TH STREET, OFFICE 1B||NEW YORK NY 10011|USA|||  ||SAMUEL N. LEVIN|212-741-2300|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|06/18/1992|0|0|0|0|0|0
New York Regional Office| 108512|801-42617|BRAVE ASSET MANAGEMENT, INC.|BRAVE ASSET MANAGEMENT, INC.|47 SUMMIT AVENUE||SUMMIT NJ 07901|USA|||  ||T. BRETT HAIRE, JR.|(908) 522-8822|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|10/29/1992|0|0|0|0|0|0
New York Regional Office| 108547|801-56261|SAGE CAPITAL MANAGEMENT LLC|SAGE CAPITAL MANAGEMENT LLC|622 THIRD AVENUE|TWELFTH FLOOR|NEW YORK NY 10017-6701|USA|||  ||LAWRENCE C. BUSCH|212-201-2222|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|02/05/1999|0|0|0|0|0|0
New York Regional Office| 108567|801-56296|COVENANT ASSET MANAGEMENT, LLC|COVENANT ASSET MANAGEMENT, LLC|408 MAIN STREET||CHESTER NJ 07930|USA|||  ||LUCY MAHER|908-879-5270|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/18/1999|0|0|0|0|0|0
New York Regional Office| 108569|801-56336|CLASSIC CAPITAL LLC|CLASSIC CAPITAL LLC|27 WOODCREST AVENUE||SHORT HILLS NJ 07078-2149|USA|||  ||JAY B. LEONARD|973-379-6100|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|03/18/1999|0|0|0|0|0|0
New York Regional Office| 108573|801-58036|GRUSS ASSET MANAGEMENT L.P.|GRUSS ASSET MANAGEMENT L.P.|667 MADISON AVENUE|3RD FLOOR|NEW YORK NY 10065|USA|||  ||MICHAEL J. MONTICCIOLO|212-688-1500|Partnership|Other|APPROVED|10/23/2000|0|0|0|0|0|0
New York Regional Office| 108580|801-56817|TIAA-CREF TUITION FINANCING, INC.|TIAA-CREF TUITION FINANCING, INC.|730 THIRD AVE|8TH FLR|NEW YORK NY 10017-3206|USA|||  ||ARTI JURAKHAN|212-916-4724|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/10/1999|0|1|0|0|0|0
New York Regional Office| 108590|801-57453|ALESCO ADVISORS LLC|ALESCO ADVISORS LLC|120 OFFICE PARK WAY||PITTSFORD NY 14534|USA|||  ||BRADLEY, JEFFREY|585-586-0970|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/14/2000|0|2|1|0|0|0
New York Regional Office| 108604|801-54909|LADENBURG THALMANN ASSET MANAGEMENT INC|LADENBURG THALMANN ASSET MANAGEMENT INC|153 E. 53RD STREET, 49TH FLOOR||NEW YORK NY 10022|USA|||  ||JOSEPH GIOVANNIELLO|(212) 409-2544|Corporation|Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|10/16/1997|0|30|0|0|0|0
New York Regional Office| 108637|801-41495|MIO PARTNERS, INC.|MIO PARTNERS, INC.|55 EAST 52ND STREET, 26TH FL.|C/O MCKINSEY & COMPANY|NEW YORK NY 10055|USA|||  ||FRANK GOVEIA|(212) 415-1867|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/10/1992|0|0|0|0|0|0
New York Regional Office| 108664|801-56025|STERLING FINANCIAL PLANNING INC|STERLING FINANCIAL PLANNING INC|60 BLUE HERON ROAD, SUITE 201||SPARTA NJ 07871-2608|USA|||  ||BRUCE TUCKER|973-729-1234|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|11/10/1998|0|0|0|0|0|0
New York Regional Office| 108673|801-23491|WAFRA INVESTMENT ADVISORY GROUP, INC.|WAFRA INVESTMENT ADVISORY GROUP, INC.|345 PARK AVENUE 41ST FLOOR||NEW YORK NY 10154-0101|USA|||  ||VINCENT CAMPAGNA|212-759-3700|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|02/15/1985|1|0|0|0|0|0
New York Regional Office| 108678|801-34161|MCBRIDE JAMES HENRY|MCBRIDE JAMES HENRY|36 WEST MAIN STREET|SUITE 322|ROCHESTER NY 14614|USA|||  ||JENNIFER E. VOGLER|585-935-5308|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/04/1989|0|0|0|0|0|0
New York Regional Office| 108679|801-56171|D E SHAW & CO LP|D E SHAW & CO LP|120 WEST 45TH STREET||NEW YORK NY 10036|USA|||  ||ROCHELLE ASSAEL ELIAS|212-478-0000|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/15/1999|0|5|0|0|0|0
New York Regional Office| 108680|801-56993|DOUGLASS WINTHROP ADVISORS LLC|DOUGLASS WINTHROP ADVISORS LLC|51 EAST 42ND STREET, SUITE 1806||NEW YORK NY 10017|USA|||  ||ROBERT R. DOUGLASS, JR.|(212) 557-7680|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/09/1999|0|0|0|0|0|0
New York Regional Office| 108681|801-55009|SEABRIDGE INVESTMENT ADVISORS LLC|SEABRIDGE INVESTMENT ADVISORS LLC|450 SPRINGFIELD AVE, SUITE 301||SUMMIT NJ 07901|USA|||  ||SUSAN E. BOYD|908-273-5085|Limited Liability Company|Portfolio management for individuals and/or small businesses, Other|APPROVED|11/03/1997|0|0|1|0|0|0
New York Regional Office| 108692|801-55062|MORGENS, WATERFALL, VINTIADIS & COMPANY, INC.|MORGENS, WATERFALL, VINTIADIS & COMPANY, INC.|600 FIFTH AVENUE, 27TH FLOOR||NEW YORK NY 10020|USA|||  ||MICHELE N. MANFREDI|212-218-4107|Corporation|Other|APPROVED|11/25/1997|0|0|0|0|0|0
New York Regional Office| 108695|801-56107|BUCK CONSULTANTS|BUCK CONSULTANTS, LLC|ONE PENNSYLVANIA PLAZA, 30TH FLOOR||NEW YORK NY 10119-0047|USA|||  ||NICOLAS E. MEDINA|212-330-1011|Limited Liability Company|Pension consulting services, Selection of other advisers|APPROVED|01/06/1999|0|0|0|0|0|0
New York Regional Office| 108708|801-52909|MORGAN STANLEY VENTURE CAPITAL III INC|MORGAN STANLEY VENTURE CAPITAL III INC|1221 AVENUE OF THE AMERICAS|39TH FLOOR, ATTN:  DEBRA ABRAMOVITZ|NEW YORK NY 10020|USA|||  ||AGATHA T. RUDDY|212-762-6190|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/30/1996|0|0|1|0|0|0
New York Regional Office| 108709|801-56916|MSDW VENTURE PARTNERS IV INC|MSDW VENTURE PARTNERS IV INC|1221 AVENUE OF THE AMERICAS|39TH FLOOR, ATTN:  DEBRA ABRAMOVITZ|NEW YORK NY 10036|USA|||  ||AGATHA T. RUDDY|212-762-6190|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/26/1999|0|0|1|0|0|0
New York Regional Office| 108710|801-56033|MSDW CAPITAL PARTNERS IV INC|MSDW CAPITAL PARTNERS IV INC|195 BROADWAY|18TH FLOOR, ATTN:  JEFF HAHN|NEW YORK NY 10007|USA|||  ||AGATHA T. RUDDY|212-762-6190|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|12/01/1998|0|0|1|0|0|0
New York Regional Office| 108723|801-54485|MORGAN STANLEY GLOBAL EMERGING MARKETS INC|MORGAN STANLEY GLOBAL EMERGING MARKETS INC|1585 BROADWAY|38TH FLOOR, ATTN:  PRAT PATEL|NEW YORK NY 10036|USA|||  ||AGATHA RUDDY|212-762-6190|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/17/1996|0|0|1|0|0|0
New York Regional Office| 108772|801-58080|COMPASS GROUP LLC|COMPASS GROUP LLC|126 EAST 56TH STREET|19TH FLOOR|NEW YORK NY 10022|USA|||  ||JORGE AGUILO|(212)355-2281|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|11/14/2000|0|0|0|0|0|0
New York Regional Office| 108779|801-57649|UPSTATE ADVISORS INC|UPSTATE ADVISORS INC|40 HUMBOLDT ST, SUITE 100||ROCHESTER NY 14609|USA|||  ||GLENN R. VANDENBERG|(585)697-0061|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/02/2000|0|0|0|0|0|0
New York Regional Office| 108784|801-56470|PHOENIX/ZWEIG ADVISERS LLC|PHOENIX/ZWEIG ADVISERS LLC|900 THIRD AVENUE||NEW YORK NY 10022|USA|||  ||MARC BALTUCH|212-451-1100|Limited Liability Company|Portfolio management for investment companies|APPROVED|04/23/1999|0|3|4|0|0|0
New York Regional Office| 108803|801-16611|ING CLARION PARTNERS, LLC|ING CLARION PARTNERS, LLC|230 PARK AVENUE, 12TH FLOOR||NEW YORK NY 10169|USA|||  ||PETER H. ZAPPULLA|212.883.2500|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|12/01/1981|0|1|0|0|0|0
New York Regional Office| 108809|801-56337|EARLY ADOPTER FUND MANAGER INC|EARLY ADOPTER FUND MANAGER INC|1221 AVENUE OF THE AMERICAS|39TH FLOOR, ATTN:  DEBRA ABRAMOVITZ|NEW YORK NY 10020|USA|||  ||AGATHA T. RUDDY|212-762-6190|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/15/1999|0|0|1|0|0|0
New York Regional Office| 108823|801-55343|MSREF III, INC.|MSREF III, INC.|1585 BROADWAY|ATTN: REAL ESTATE FUNDS, 37TH FLOOR|NEW YORK NY 10036|USA|||  ||AGATHA T. RUDDY|212-762-6190|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/23/1998|0|0|1|0|0|0
New York Regional Office| 108828|801-57447|MSDW REAL ESTATE SPECIAL SITUATIONS II MANAGER LLC|MSDW REAL ESTATE SPECIAL SITUATIONS II MANAGER LLC|1585 BROADWAY|ATTN: REAL ESTATE FUNDS, 37TH FLOOR|NEW YORK NY 10036|USA|||  ||AGATHA T. RUDDY|212-762-6190|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/21/2000|0|0|1|0|0|0
New York Regional Office| 108857|801-54372|PECONIC PARTNERS LLC|PECONIC PARTNERS LLC|506 MONTAUK HIGHWAY|PO BOX 3002|EAST QUOGUE NY 11942|USA|||  ||JOSEPH W. SULLIVAN|212-904-0444|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|04/29/1997|0|0|0|0|0|0
New York Regional Office| 108861|801-57562|PERRY CAPITAL|PERRY CORP|767 FIFTH AVENUE||NEW YORK NY 10153|USA|||  ||MICHAEL C. NEUS|212-583-4000|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/12/2000|0|1|0|0|0|0
New York Regional Office| 108863|801-56839|NEW CENTURY ASSET MANAGEMENT, INC.|NEW CENTURY ASSET MANAGEMENT INC|1195 HAMBURG TURNPIKE||WAYNE NJ 07470|USA|||  ||ROBERT C. KLEIBER|973-305-5505|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|07/31/1999|1|0|0|0|0|0
New York Regional Office| 108875|801-19525|NEW YORK LIFE INSURANCE CO.|NEW YORK LIFE INSURANCE CO.|51 MADISON AVENUE|ROOM 7004|NEW YORK NY 10010|USA|||  ||BARBARA MCINERNEY|212-576-5803|Corporation|Selection of other advisers, Other|APPROVED|08/26/1983|0|76|5|0|0|0
New York Regional Office| 108879|801-25461|HALLMARK CAPITAL MANAGEMENT INC|HALLMARK CAPITAL MANAGEMENT INC|1195 HAMBURG TURNPIKE||WAYNE NJ 07470-5055|USA|||  ||KATHRYN A. SKWIERALSKI|973-808-4144|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/11/1985|0|0|0|0|0|0
New York Regional Office| 108894|801-29459|CHIEFTAIN CAPITAL MANAGEMENT, INC.|CHIEFTAIN CAPITAL MANAGEMENT, INC.|12 EAST 49TH STREET||NEW YORK NY 10017|USA|||  ||JOHN M. SHAPIRO|212-421-9760|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/20/1987|0|0|0|0|0|0
New York Regional Office| 108900|801-46034|FIXED INCOME DISCOUNT ADVISORY COMPANY|FIXED INCOME DISCOUNT ADVISORY COMPANY|1211 AVENUE OF THE AMERICAS|29TH FLOOR|NEW YORK NY 10036|USA|||  ||NICHOLAS SINGH|212-696-0100|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/12/1994|0|1|0|0|0|0
New York Regional Office| 108905|801-49682|TGM ASSOCIATES L.P.|TGM ASSOCIATES L.P.|650 FIFTH AVENUE, 28TH FLOOR||NEW YORK NY 10019-6149|USA|||  ||MICHAEL FRAZZETTA|212-830-9300|Other (specify)|Pension consulting services, Other|APPROVED|07/17/1995|0|0|0|0|0|0
New York Regional Office| 108907|801-55637|STEWART W P & CO., INC.|STEWART W P & CO INC|527 MADISON AVE||NEW YORK NY 10022|USA|||  ||SETH L. PEARLSTEIN|212-750-8585|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/18/1998|0|0|0|0|0|0
New York Regional Office| 108918|801-57069|ZDENEK FINANCIAL PLANNING, LLC|ZDENEK FINANCIAL PLANNING, LLC|6 MINNEAKONING RD||FLEMINGTON NJ 08822|USA|||  ||BRIAN PICARIELLO|908-782-1600|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|12/10/1999|0|0|0|0|0|0
New York Regional Office| 108928|801-56972|BLACKROCK INVESTMENT MANAGEMENT, LLC|BLACKROCK INVESTMENT MANAGEMENT, LLC|800 SCUDDERS MILL ROAD||PLAINSBORO NJ 08536|USA|||  ||BARTHOLOMEW A BATTISTA|212-810-3423|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|11/09/1999|1|5|1|0|0|0
New York Regional Office| 108936|801-56602|GRISANTI BROWN & PARTNERS LLC|GRISANTI BROWN & PARTNERS LLC|45 ROCKEFELLER PLAZA|17TH FLOOR|NEW YORK NY 10111|USA|||  ||CHRISTOPHER C. GRISANTI|212-218-5300|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/15/1999|0|0|0|0|0|0
New York Regional Office| 108947|801-54766|KERN CAPITAL MANAGEMENT LLC|KERN CAPITAL MANAGEMENT LLC|114 WEST 47TH STREET|SUITE 1926|NEW YORK NY 10036-1510|USA|||  ||JOHN J. CRIMMINS|212 944-4726|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/27/1997|0|0|0|0|0|0
New York Regional Office| 108951|801-55643|ING GHENT ASSET MANAGEMENT LLC|ING GHENT ASSET MANAGEMENT LLC|230 PARK AVENUE||NEW YORK NY 10169|USA|||  ||GERALD LINS|212-808-6134|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|06/17/1998|0|1|0|0|0|0
New York Regional Office| 108957|801-58032|GIOKAS FINANCIAL SERVICES, INC.|GIOKAS FINANCIAL SERVICES, INC.|6580 MAIN ST||WILLIAMSVILLE NY 14221|USA|||  ||MICHAEL GIOKAS|716-634-4562|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|10/26/2000|0|1|0|0|0|0
New York Regional Office| 108961|801-55917|MH INVESTMENT MANAGEMENT INC|MH INVESTMENT MANAGEMENT INC|220 RUSSELL AVENUE||RAHWAY NJ 07065|USA|||  ||HARVEY MERSON|732-382-4145|Corporation|Portfolio management for investment companies|APPROVED|10/05/1998|0|0|0|0|0|0
New York Regional Office| 108971|801-57021|PRIVATE WEALTH MANAGEMENT GROUP INC|PRIVATE WEALTH MANAGEMENT GROUP INC|512 EXECUTIVE DRIVE||PRINCETON NJ 08540|USA|||  ||ROBERT BRYCE DUNN|(609) 921-7002|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|11/23/1999|0|0|0|0|0|0
New York Regional Office| 108981|801-55893|OSPREY PARTNERS INVESTMENT MANAGEMENT, LLC|OSPREY PARTNERS INVESTMENT MANAGEMENT, LLC|SHREWSBURY EXECUTIVE CENTER II|1040 BROAD ST|SHREWSBURY NJ 07702|USA|||  ||RUSSELL S. TOMPKINS|732.542.9191|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/24/1998|0|0|0|0|0|0
New York Regional Office| 108982|801-54930|DIAM U.S.A., INC.|DIAM U.S.A., INC.|1133 AVENUE OF THE AMERICAS|28TH FLOOR|NEW YORK NY 10036|USA|||  ||TAMMY EISENBERG|212-350-7641|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|10/03/1997|0|0|3|0|0|0
New York Regional Office| 108994|801-55211|CHESAPEAKE ASSET MANAGEMENT LLC|CHESAPEAKE ASSET MANAGEMENT LLC|ONE ROCKEFELLER PLAZA, SUITE 1210||NEW YORK NY 10020|USA|||  ||SHERRILL L. BLALOCK|212-218-4040|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/05/1998|0|0|0|0|0|0
New York Regional Office| 109001|801-56844|CAPITAL COUNSEL LLC|CAPITAL COUNSEL LLC|350 PARK AVENUE, 11TH FL.||NEW YORK NY 10022|USA|||  ||TERENCE S. GREENE|212-350-4520|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/06/1999|0|0|0|0|0|0
New York Regional Office| 109009|801-42006|LEHMAN BROTHERS ASSET MANAGEMENT INC.|LEHMAN BROTHERS ASSET MANAGEMENT INC.|399 PARK AVENUE||NEW YORK NY 10022|USA|399 PARK AVENUE|5TH FLOOR|NEW YORK NY 10022|USA|KEISHA AUDAIN-PRESSLEY|212-526-7062|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|07/23/1992|0|0|0|0|0|0
New York Regional Office| 109017|801-68160|TRUE NORTH ADVISORS|SHARMA SANDEEP|375 WOODCLIFF DRIVE||FAIRPORT NY 14450|USA|||  ||SANDEEP SHARMA|585-385-0687|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|07/23/2007|0|0|0|0|0|0
New York Regional Office| 109020|801-56615|WOOD & ANTHONY LLC|WOOD & ANTHONY LLC|39 MAIN STREET||CHATHAM NJ 07928|USA|||  ||KEITH H. WOOD|973-635-6700|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/18/1999|0|2|0|0|0|0
New York Regional Office| 109022|801-56257|FELDSTEIN, STEVEN DBA STEVEN FELDSTEIN & ASSOCIATES|FELDSTEIN, STEVEN DBA STEVEN FELDSTEIN & ASSOCIATES|45 SEMINARY AVENUE||CHESTER NJ 07930|USA|||  ||STEVEN FELDSTEIN|908-879-9559|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/01/1999|0|0|0|0|0|0
New York Regional Office| 109027|801-55598|M.D. KRESH FINANCIAL SERVICES, INC.|M.D. KRESH FINANCIAL SERVICES, INC.|1377 MOTOR PKWY|SUITE 212|ISLANDIA NY 11749|USA|||  ||GLENDA KRESH|631-232-9170|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|06/08/1998|0|0|0|0|0|0
New York Regional Office| 109035|801-50703|SIXTY WALL STREET MANAGEMENT COMPANY, LLC|SIXTY WALL STREET MANAGEMENT COMPANY, LLC|270 PARK AVENUE|9TH FLOOR|NEW YORK NY 10017-2014|USA|||  ||EILEEN RYAN|212-648-1768|Limited Liability Company|Other|APPROVED|11/28/1995|0|1|3|0|0|0
New York Regional Office| 109044|801-55535|WRH PARTNERS GLOBAL SECURITIES LP|WRH PARTNERS GLOBAL SECURITIES LP|67 PARK PLACE||MORRISTOWN NJ 07960|USA|||  ||JOSEPHINE CARBONE|973-984-1233|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/08/1998|0|0|0|0|0|0
New York Regional Office| 109046|801-56437|HUFF W R CM LLC|W.R. HUFF CM, LLC|67 PARK PLACE||MORRISTOWN NJ 07960|USA|||  ||JOSEPHINE CARBONE|973-984-1233|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/30/1999|0|0|0|0|0|0
New York Regional Office| 109063|801-50704|SIXTY WALL STREET INVESTMENT CORPORATION|SIXTY WALL STREET INVESTMENT CORPORATION|270 PARK AVENUE|9TH FLOOR|NEW YORK NY 10017-2014|USA|||  ||EILEEN RYAN|212-648-1768|Corporation|Other|APPROVED|11/28/1995|0|1|3|0|0|0
New York Regional Office| 109066|801-56468|CURCIO WEBB, LLC|CURCIO WEBB LLC|108 STRAUBE CENTER BLVD.|BLDG. G|PENNINGTON NJ 08534|USA|||  ||BRIAN C. TERNOEY|609-737-4105|Limited Liability Company|Pension consulting services, Selection of other advisers|APPROVED|05/11/1999|0|0|0|0|0|0
New York Regional Office| 109099|801-56807|BLACKSTONE MEZZANINE ADVISORS LP|BLACKSTONE MEZZANINE ADVISORS LP|280 PARK AVENUE||NEW YORK NY 10017|USA|||  ||ROBERT L. FRIEDMAN|212-583-5268|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/30/1999|0|0|0|0|0|0
New York Regional Office| 109101|801-55986|BLACKSTONE REAL ESTATE ADVISORS III LP|BLACKSTONE REAL ESTATE ADVISORS III LP|345 PARK AVENUE||NEW YORK NY 10154|USA|||  ||ROBERT L. FRIEDMAN|212-583-5268|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/10/1998|0|0|0|0|0|0
New York Regional Office| 109103|801-54696|BLACKSTONE MANAGEMENT PARTNERS III LLC|BLACKSTONE MANAGEMENT PARTNERS III LLC|345 PARK AVENUE||NEW YORK NY 10154|USA|||  ||ROBERT L. FRIEDMAN|212-583-5268|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/11/1997|0|1|1|0|0|0
New York Regional Office| 109106|801-57640|BLACKSTONE COMMUNICATIONS ADVISORS I LLC|BLACKSTONE COMMUNICATIONS ADVISORS I LLC|345 PARK AVENUE||NEW YORK NY 10154|USA|||  ||ROBERT L. FRIEDMAN|212-583-5268|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/07/2000|0|1|1|0|0|0
New York Regional Office| 109108|801-55275|BLACKSTONE MANAGEMENT PARTNERS LP|BLACKSTONE MANAGEMENT PARTNERS LP|345 PARK AVENUE||NEW YORK NY 10154|USA|||  ||ROBERT L. FRIEDMAN|212-583-5268|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/27/1998|0|1|1|0|0|0
New York Regional Office| 109124|801-57284|DAVIDSON ASSET MANAGMENT, INC.|DAVIDSON ASSET MANAGMENT, INC.|198 RT 9|SUITE 106|MANALAPAN NJ 07726|USA|||  ||LAURENCE CHARLES DAVIDSON|732-409-1060|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/29/2000|0|0|0|0|0|0
New York Regional Office| 109134|801-55677|PALISADES HUDSON ASSET MANAGEMENT, L.P.|PALISADES HUDSON ASSET MANAGEMENT, L.P.|2 OVERHILL ROAD|SUITE 100|SCARSDALE NY 10583|USA|||  ||ERIC MEERMANN|914-723-5000|Partnership|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/29/1998|0|0|0|0|0|0
New York Regional Office| 109139|801-54432|THOMSON HORSTMANN & BRYANT INC|THOMSON HORSTMANN & BRYANT INC|PARK 80 WEST PLAZA ONE||SADDLE BROOK NJ 07663|USA|||  ||JAMES KENNEDY|201 368 2770|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/15/1997|0|0|0|0|0|0
New York Regional Office| 109144|801-50617|GELLER ADVISORY GROUP, LLC|GELLER ADVISORY GROUP, LLC|462 SEVENTH AVENUE|SIXTH FLOOR|NEW YORK NY 10018-7439|USA|||  ||SHELDON M. GELLER|212-268-5700|Limited Liability Company|Portfolio management for individuals and/or small businesses, Pension consulting services, Other|APPROVED|11/17/1995|0|0|0|0|0|0
New York Regional Office| 109153|801-10220|AEA ADVISERS INC.|AEA ADVISERS INC.|55 EAST 52ND STREET|35TH FLOOR|NEW YORK NY 10055|USA|||  ||SANFORD KRIEGER|212-702-0510|Corporation|Other|APPROVED|09/18/1974|0|0|0|0|0|0
New York Regional Office| 109159|801-53353|AEA QP ADVISERS INC.|AEA QP ADVISERS INC.|55 EAST 52ND STREET|35TH FLOOR|NEW YORK NY 10055|USA|||  ||SANFORD KRIEGER|212-702-0510|Corporation|Other|APPROVED|12/17/1996|0|0|0|0|0|0
New York Regional Office| 109164|801-57676|ABERNATHY GROUP, L.L.C.|ABERNATHY GROUP, L.L.C.|17 STATE STREET|SUITE 1650|NEW YORK NY 10004|USA|||  ||EDWARD F. COYLE|(212)293-3410|Limited Liability Company|Other|APPROVED|06/23/2000|0|0|0|0|0|0
New York Regional Office| 109169|801-58117|BRYCE CAPITAL MANAGEMENT LLC|BRYCE CAPITAL MANAGEMENT LLC|2 THORNELL ROAD||PITTSFORD NY 14534|USA|||  ||DENNIS E. LOHOUSE, CFA|585-381-2990|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/01/2000|0|0|0|0|0|0
New York Regional Office| 109198|801-57234|AMERICAP ADVISERS LLC|AMERICAP ADVISERS LLC|228 EAST 45TH STREET|SUITE 1802|NEW YORK NY 10017|USA|||  ||NADIA ALBERT GAYED|212-375-6270|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/07/2000|0|0|0|0|0|0
New York Regional Office| 109202|801-55466|STANFIELD CAPITAL PARTNERS LLC|STANFIELD CAPITAL PARTNERS LLC|430 PARK AVENUE|11TH FLOOR|NEW YORK NY 10022|USA|||  ||MICHAEL A HOFFMAN|212-891-9677|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|04/23/1998|0|0|0|0|0|0
New York Regional Office| 109208|801-58095|CREDIT RENAISSANCE PARTNERS, LLC|CREDIT RENAISSANCE PARTNERS, LLC|295 MADISON AVENUE|21ST FLOOR|NEW YORK NY 10017|USA|||  ||STEVEN GALLEN EDERSHEIM|(212) 935 0204|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/15/2000|0|0|0|0|0|0
New York Regional Office| 109213|801-55537|UBS FUND ADVISOR, L.L.C.|UBS FUND ADVISOR, L.L.C.|51 WEST 52ND STREET|23RD FLOOR|NEW YORK NY 10019|USA|||  ||MARA P. GALEANO|201-352-0447|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/10/1998|0|11|0|0|0|0
New York Regional Office| 109229|801-57188|EXCEL CAPITAL MANAGEMENT CORP|EXCEL CAPITAL MANAGEMENT CORP|14 IRVING COURT||BELLE MEAD NJ 08502|USA|||  ||PRADEEP NIPHADKAR|908-431-1770|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|03/22/2000|0|0|0|0|0|0
New York Regional Office| 109243|801-58151|GREEN & SEIFTER INVESTMENT ADVISERS LLC|GREEN & SEIFTER INVESTMENT ADVISERS LLC|110 W. FAYETTE STREET|SUITE 900|SYRACUSE NY 13202|USA|||  ||JAMES M. KENNEDY|(315) 422-1391|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|11/22/2000|0|0|1|0|0|0
New York Regional Office| 109252|801-56077|CATALYST INVESTMENT MANAGEMENT CO LLC|CATALYST INVESTMENT MANAGEMENT CO LLC|767 THIRD AVE, 32ND FLOOR||NEW YORK NY 10017|USA|||  ||NIEL ARMSTRONG|415-677-1557|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|12/24/1998|0|1|0|0|0|0
New York Regional Office| 109256|801-56618|BRIGHTWATER CAPITAL MANAGEMENT|WESTLB ASSET MANAGEMENT (US) LLC|1211 AVENUE OF THE AMERICAS||NEW YORK NY 10036|USA|||  ||PEGGY CADOGAN|212-852-6237|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|07/16/1999|0|1|0|0|0|0
New York Regional Office| 109288|801-54747|THE MATHES COMPANY, INC.|THE MATHES COMPANY, INC.|230 PARK AVENUE 33RD FL.||NEW YORK NY 10169|USA|||  ||RICHARD MATHES|917-368-4900|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/31/1997|0|0|0|0|0|0
New York Regional Office| 109293|801-56725|MALLEY ASSOCIATES CAPITAL MANAGEMENT INC|MALLEY ASSOCIATES CAPITAL MANAGEMENT INC|909 THIRD AVENUE, 5TH FLOOR||NEW YORK NY 10022|USA|||  ||SUSAN L. MALLEY|646-495-3172|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|08/16/1999|0|0|0|0|0|0
New York Regional Office| 109296|801-48199|WENDEL ANDREW MARTIN|WENDEL ANDREW MARTIN|2 WILTON CIRCLE||RYE BROOK NY 10573-1923|USA|||  ||WENDEL ANDREW MARTIN|914-937-1984|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/06/1995|0|0|0|0|0|0
New York Regional Office| 109301|801-57322|JOSEPH JOHN HASSON JR|JOSEPH JOHN HASSON, JR.|105 82ND STREET||BROOKLYN NY 11209|USA|||  ||JOSEPH J. HASSON JR.|718-921-3600|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|03/15/2000|0|0|0|0|0|0
New York Regional Office| 109302|801-57373|PG INVESTORS III INC.|PG INVESTORS III INC.|C/O MORGAN STANLEY|1585 BROADWAY|NEW YORK NY 10036-8293|USA|||  ||JAMES WILMOTT|011-44-20-7677-3713|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/05/2000|0|0|2|0|0|0
New York Regional Office| 109318|801-56824|DUMONT & BLAKE INVESTMENT ADVISORS LLC|DUMONT & BLAKE INVESTMENT ADVISORS LLC|731 ALEXANDER ROAD|SUITE 301|PRINCETON NJ 08540|USA|||  ||MORLEY GOLDBERG|609-514-1899|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/03/1999|0|0|0|0|0|0
New York Regional Office| 109333|801-56852|UBS EUCALYPTUS MANAGEMENT, L.L.C.|UBS EUCALYPTUS MANAGEMENT, L.L.C.|51 WEST 52ND STREET|23RD FLOOR|NEW YORK NY 10019|USA|||  ||MARA GALEANO|201-352-0447|Limited Liability Company|Portfolio management for investment companies|APPROVED|09/30/1999|0|11|0|0|0|0
New York Regional Office| 109347|801-57401|UBS WILLOW MANAGEMENT, L.L.C.|UBS WILLOW MANAGEMENT, L.L.C.|51 WEST 52ND STREET|23RD FLOOR|NEW YORK NY 10019|USA|||  ||MARA P. GALEANO|201-352-0447|Limited Liability Company|Portfolio management for investment companies|APPROVED|03/27/2000|0|11|0|0|0|0
New York Regional Office| 109357|801-56496|HUGHES C G CO LLC|HUGHES C G CO LLC|21 MAPLE AVE||BAY SHORE NY 11706-8723|USA|||  ||CATHERINE ATKINS HUGHES|631-665-7881|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/30/1999|0|0|0|0|0|0
New York Regional Office| 109369|801-58130|D.E. SHAW & CO., LLC|D.E. SHAW & CO., LLC|120 WEST FORTY-FIFTH STREET||NEW YORK NY 10036|USA|||  ||ROCHELLE ASSAEL ELIAS|212-478-0000|Limited Liability Company|Other|APPROVED|11/17/2000|0|0|0|0|0|0
New York Regional Office| 109370|801-58033|UBS JUNIPER MANAGEMENT, L.L.C.|UBS JUNIPER MANAGEMENT, L.L.C.|51 WEST 52ND STREET|23RD FLOOR|NEW YORK NY 10019|USA|||  ||MARA P. GALEANO|201-352-0447|Limited Liability Company|Portfolio management for investment companies|APPROVED|10/31/2000|0|11|0|0|0|0
New York Regional Office| 109422|801-57807|BROADMARK ASSET MANAGEMENT LLC|BROADMARK ASSET MANAGEMENT LLC|650 FIFTH AVENUE|3RD FLOOR|NEW YORK NY 10019|USA|||  ||DANIEL J. BARNETT|212-586-6566|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/07/2000|0|1|0|0|0|0
New York Regional Office| 109457|801-54217|BLACKROCK REALTY ADVISORS INC|BLACKROCK REALTY ADVISORS INC|300 CAMPUS DRIVE|3RD FLOOR|FLORHAM PARK NJ 07932-2346|USA|||  ||HERMAN H. HOWERTON|415-678-2000|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|04/10/1997|0|5|2|0|0|0
New York Regional Office| 109462|801-57297|HALBERSTADT FINANCIAL CONSULTANTS INC|HALBERSTADT FINANCIAL CONSULTANTS, INC.|50 NORTH TULANE ST||PRINCETON NJ 08542|USA|||  ||BARBARA CAVAGNARO|609-921-0180|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/25/2000|0|0|0|0|0|0
New York Regional Office| 109472|801-57919|TBP ADVISORS LTD|TBP ADVISORS LTD|287 BOWMAN AVENUE  SUITE 203||PURCHASE NY 10577|USA|||  ||GERALD D. LEVITZ|914-251-2955|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/01/2000|0|0|0|0|0|0
New York Regional Office| 109476|801-56017|MONEYPAPER ADVISOR INC|MONEYPAPER ADVISOR INC|555 THEODORE FREMD AVE|SUITE B103|RYE NY 10580|USA|||  ||LESTER NELSON|914-925-0022 X268|Corporation|Portfolio management for investment companies|APPROVED|11/10/1998|0|1|0|0|0|0
New York Regional Office| 109483|801-54263|EUCLID ADVISORS LLC|EUCLID ADVISORS LLC|900 THIRD AVE||NEW YORK NY 10022|USA|||  ||MARC BALTUCH|212-451-1100|Limited Liability Company|Portfolio management for investment companies|APPROVED|04/10/1997|0|3|4|0|0|0
New York Regional Office| 109493|801-58024|OTTO & ASSOCIATES, INC.|OTTO & ASSOCIATES, INC.|200 KATONAH AVE||KATONAH NY 10536|USA|||  ||DEBORAH MAHER|914-232-5379|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Publication of periodicals or newsletters|APPROVED|11/24/2000|0|0|0|0|0|0
New York Regional Office| 109505|801-54701|DOMINI SOCIAL INVESTMENTS LLC|DOMINI SOCIAL INVESTMENTS LLC|536 BROADWAY 7TH FLR||NEW YORK NY 10012-3915|USA|||  ||MEGAN DUNPHY|212-217-1114|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/26/1997|0|1|0|0|0|0
New York Regional Office| 109517|801-55321|CREDIT SUISSE ALTERNATIVE CAPITAL, INC.|CREDIT SUISSE ALTERNATIVE CAPITAL, INC.|11 MADISON AVENUE, 13TH FLOOR||NEW YORK NY 10010|USA|||  ||ANDREA JOHNSTON|(212) 325-4507|Corporation|Portfolio management for investment companies, Other|APPROVED|06/18/1998|0|5|1|0|0|0
New York Regional Office| 109534|801-56929|CENTRE PARTNERS MANAGEMENT LLC|CENTRE PARTNERS MANAGEMENT LLC|30 ROCKEFELLER PLAZA, STE 5050||NEW YORK NY 10020|USA|||  ||MR BRUCE G. POLLACK|212-332-5800|Limited Liability Company|Other|APPROVED|11/09/1999|0|0|0|0|0|0
New York Regional Office| 109537|801-61101|HONEYWELL CAPITAL MANAGEMENT LLC|HONEYWELL CAPITAL MANAGEMENT LLC|101 COLUMBIA ROAD||MORRISTOWN NJ 07962|USA|||  ||HARSH BANSAL|973-455-4502|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/24/2002|0|0|0|0|0|0
New York Regional Office| 109562|801-33745|STANDARD & POOR'S SECURITIES EVALUATIONS, INC.|STANDARD & POOR'S SECURITIES EVALUATIONS, INC.|55 WATER STREET||NEW YORK NY 10041|USA|||  ||ILANA R. MARCUS|212-438-3966|Corporation|Security ratings or pricing services, Other|APPROVED|11/30/1988|0|0|0|0|0|0
New York Regional Office| 109568|801-58045|STRATEGIC PARTNERS INVESTMENT ADVISORS, INC.|STRATEGIC PARTNERS INVESTMENT ADVISORS, INC.|800 WESTCHESTER AVENUE|SUITE N 335|RYE BROOK NY 10573|USA|||  ||HARRIS N. MAY|914-332-5842|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|06/26/2003|0|1|0|0|0|0
New York Regional Office| 109591|801-57396|NEW YORK LIFE INVESTMENT MANAGEMENT LLC|NEW YORK LIFE INVESTMENT MANAGEMENT LLC|51 MADISON AVENUE||NEW YORK NY 10010|USA|||  ||ALISON MICUCCI|973-394-4464|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/20/2000|0|51|4|0|0|0
New York Regional Office| 109617|801-57377|STEGINSKY CAPITAL, LLC|STEGINSKY CAPITAL LLC|47 HULFISH STREET, SUITE 441||PRINCETON NJ 08542|USA|||  ||ANDREW STEGINSKY|609-252-9980|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/15/2000|0|0|0|0|0|0
New York Regional Office| 109634|801-56935|TUCKERMAN GROUP LLC|THE TUCKERMAN GROUP LLC|4 INTERNATIONAL DRIVE|SUITE 230|RYE BROOK NY 10573|USA|||  ||STEVEN DE BARA|914-701-4422|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/28/1999|0|0|0|0|0|0
New York Regional Office| 109671|801-26388|MILLER, GESKO & COMPANY INC.|MILLER GESKO & CO INC.|237 MAIN STREET|STE 600|BUFFALO NY 14203|USA|||  ||HENRY Z URBAN JR|(716) 852-7628|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/10/1986|0|0|0|0|0|0
New York Regional Office| 109677|801-33774|STRATEGIC INVESTMENT ADVISORS, INC.|STRATEGIC INVESTMENT ADVISORS INC|114 BUSINESS PARK DRIVE||UTICA NY 13502|USA|||  ||JUDITH VICKS SWEET, CFA|315-724-1776|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/17/1989|0|0|0|0|0|0
New York Regional Office| 109683|801-51431|STANDARD & POORS INVESTMENT ADVISORY SERVICES LLC|STANDARD & POORS INVESTMENT ADVISORY SERVICES LLC|55 WATER STREET||NEW YORK NY 10041|USA|||  ||ROBERT HARRIS|212-438-6644|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|03/05/1996|0|0|0|0|0|0
New York Regional Office| 109686|801-56910|SAXON WOODS ADVISORS LLC|SAXON WOODS ADVISORS LLC|2500 WESTCHESTER AVENUE|SUITE 215|PURCHASE NY 10577|USA|||  ||SHELDON FLAMM|914-251-0880|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|10/12/1999|0|0|0|0|0|0
New York Regional Office| 109688|801-57219|BBR PARTNERS, LLC|BBR PARTNERS, LLC|TWO GRAND CENTRAL TOWER|140 EAST 45TH STREET, 26TH FLOOR|NEW YORK NY 10017|USA|||  ||MIKE ANSON|(212) 313-9871|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/08/2000|0|0|0|0|0|0
New York Regional Office| 109691|801-15948|DAIWA SB INVESTMENTS USA LTD|DAIWA SB INVESTMENTS USA LTD|32 OLD SLIP, 11TH FLOOR||NEW YORK NY 10005-3504|USA|||  ||YOSHIAKI UEMATSU|212-612-8504|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/20/1981|0|1|0|0|0|0
New York Regional Office| 109727|801-33684|CONCORD INTERNATIONAL INVESTMENTS, L.P.|CONCORD INTERNATIONAL INVESTMENTS, L.P.|667 MADISON AVENUE|19TH FLOOR|NEW YORK NY 10021|USA|||  ||THOMAS P. PENNINO|212-759-5296|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/09/1989|0|0|0|0|0|0
New York Regional Office| 109787|801-17277|KECALP INC.|KECALP INC.|4 WORLD FINANCIAL CENTER|23RD FLOOR|NEW YORK NY 10080|USA|ATTN:  MARLA MOSKOWITZ-HESSE|222 BROADWAY, 16TH FLOOR|NEW YORK NY 10038|USA|MARLA MOSKOWITZ-HESSE|212-670-0314|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/18/1992|0|0|1|0|0|0
New York Regional Office| 109809|801-57232|CHAPIN ASSOCIATES, LLC|CHAPIN ASSOCIATES, LLC|385 ROUTE 24|SUITE 1F|CHESTER NJ 07930|USA|||  ||ARLENE STEVENTON|908-879-3200|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|02/04/2000|0|0|0|0|0|0
New York Regional Office| 109826|801-48380|BRIDGEWATER ADVISORS INC.|BRIDGEWATER ADVISORS INC.|489 FIFTH AVENUE, 30TH FLOOR||NEW YORK NY 10017-6114|USA|||  ||KOULA C KILARAS|212-221-5300|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/01/1995|0|0|0|0|0|0
New York Regional Office| 109835|801-43989|JOEL ISAACSON & CO., INC.|JOEL ISAACSON & CO., INC.|546 FIFTH AVENUE||NEW YORK NY 10036|USA|||  ||STANLEY L. ALTMARK|212-302-6300|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|05/20/1993|0|0|0|0|0|0
New York Regional Office| 109855|801-30679|INSINGER DE BEAUFORT ASSET MANAGEMENT, INC.|INSINGER DE BEAUFORT ASSET MANAGEMENT, INC.|267 FIFTH AVENUE|SUITE 301|NEW YORK NY 10016|UNITED STATES|HERENGRACHT 537||AMSTERDAM  1017BV|THE NETHERLANDS|MIKE STARING|00 31 20 5215 477|Corporation|Other|APPROVED|11/06/1987|0|0|0|0|0|0
New York Regional Office| 109856|801-31177|SANDLER CAPITAL MANAGEMENT|SANDLER CAPITAL MANAGEMENT|711 FIFTH AVENUE|15TH FLOOR|NEW YORK NY 10022|USA|||  ||STACEY SEEWALD|212-754-8121|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/04/1988|0|0|0|0|0|0
New York Regional Office| 109859|801-32089|AMERICAN ECONOMIC PLANNING GROUP INC|AMERICAN ECONOMIC PLANNING GROUP INC|775 MOUNTAIN BLVD.|SUITE 102|WATCHUNG NJ 07069|USA|||  ||MARK UKRAINSKYJ|908-821-9764|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|05/20/1988|0|0|1|0|0|0
New York Regional Office| 109877|801-60038|GSC GROUP|GSCP (NJ), L.P.|500 CAMPUS DRIVE|SUITE 220|FLORHAM PARK NJ 07932|USA|||  ||DAVID C. RICE|212-583-4402|Partnership|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|03/01/2001|0|0|0|0|0|0
New York Regional Office| 109880|801-57415|VAN RENSSELAER LTD|VAN RENSSELAER LTD|4 CLEVELAND RD WEST||PRINCETON NJ 08540|USA|||  ||WILLIAM FOGLER|609-466-8500|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/24/2000|0|0|0|0|0|0
New York Regional Office| 109888|801-28990|TANAKA CAPITAL MANAGEMENT INC|TANAKA CAPITAL MANAGEMENT INC|369 LEXINGTON AVENUE|20TH FLOOR|NEW YORK NY 10017|USA|||  ||GRAHAM Y. TANAKA|(212) 490-3380|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/10/1987|0|0|0|0|0|0
New York Regional Office| 109908|801-7457|COURIER CAPITAL CORPORATION|COURIER CAPITAL CORP|976 DELAWARE AVENUE||BUFFALO NY 14209|USA|||  ||WILLIAM GURNEY|(716)883-9595|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|05/27/1971|0|1|0|0|0|0
New York Regional Office| 109911|801-51865|M&K INVESTMENT ADVISERS LLC|M&K INVESTMENT ADVISERS LLC|10 MELVILLE PARK ROAD||MELVILLE NY 11747|USA|||  ||LESLIE A. ADLER|(631) 414-4068|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/15/1996|0|0|0|0|0|0
New York Regional Office| 109938|801-55711|CREDIT SUISSE INVESTMENT ADVISORY PARTNERS LLC|CREDIT SUISSE INVESTMENT ADVISORY PARTNERS LLC|ELEVEN MADISON AVENUE|16TH FLOOR|NEW YORK NY 10010|USA|||  ||ANDREA JOHNSTON|212-325-4507|Limited Liability Company|Other|APPROVED|08/06/1998|0|8|1|0|0|0
New York Regional Office| 109939|801-60049|STRATEGY ASSET MANAGERS L.L.C.|STRATEGY ASSET MANAGERS L.L.C.|50 TICE BOULEVARD|SUITE 130|WOODCLIFF LAKE NJ 06766|USA|||  ||ROBERT M. DEMICHELE|201-822-3003|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/23/2001|0|0|0|0|0|0
New York Regional Office| 109940|801-56653|MJB ASSET MANAGEMENT LLC|MJB ASSET MANAGEMENT LLC|888 SEVENTH AVENUE|STE. 300|NEW YORK NY 10106|USA|||  ||RICHARD HENRY BREGMAN|212-333-3733|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|07/07/1999|0|0|0|0|0|0
New York Regional Office| 109941|801-55817|FORTE CAPITAL LLC|FORTE CAPITAL LLC|95 ALLENS CREEK ROAD|BUILDING 1, SUITE 201|ROCHESTER NY 14618|USA|||  ||ADIL G. MASOOD|585-586-8100|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|08/25/1998|0|0|0|0|0|0
New York Regional Office| 109946|801-60220|MSDW OIP INVESTORS, INC.|MSDW OIP INVESTORS, INC.|C/O MORGAN STANLEY|1585 BROADWAY|NEW YORK NY 10036|USA|||  ||JAMES WILMOTT|011-44-20-7677-3713|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/11/2001|0|0|2|0|0|0
New York Regional Office| 109947|801-58205|PINNACLE FINANCIAL ADVISORS, LLC|PINNACLE FINANCIAL ADVISORS, LLC|11000 LINCOLN DRIVE WEST, SUITE 8||MARLTON NJ 08053|USA|||  ||MITCHELL J. METZ|856-797-8082|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/14/2000|0|0|0|0|0|0
New York Regional Office| 109952|801-60050|QUADRANT CAPITAL MANAGEMENT, LLC|QUADRANT CAPITAL MANAGEMENT, LLC|7 NORTH MOUNTAIN AVENUE|2ND FLOOR|MONTCLAIR NJ 07042|USA|||  ||JAMES EDWARD KEARNEY|973-783-8030|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/02/2001|0|0|0|0|0|0
New York Regional Office| 109967|801-58182|BRENCOURT ADVISORS, LLC|BRENCOURT ADVISORS, LLC|600 LEXINGTON AVENUE|8TH FLOOR|NEW YORK NY 10022|USA|||  ||ADAM HOPKINS|(212)313-9776|Limited Liability Company|Other|APPROVED|12/01/2000|0|0|0|0|0|0
New York Regional Office| 109992|801-57330|J.P. MORGAN LATIN AMERICA MANAGEMENT COMPANY, LLC.|J.P. MORGAN LATIN AMERICA MANAGEMENT COMPANY, LLC.|270 PARK AVENUE|9TH FLOOR|NEW YORK NY 10017-2014|USA|||  ||EILEEN RYAN|212-648-1768|Limited Liability Company|Other|APPROVED|03/07/2000|0|1|3|0|0|0
New York Regional Office| 110023|801-54782|SPIRIT OF AMERICA MANAGEMENT CORP|SPIRIT OF AMERICA MANAGEMENT CORP|477 JERICHO TURNPIKE|P.O. BOX 9006|SYOSSET NY 11791-9006|USA|||  ||JOSEPH PICKARD|516-390-5571|Corporation|Portfolio management for investment companies|APPROVED|08/06/1997|0|4|0|0|0|0
New York Regional Office| 110044|801-31482|SECURITIES ASSOCIATES, INC.|SECURITIES ASSOCIATES, INC.|80 BUSINESS PARK DRIVE||ARMONK NY 10504|USA|||  ||CARPENTER, CHARLES|914-273-6677|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/19/1988|0|0|0|0|0|0
New York Regional Office| 110076|801-55699|SANDS BROTHERS ASSET MANAGEMENT LLC|SANDS BROTHERS ASSET MANAGEMENT LLC|90 PARK AVENUE|31ST FLOOR|NEW YORK NY 10016|USA|||  ||CHRISTOPHER KELLY|203 661-7500|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/13/1998|0|3|0|0|0|0
New York Regional Office| 110125|801-18453|AM&M FINANCIAL SERVICES, INC.|AM&M PLANNERS INC|179 SULLY'S TRAIL|SUITE 200|PITTSFORD NY 14534-4599|USA|||  ||F. STEPHEN WERSHING, JR.|585.248.0050|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|02/25/1983|0|1|0|0|0|0
New York Regional Office| 110129|801-57691|SIERRA CAPITAL LLC|SIERRA CAPITAL LLC|420 LEXINGTON AVENUE|SUITE 2431|NEW YORK NY 10170|USA|||  ||RAFAEL DE LA SIERRA|212-867-3537|Limited Liability Company|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|06/28/2000|0|0|0|0|0|0
New York Regional Office| 110130|801-18320|ALTFEST L J & CO INC|ALTFEST L J & CO INC|425 PARK AVENUE|24TH FLOOR|NEW YORK NY 10022|USA|||  ||KAREN C. ALTFEST|212-406-0850|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|02/02/1983|0|0|0|0|0|0
New York Regional Office| 110132|801-57315|BOND STREET CAPITAL LLC|BOND STREET CAPITAL LLC|700 PALISADE AVE.||ENGLEWOOD CLIFFS NJ 07632|USA|||  ||SAM S. KIM|201-567-5050|Limited Liability Company|Portfolio management for investment companies|APPROVED|03/03/2000|0|0|0|0|0|0
New York Regional Office| 110150|801-16774|PHILIPPE INVESTMENT MANAGEMENT, INC|PHILIPPE INVESTMENT MANAGEMENT, INC|TWO PENN PLAZA|SUITE 1920A|NEW YORK NY 10121|USA|||  ||PATRICIA REISCHOUR|212.687.3290|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/29/1982|0|0|1|0|0|0
New York Regional Office| 110178|801-64232|BRIGHTON FINANCIAL PLANNING INC|BRIGHTON FINANCIAL PLANNING INC|1728 ROUTE 31||CLINTON NJ 08809-2005|USA|||  ||JAMES J. CHESTERTON,JR.|908-730-7000|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/12/2005|0|0|0|0|0|0
New York Regional Office| 110186|801-41088|J.P. MORGAN PRIVATE INVESTMENTS INC.|J.P. MORGAN PRIVATE INVESTMENTS INC.|345 PARK AVENUE, 5TH FLOOR||NEW YORK NY 10154-1002|USA|||  ||ANN MARIE MANNION|212-464-1661|Corporation|Selection of other advisers|APPROVED|05/15/1992|0|5|5|0|0|0
New York Regional Office| 110205|801-56088|AUDA HEDGE, LLC|AUDA HEDGE, LLC|745 FIFTH AVE 29TH FLOOR||NEW YORK NY 10151|USA|||  ||ROBERT J. KIRBY|212-863-2328|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|12/15/1998|0|0|0|0|0|0
New York Regional Office| 110233|801-6756|LOEWENBERG R E CAPITAL MANAGEMENT CORP|LOEWENBERG R E CAPITAL MANAGEMENT CORP|900 THIRD AVENUE||NEW YORK NY 10022|USA|||  ||ZVI ROTTENSTREICH|212-753-4100|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/21/1970|0|0|0|0|0|0
New York Regional Office| 110251|801-60108|CADOGAN MANAGEMENT, L.L.C.|CADOGAN MANAGEMENT, L.L.C.|149 FIFTH AVENUE - 15TH FLOOR||NEW YORK NY 10010-6801|USA|||  ||HARRIS J. BOGNER|212-650-1740|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|03/29/2001|0|0|0|0|0|0
New York Regional Office| 110262|801-53254|HAVELL CAPITAL MANAGEMENT LLC|HAVELL CAPITAL MANAGEMENT LLC|ONE ROCKEFELLER PLAZA|SUITE 1010|NEW YORK NY 10020|USA|||  ||DAVID FIALKOWSKI|212-218-4224|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/12/1996|0|0|0|0|0|0
New York Regional Office| 110273|801-16878|CEDARPOINT CAPITAL MANAGEMENT, INC.|CEDARPOINT CAPITAL MANAGEMENT INC|307 7TH AVENUE|STE. 1803|NEW YORK NY 10001|USA|||  ||LOREN D ROSS|212-935-3631|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/22/1982|0|0|0|0|0|0
New York Regional Office| 110275|801-29607|KARPUS INVESTMENT MANAGEMENT|KARPUS MANAGEMENT INC|183 SULLY'S TRAIL||PITTSFORD NY 14534|USA|||  ||KATHLEEN F. CRANE|585-586-4680|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|03/05/1987|0|0|0|0|0|0
New York Regional Office| 110280|801-8123|DINSMORE CAPITAL MANAGEMENT CO.|DINSMORE CAPITAL MANAGEMENT CO.|65 MADISON AVE|SUITE 550|MORRISTOWN NJ 07960-7308|USA|||  ||GARY I. LEVINE|973-631-1177|Corporation|Portfolio management for investment companies|APPROVED|12/12/1971|0|0|0|0|0|0
New York Regional Office| 110305|801-17552|ROBSHAW & JULIAN ASSOCIATES INC|ROBSHAW & JULIAN ASSOCIATES INC|6255 SHERIDAN DRIVE|SUITE 400|WILLIAMSVILLE NY 14221|USA|||  ||JAMES P. JULIAN|(716) 633-6555|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|09/02/1982|0|0|0|0|0|0
New York Regional Office| 110324|801-12815|QCI ASSET MANAGEMENT INC|QCI ASSET MANAGEMENT INC|40 "A" GROVE STREET||PITTSFORD NY 14534|USA|||  ||KELLY WOODS|585-218-2060|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|02/18/1977|0|0|0|0|0|0
New York Regional Office| 110325|801-28113|MAKROD INVESTMENT ASSOCIATES INC|MAKROD INVESTMENT ASSOCIATES INC|44 ANN STREET||VERONA NJ 07044|USA|||  ||KATHRYN R. O'DONNELL|(973) 239-1033|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|11/06/1986|0|1|0|0|0|0
New York Regional Office| 110326|801-18701|FLOOD GAMBLE ASSOCIATES INC|FLOOD GAMBLE ASSOCIATES INC|610 5TH AVE||NEW YORK NY 10020|USA|||  ||KRISTIN GAMBLE|212-333-2020|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/05/1983|0|0|0|0|0|0
New York Regional Office| 110333|801-20396|CENTURA PERSONAL FINANCIAL SERVICES, INC.|CENTURA PERSONAL FINANCIAL SERVICES, INC.|1430 BROADWAY|10TH FLOOR|NEW YORK NY 10018|USA|||  ||ARTHUR M. LEITNER|212-725-2700|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|12/27/1983|0|0|0|0|0|0
New York Regional Office| 110346|801-40415|AWM INVESTMENT COMPANY INC|AWM INVESTMENT COMPANY INC|SPECIAL SITUATIONS FUND|527 MADISON AVENUE, SUITE 2600|NEW YORK NY 10022|USA|||  ||ROSE CARLING|212-319-6670|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/17/1991|0|0|0|0|0|0
New York Regional Office| 110349|801-5875|ROTHSCHILD ASSET MANAGEMENT INC|ROTHSCHILD ASSET MANAGEMENT INC|1251 AVE OF THE AMERICAS||NEW YORK NY 10020|USA|||  ||GREGORY O. WILLIAMS|212 403-3531|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/04/1970|0|0|0|0|0|0
New York Regional Office| 110352|801-57904|DLJ MB ADVISORS, INC.|DLJ MB ADVISORS, INC.|11 MADISON AVENUE, 16TH FLOOR||NEW YORK NY 10010|USA|||  ||ANDREA JOHNSTON|212-325-4507|Corporation|Other|APPROVED|09/06/2000|0|8|1|0|0|0
New York Regional Office| 110353|801-15757|MORGAN STANLEY INVESTMENT MANAGEMENT INC.|MORGAN STANLEY INVESTMENT MANAGEMENT INC.|522 FIFTH AVENUE||NEW YORK NY 10036|USA|||  ||BARKHORN, MADELINE|212-296-7045|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/28/1981|0|2|17|0|0|0
New York Regional Office| 110363|801-60027|OFI INSTITUTIONAL ASSET MANAGEMENT, INC.|OFI INSTITUTIONAL ASSET MANAGEMENT, INC.|2 WORLD FINANCIAL CENTER|225 LIBERTY STREET, 11TH FLOOR|NEW YORK NY 10281-1008|USA|||  ||ROBERT G. ZACK|212-323-0250|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/16/2001|0|21|1|0|0|0
New York Regional Office| 110371|801-57412|VILLAFRANCO WEALTH MANAGEMENT|SOUTHWIND ASSOCIATES OF NJ INC.|100 PARAGON DRIVE, SUITE 250||MONTVALE NJ 07645|USA|||  ||ANTHONY J. LAPERUTA|201 307 5026|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/27/2000|0|0|0|0|0|0
New York Regional Office| 110373|801-58234|JPMORGAN PARTNERS|J.P. MORGAN PARTNERS, LLC|270 PARK AVENUE|9TH FLOOR|NEW YORK NY 10017-2014|USA|||  ||EILEEN RYAN|212-648-1768|Limited Liability Company|Other|APPROVED|12/29/2000|0|1|3|0|0|0
New York Regional Office| 110378|801-26326|BUCKINGHAM CAPITAL MANAGEMENT INC|BUCKINGHAM CAPITAL MANAGEMENT INC|750 THIRD AVENUE||NEW YORK NY 10017|USA|||  ||LLOYD KARP|212-922-2017|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/31/1985|0|1|0|0|0|0
New York Regional Office| 110391|801-6997|LORD, ABBETT & CO. LLC|LORD, ABBETT & CO. LLC|90 HUDSON STREET||JERSEY CITY NJ 07302-3973|USA|||  ||LAWRENCE H. KAPLAN|201-827-2269|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/07/1970|0|3|0|0|0|0
New York Regional Office| 110405|801-40100|PENSION PARAMETERS FINANCIAL SERVICES, INC.|PENSION PARAMETERS FINANCIAL SERVICES, INC.|28 WEST 44TH STREET|SUITE 806|NEW YORK NY 10036|USA|||  ||PAULINE DANA-BASHIAN|212-675-9360|Corporation|Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|10/31/1991|0|0|0|0|0|0
New York Regional Office| 110409|801-41169|NORTHSTAR GROUP INC|NORTHSTAR GROUP INC|60 EAST 42ND ST|SUITE 3001|NEW YORK NY 10165|USA|||  ||HENRY ASHER|212 883 9595|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/06/1992|0|0|0|0|0|0
New York Regional Office| 110411|801-38965|NOMURA CORPORATE RESEARCH AND ASSET MANAGEMENT INC|NOMURA CORPORATE RESEARCH AND ASSET MANAGEMENT INC|2 WORLD FINANCIAL CENTER, BLDG. B||NEW YORK NY 10281-1198|USA|||  ||STEVEN ZORIC|(212) 667-9787|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/07/1991|2|20|0|0|0|0
New York Regional Office| 110434|801-43057|EXCOMP ASSET MANAGEMENT LTD|EXCOMP ASSET MANAGEMENT LTD|1010 FRANKLIN AVENUE- SUITE 410||GARDEN CITY NY 11530|USA|||  ||TIMOTHY ATKINSON|516-535-7900|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/12/1993|0|0|0|0|0|0
New York Regional Office| 110435|801-4690|JAMISON EATON & WOOD INC|JAMISON EATON & WOOD INC|39 MAIN STREET||CHATHAM NJ 07928|USA|||  ||KEITH H. WOOD|973-635-6700|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/02/1968|0|2|0|0|0|0
New York Regional Office| 110448|801-36997|ADVANTAGE ADVISERS INC|ADVANTAGE ADVISERS INC|200 PARK AVENUE|24TH FLOOR|NEW YORK NY 10166|USA|||  ||DEBORAH KABACK|(212)667-4395|Corporation|Other|APPROVED|07/19/1990|0|4|0|0|0|0
New York Regional Office| 110457|801-31503|BEECH HILL ADVISORS, INC|BEECH HILL ADVISORS, INC|880 THIRD AVE 16TH FLOOR||NEW YORK NY 10022|USA|||  ||VERONICA MARTON|212-350-7250|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Market timing services|APPROVED|04/01/1988|0|0|0|0|0|0
New York Regional Office| 110458|801-35671|GAM USA INC.|GAM USA INC.|ONE ROCKEFELLER PLAZA|21ST FLOOR|NEW YORK NY 10020|USA|||  ||JAIME M. MCPHEE|212-407-4600|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|12/11/1989|0|2|0|0|0|0
New York Regional Office| 110461|801-28493|ECONOMIC CONCEPTS ADVISORY SERVICES INC|ECONOMIC CONCEPTS ADVISORY SERVICES INC|ANNANDALE SQUARE, 67 BEAVER AVE||ANNANDALE NJ 08801-0584|USA|PO BOX 584|67 BEAVER AVENUE ANNANDALE SQUARE|ANNANDALE NJ 08801-0584|USA|BRIAN D. FISCHER|908-735-4000|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|01/22/1987|0|0|0|0|0|0
New York Regional Office| 110472|801-44950|M&R CAPITAL MANAGEMENT INC|M&R CAPITAL MANAGEMENT INC|40 FULTON STREET, 21ST FLOOR||NEW YORK NY 10038|USA|||  ||RICHARD DIVER|212-584-8999|Corporation|Other|APPROVED|10/21/1993|0|0|0|0|0|0
New York Regional Office| 110487|801-39572|LOEB ARBITRAGE MANAGEMENT LLC|LOEB ARBITRAGE MANAGEMENT LLC|61 BROADWAY||NEW YORK NY 10006|USA|||  ||MICHAEL S. EMANUEL|212-483-7000|Limited Liability Company|Other|APPROVED|07/29/1991|0|3|0|0|0|0
New York Regional Office| 110495|801-43299|RASARA STRATEGIES INC|RASARA STRATEGIES INC|160 NORTH STATE ROAD||BRIARCLIFF MANOR NY 10510-1403|USA|||  ||RAYMOND C. STEWART|(914)762-8777|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/09/1993|0|0|0|0|0|0
New York Regional Office| 110497|801-34605|HYPERION BROOKFIELD ASSET MANAGEMENT, INC.|HYPERION BROOKFIELD ASSET MANAGEMENT, INC.|3 WORLD FINANCIAL CENTER|200 VESEY STREET, 10TH FLOOR|NEW YORK NY 10281-1010|USA|||  ||JOSIELYNE PACIFICO|212-549-8415|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|05/30/1989|0|0|1|0|0|0
New York Regional Office| 110528|801-29406|OMC FINANCIAL SERVICES LTD|OMC FINANCIAL SERVICES LTD|5789 WIDEWATERS PARKWAY||DEWITT NY 13214|USA|||  ||CYNTHIA ANN SCOTT|315-446-8720|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|04/23/1987|0|0|1|0|0|0
New York Regional Office| 110584|801-34431|EAST END FINANCIAL GROUP, INC.|EAST END FINANCIAL GROUP, INC.|318 ROANOKE AVE||RIVERHEAD NY 11901|USA|||  ||PETER BERKERY|631-727-8111|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|05/15/1989|0|0|0|0|0|0
New York Regional Office| 110590|801-8663|M.D. SASS INVESTORS SERVICES, INC.|M.D. SASS INVESTORS SERVICES, INC.|1185 AVENUE OF THE AMERICAS|18TH FLR|NEW YORK NY 10036|USA|||  ||SUSAN GARRISON HICKEY|212-730-2000|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|06/01/1972|0|0|0|0|0|0
New York Regional Office| 110596|801-8670|M.D. SASS ASSOCIATES INC.|M.D. SASS ASSOCIATES INC.|1185 AVENUE OF THE AMERICAS|18TH FLR|NEW YORK NY 10036|USA|||  ||SUSAN GARRISON HICKEY|212-730-2000|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/07/1972|0|0|0|0|0|0
New York Regional Office| 110618|801-57503|WESTLB MELLON ASSET MANAGEMENT (USA) LLC|WESTLB MELLON ASSET MANAGEMENT (USA) LLC|1211 AVENUE OF THE AMERICAS|25TH FLOOR|NEW YORK NY 10036|USA|||  ||TERRI AMBRON LIFTIN|212-403-7992|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/17/2000|0|1|0|0|0|0
New York Regional Office| 110622|801-45149|CWH ASSOCIATES, INC|CWH ASSOCIATES, INC|256 NORTH STREET||RYE NY 10580|USA|||  ||CLIFFORD W. HENRY|914-643-2735|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/03/1999|0|5|0|0|0|0
New York Regional Office| 110628|801-10369|TREVOR STEWART BURTON & JACOBSEN INC|TREVOR STEWART BURTON & JACOBSEN INC|405 LEXINGTON AVENUE,STE 4700||NEW YORK NY 10174|USA|||  ||GEORGE W. JACOBSEN|212-972-8150|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/14/1974|0|0|0|0|0|0
New York Regional Office| 110631|801-20841|PINNACLE ASSOCIATES, LTD.|PINNACLE ASSOCIATES, LTD.|335 MADISON AVENUE|SUITE 1100|NEW YORK NY 10017|USA|||  ||GAIL MANNIX|212-652-3200|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|03/16/1984|0|0|0|0|0|0
New York Regional Office| 110637|801-69304|RAMIREZ ASSET MANAGEMENT, INC.|RAMIREZ ASSET MANAGEMENT, INC.|61 BROADWAY|SUITE 2924|NEW YORK NY 10006|USA|||  ||JERRY AULD|212-248-0522|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|06/23/2008|0|0|0|0|0|0
New York Regional Office| 110641|801-15900|SCHROEDER, BRAXTON & VOGT INC.|SCHROEDER, BRAXTON & VOGT INC.|1412 SWEET HOME ROAD SUITE 7|SUITE 7|AMHERST NY 14228|USA|||  ||ALAN VOGT|716-634-6113|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|04/09/1981|0|0|0|0|0|0
New York Regional Office| 110669|801-19249|VALICENTI ADVISORY SERVICES INC|VALICENTI ADVISORY SERVICES INC|400 EAST WATER STREET||ELMIRA NY 14901-3411|USA|||  ||JEFFREY S. NAYLOR|607 734-2665|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/06/1983|0|1|0|0|0|0
New York Regional Office| 110673|801-27064|CLARK ASSOCIATES FINANCIAL PLANNING, INC|CLARK ASSOCIATES FINANCIAL PLANNING INC|145 SOUTH ROUTE 73||BRADDOCK NJ 08037|USA|||  ||JOHN P. CLARK|609-567-1884|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/16/1986|0|0|0|0|0|0
New York Regional Office| 110709|801-20784|ASSET & FINANCIAL PLANNING, LTD|ASSET & FINANCIAL PLANNING, LTD|11 RAYMOND AVENUE||POUGHKEEPSIE NY 12603|USA|||  ||ROSE RUDDEN|845-485-3338|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers, Market timing services|APPROVED|03/06/1984|0|7|0|0|0|0
New York Regional Office| 110755|801-37043|LYNMAR CAPITAL GROUP,INC|LYNMAR CAPITAL GROUP,INC|401 ROUTE 73 NORTH|LAKE CENTER EXECUTIVE PARK, BLDG #10 SUITE 320|MARLTON NJ 08053-3425|USA|||  ||MARILYN J. DICKS-RILEY|856-988-0140|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/13/1990|0|0|0|0|0|0
New York Regional Office| 110761|801-13000|GRACE & WHITE, INC|GRACE & WHITE, INC|515 MADISON AVE|SUITE 1700|NEW YORK NY 10022|USA|||  ||GERALD I. WHITE|212-935-5990|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|05/13/1977|0|0|0|0|0|0
New York Regional Office| 110763|801-27418|JAMISON PRINCE ASSET MANAGEMENT, INCORPORATED|JAMISON PRINCE ASSET MANAGEMENT, INCORPORATED|825 3RD AVENUE|31ST FLOOR|NEW YORK NY 10022|USA|||  ||MICHAEL D. JAMISON|(212) 451-5822|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/03/1986|0|0|0|0|0|0
New York Regional Office| 110765|801-27419|JAE CONSULTING INC|JAE CONSULTING INC|79 COLLIS LANE||CHESTER NJ 07930|USA|||  ||ALLAN L. EYRE|908.879.4560|Corporation|Portfolio management for individuals and/or small businesses, Other|APPROVED|07/14/1986|0|0|0|0|0|0
New York Regional Office| 110784|801-13595|GARY GOLDBERG PLANNING SERVICES INC|GARY GOLDBERG PLANNING SERVICES INC|75 MONTEBELLO RD||SUFFERN NY 10901|USA|||  ||JANNINE BARBOSA|845-368-2900|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|12/30/1977|0|3|0|0|0|0
New York Regional Office| 110789|801-29080|BAMCO INC|BAMCO, INC.|767 5TH AVE|49TH FLOOR|NEW YORK NY 10153|USA|||  ||LINDA S. MARTINSON|212-583-2000|Corporation|Portfolio management for investment companies, Other|APPROVED|03/06/1987|0|4|1|0|0|0
New York Regional Office| 110791|801-18656|BARON CAPITAL MANAGEMENT INC|BARON CAPITAL MANAGEMENT, INC.|767 FIFTH AVENUE|49TH FLOOR|NEW YORK NY 10153|USA|||  ||LINDA S. MARTINSON|212-583-2000|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|04/15/1983|0|4|1|0|0|0
New York Regional Office| 110793|801-56281|NEXT CAPITAL MANAGEMENT LLC|NEXT CAPITAL MANAGEMENT LLC|505 FIFTH AVENUE, 15TH FLOOR|ATTN: ANDREW HART|NEW YORK NY 10017|USA|||  ||ANDREW C. HART|212-433-1111|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/24/1999|0|7|1|0|0|0
New York Regional Office| 110806|801-54785|RAMIUS ADVISORS, LLC|RAMIUS ADVISORS, LLC|599 LEXINGTON AVE.|21ST FLOOR|NEW YORK NY 10022|USA|||  ||MARC BAUM|212-201-4804|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|08/08/1997|0|1|0|0|0|0
New York Regional Office| 110818|801-18150|CIRCLE ADVISERS INC|CIRCLE ADVISERS INC|2 PARK AVENUE|SUITE 302|NEW YORK NY 10016|USA|||  ||ERIC BLOCK|(212) 885-4224|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|01/05/1983|0|0|0|0|0|0
New York Regional Office| 110826|801-32987|EAGLE STRATEGIES LLC|EAGLE STRATEGIES LLC|51 MADISON AVENUE|ROOM 251|NEW YORK NY 10010|USA|||  ||JUSTIN SACCA|212-576-4491|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|10/14/1988|0|72|5|0|0|0
New York Regional Office| 110827|801-14956|GEOCAPITAL LLC|GEOCAPITAL LLC|747 THIRD AVENUE|24TH FLOOR|NEW YORK NY 10017-9998|USA|||  ||JEANNE E FLAHERTY|212-918-0546|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|12/05/1979|0|1|0|0|0|0
New York Regional Office| 110832|801-62332|MILLENIA FINANCIAL PARTNERS INC|MILLENIA FINANCIAL PARTNERS INC|54 DICKINSON ROAD||BASKING RIDGE NJ 07920|USA|||  ||GARY L. SMITH|908-470-0050|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|09/02/2003|0|0|0|0|0|0
New York Regional Office| 110842|801-58203|HADDON FINANCIAL GROUP, INC.|HADDON FINANCIAL GROUP, INC.|502 PLEASANT VALLEY AVENUE||MOORESTOWN NJ 08057|USA|||  ||MATTHEW P. MACMICHAEL, SR.|856-439-5100|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|12/14/2000|0|0|0|0|0|0
New York Regional Office| 110861|801-15254|AMERICAN CAPITAL MANAGEMENT INC|AMERICAN CAPITAL MANAGEMENT INC|50 BROAD STREET|SUITE 1609|NEW YORK NY 10004|USA|||  ||LUKE P. LAVALLE, JR.|212-344-3300|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/27/1980|0|0|0|0|0|0
New York Regional Office| 110871|801-17353|TIMING STRATEGIES CORP|TIMING STRATEGIES CORP|ONE NAMI LN|STE 7|MERCERVILLE NJ 08619|USA|||  ||PATRICIA KLEIN|6095884444|Corporation|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|06/30/1982|0|0|0|0|0|0
New York Regional Office| 110879|801-60159|RAMIUS FUND OF FUNDS GROUP LLC|RAMIUS FUND OF FUNDS GROUP LLC|599 LEXINGTON AVENUE|19TH FL.|NEW YORK NY 10022|USA|||  ||ROGER E. ANSCHER|212-845-7964|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|05/11/2001|0|1|0|0|0|0
New York Regional Office| 110890|801-64633|TILSON FINANCIAL GROUP INC|TILSON FINANCIAL GROUP INC|775 MOUNTAIN BLVD|SUITE 208|WATCHUNG NJ 07069|USA|||  ||ROBERT TILSON|908-561-6203|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|08/26/2005|0|0|0|0|0|0
New York Regional Office| 110891|801-57151|MAJORITY ASSET MANAGEMENT, INC.|MAJORITY ASSET MANAGEMENT, INC.|3330 NOYAC ROAD|BUILDING E, SUITE 6|SAG HARBOR NY 11963|USA|||  ||BARBARA E. DOTY|631-725-7755|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/03/2000|0|0|0|0|0|0
New York Regional Office| 110921|801-48596|ERNST & YOUNG INVESTMENT ADVISERS LLP|ERNST & YOUNG INVESTMENT ADVISERS LLP|200 PLAZA DRIVE|SUITE 2222|SECAUCUS NJ 07094|USA|||  ||DONALD ARTHUR CULP|201-872-6547|Limited Liability Partnership|Financial planning services|APPROVED|04/07/1995|0|1|4|0|0|0
New York Regional Office| 110924|801-27567|LASSUS WHERLEY & ASSOCIATES, P.C.|LASSUS WHERLEY & ASSOCIATES, P.C.|1 ACADEMY STREET||NEW PROVIDENCE NJ 07974|USA|||  ||ZUZANA HARVIS|(908) 464-0102|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Publication of periodicals or newsletters|APPROVED|07/31/1986|0|0|0|0|0|0
New York Regional Office| 110927|801-62112|SCHULTZE ASSET MANAGEMENT, LLC|SCHULTZE ASSET MANAGEMENT, LLC|3000 WESTCHESTER AVENUE||PURCHASE NY 10577|USA|||  ||GEORGE J. SCHULTZE|(914) 701-5260|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/09/2003|0|1|0|0|0|0
New York Regional Office| 110946|801-10429|FENIMORE ASSET MANAGEMENT, INC.|FENIMORE ASSET MANAGEMENT, INC.|384 N GRAND STREET|BOX 310|COBLESKILL NY 12043-0310|USA|||  ||CHARLES RICHTER|518-823-1264|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/22/1974|0|0|0|0|0|0
New York Regional Office| 110956|801-20826|CAPITAL STRATEGY GROUP LTD|CAPITAL STRATEGY GROUP LTD|110 W. FAYETTTE STREET||SYRACUSE NY 13202-2507|USA|||  ||JAMES SLEEPER|315-471-2191|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/02/1984|0|1|0|0|0|0
New York Regional Office| 110966|801-30304|FISCHER INVESTMENT GROUP, INC.|FISCHER INVESTMENT GROUP, INC.|1170 PITTSFORD-VICTOR RD|SUITE 200|PITTSFORD NY 14534|USA|||  ||ROBERT J. FISCHER|585 586-2460|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/07/1987|0|0|1|0|0|0
New York Regional Office| 110971|801-60064|GRANDFIELD & DODD, LLC|GRANDFIELD & DODD, LLC|17 BATTERY PLACE|SUITE 1326|NEW YORK NY 10004|USA|||  ||TAE-GENE KIM CHO|212-477-9626|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/01/2001|0|0|0|0|0|0
New York Regional Office| 110974|801-51193|PRICEWATERHOUSECOOPERS INVESTMENT ADVISERS LLC|PRICEWATERHOUSECOOPERS INVESTMENT ADVISERS LLC|300 MADISON AVENUE||NEW YORK NY 10017|USA|||  ||ANDREW C. MCDEVITT|646-471-3576|Limited Liability Company|Financial planning services, Pension consulting services, Selection of other advisers, Other|APPROVED|02/06/1996|0|4|0|0|0|0
New York Regional Office| 110998|801-21621|ARS FINANCIAL SERVICES, INC.|ARS FINANCIAL SERVICES, INC.|500 NORTH BROADWAY|SUITE 260|JERICHO NY 11753|USA|||  ||MARY-ELLEN FREYRE|516-932-5130|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|07/13/1984|0|0|0|0|0|0
New York Regional Office| 111003|801-58139|MSREF IV, LLC|MSREF IV, LLC|1585 BROADWAY|REAL ESTATE FUNDS, 37TH FLOOR|NEW YORK NY 10036|USA|||  ||AGATHA T. RUDDY|212-762-6190|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/17/2000|0|0|1|0|0|0
New York Regional Office| 111011|801-45478|MORGAN STANLEY CAPITAL PARTNERS III INC|MORGAN STANLEY CAPITAL PARTNERS III INC|195 BROADWAY|18TH FLOOR, ATTN:  JEFF HAHN|NEW YORK NY 10007|USA|||  ||AGATHA T. RUDDY|212-762-6190|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|12/21/1993|0|0|1|0|0|0
New York Regional Office| 111013|801-30862|MORGAN STANLEY LEVERAGED EQUITY FUND II INC|MORGAN STANLEY LEVERAGED EQUITY FUND II INC|195 BROADWAY|18TH FLOOR, ATTN: JEFF HAHN|NEW YORK NY 10007|USA|||  ||AGATHA T. RUDDY|212-762-6190|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|09/17/1987|0|0|1|0|0|0
New York Regional Office| 111015|801-47598|MSREF II, INC.|MSREF II, INC.|1585 BROADWAY|REAL ESTATE FUNDS, 37TH FLOOR|NEW YORK NY 10036|USA|||  ||AGATHA T. RUDDY|212-762-6190|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/08/1994|0|0|1|0|0|0
New York Regional Office| 111020|801-48140|MORGAN STANLEY REAL ESTATE INVESTMENT MANAGEMENT II INC.|MORGAN STANLEY REAL ESTATE INVESTMENT MANAGEMENT II INC.|1585 BROADWAY|REAL ESTATE FUNDS, 37TH FLOOR|NEW YORK NY 10036|USA|||  ||AGATHA T. RUDDY|212-762-6190|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/13/1995|0|0|1|0|0|0
New York Regional Office| 111053|801-16035|WATERHOUSE L M & CO INC|WATERHOUSE L M & CO INC|220 WHITE PLAINS ROAD||TARRYTOWN NY 10591|USA|||  ||PATRICK R. WATERHOUSE|914-332-7223|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|05/04/1981|0|0|0|0|0|0
New York Regional Office| 111058|801-53788|BLUE CHIP MONEY MANAGAEMENT PC|SCOTT BASIL|14 VERVALEN STREET||CLOSTER NJ 07624|USA|||  ||BASIL SCOTT|201-7682300|Other (specify)|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/04/1997|0|0|0|0|0|0
New York Regional Office| 111083|801-57840|QUANTUM CAPITAL MANAGEMENT, LLC|QUANTUM CAPITAL MANAGEMENT, LLC|105 EAST MILL ROAD||NORTHFIELD NJ 08225-2553|USA|||  ||JOHN J. HUGHES|(609) 677-4949|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/25/2000|0|0|0|0|0|0
New York Regional Office| 111085|801-38408|INTERNATIONAL STRATEGY & INVESTMENT INC|INTERNATIONAL STRATEGY & INVESTMENT INC|40 WEST 57TH STREET|18TH FLOOR|NEW YORK NY 10019|USA|||  ||STEPHEN V. KILLORIN|(212) 446-9410|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/08/1991|0|0|0|0|0|0
New York Regional Office| 111089|801-27960|SENTINEL INVESTMENT MANAGEMENT CORP|SENTINEL INVESTMENT MANAGEMENT CORP|70 EAST 55TH STREET|17TH FLOOR|NEW YORK NY 10022|USA|||  ||STEVEN GOULD|212-277-7620|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|09/19/1986|0|0|0|0|0|0
New York Regional Office| 111114|801-57773|BOURNE STENSTROM LENT ASSET MANAGEMENT, INC.|BOURNE STENSTROM LENT ASSET MANAGEMENT, INC.|4 CHARLES COLMAN BLVD.|2ND FLOOR SUITE 1|PAWLING NY 12564|USA|PO BOX 340||PAWLING NY 12564|USA|DONALD BOURNE|845-855-1590|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/01/2000|0|0|0|0|0|0
New York Regional Office| 111146|801-2887|MOODY'S INVESTORS SERVICE|MOODYS INVESTORS SERVICE INC|7 WTC AT 250 GREENWICH STREET||NEW YORK NY 10007|USA|||  ||ELIZABETH MCCARROLL|212-553-3664|Corporation|Other|APPROVED|05/02/1962|1|0|0|0|0|0
New York Regional Office| 111173|801-57092|TORREY ASSOCIATES LLC|TORREY ASSOCIATES LLC|505 PARK AVENUE|5TH FLOOR|NEW YORK NY 10022|USA|||  ||JAMES R. O'CONNOR|212 644-7800|Limited Liability Company|Portfolio management for investment companies, Selection of other advisers, Other|APPROVED|12/17/1999|0|1|0|0|0|0
New York Regional Office| 111184|801-33583|KBW ASSET MANAGEMENT, INC.|KBW ASSET MANAGEMENT INC|787 SEVENTH AVENUE|SIXTH FLOOR|NEW YORK NY 10019|USA|||  ||PRUMIYS DULGER|212-887-4703|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/27/1989|0|1|0|0|0|0
New York Regional Office| 111188|801-60078|BELLWETHER CONSULTING LLC|BELLWETHER CONSULTING LLC|5 SOUTH WILLOW STREET|P.O. BOX 140|MONTCLAIR NJ 07042|USA|||  ||LYNDA SANDERSEN|646-205-9346|Limited Liability Company|Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters, Other|APPROVED|03/09/2001|0|0|0|0|0|0
New York Regional Office| 111224|801-54228|HENNESSEE HEDGE FUND ADVISORY GROUP|HENNESSEE GROUP LLC|500 FIFTH AVENUE 47TH FLOOR||NEW YORK NY 10110|USA|||  ||CHARLES J. GRADANTE|212-857-4410|Limited Liability Company|Publication of periodicals or newsletters, Other|APPROVED|04/15/1997|0|0|0|0|0|0
New York Regional Office| 111225|801-62926|PASSANTE ASSOCIATES LLC|PASSANTE ASSOCIATES LLC|216 ROUTE 299||HIGHLAND NY 12528|USA|||  ||BARRY BRETT|845-691-4035|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|03/16/2004|0|0|0|0|0|0
New York Regional Office| 111229|801-60239|ANCHIN WEALTH MANAGEMENT LLC|ANCHIN WEALTH MANAGEMENT LLC|1375 BROADWAY||NEW YORK NY 10018|USA|||  ||UPENDRA SARAIYA|(212) 840-3456|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|05/04/2001|0|0|0|0|0|0
New York Regional Office| 111231|801-60256|BROWN BROTHERS HARRIMAN & CO.|BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT|140 BROADWAY||NEW YORK NY 10005-1101|USA|||  ||SHAWN JACKSON|(212)-493-7322|Other (specify)|Portfolio management for investment companies|APPROVED|05/30/2001|0|1|3|0|0|0
New York Regional Office| 111275|801-54780|MARLCROFT ASSET MANAGEMENT LLC|MARLCROFT ASSET MANAGEMENT LLC|133 EAST 58TH STREET|SUITE 1102|NEW YORK NY 10022|USA|||  ||GEZA JOHN MARX|(212)980-8632|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|08/06/1997|0|0|0|0|0|0
New York Regional Office| 111282|801-55930|K R FINANCIAL LLC|K R FINANCIAL LLC|600 PRETTY BROOK RD||PRINCETON NJ 08540|USA|P.O. BOX 7787||PRINCETON NJ 08540|USA|DALE B. KRIEGER|609-924-2500|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|10/19/1998|0|0|0|0|0|0
New York Regional Office| 111288|801-60105|LUCERNE CAPITAL MANAGEMENT, LLC|LUCERNE CAPITAL MANAGEMENT, LLC|500 MAMARONECK AVENUE|SUITE 402|HARRISON NY 10528|USA|||  ||KEVIN CUNNINGHAM|914-998-8090|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|03/26/2001|0|0|0|0|0|0
New York Regional Office| 111289|801-55296|ING CLARION CAPITAL LLC|ING CLARION CAPITAL, LLC|230 PARK AVENUE|12TH FLOOR|NEW YORK NY 10169|USA|||  ||JERRY CHANG|212-883-2730|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/27/1998|0|0|0|0|0|0
New York Regional Office| 111300|801-58207|E&E ADVISORS L.P.|E&E ADVISORS L.P.|375 PARK AVENUE, SUITE 2800||NEW YORK NY 10152|USA|||  ||TINIKA M. BROWN|(212) 891-8625|Partnership|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|12/11/2000|0|0|0|0|0|0
New York Regional Office| 111303|801-60504|ALPINE CAPITAL STRATEGIES LLC|ALPINE CAPITAL STRATEGIES LLC|580 SYLVAN AVENUE|SUITE 2E|ENGLEWOOD CLIFFS NJ 07632|USA|120 BUCKINGHAM ROAD||TENAFLY NJ 07670|USA|DAVID M. ABOODI|201-568-3528|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/21/2001|0|0|0|0|0|0
New York Regional Office| 111304|801-60139|ROUND TABLE SERVICES, LLC|ROUND TABLE SERVICES, LLC|319 LENOX AVE.||WESTFIELD NJ 07090|USA|||  ||STEVEN GIACONA|908-789-7310|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|04/02/2001|0|0|0|0|0|0
New York Regional Office| 111333|801-60259|HAVENS ADVISORS|HAVENS ADVISORS LLC|600 LEXINGTON AVENUE|29TH FLOOR|NEW YORK NY 10022|USA|||  ||ELLEN GREENSPAN BOCK|212-355-1956|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/21/2001|0|0|0|0|0|0
New York Regional Office| 111361|801-51967|FRANKLIN ADVISORY SERVICES, LLC|FRANKLIN ADVISORY SERVICES, LLC|ONE PARKER PLAZA, 9TH FLOOR||FORT LEE NJ 07024|USA|||  ||BREDA M. BECKERLE|(212) 632-3025|Limited Liability Company|Portfolio management for investment companies|APPROVED|05/16/1996|0|3|2|0|0|0
New York Regional Office| 111376|801-53068|FRANKLIN MUTUAL ADVISERS, LLC|FRANKLIN MUTUAL ADVISERS, LLC|101 JOHN F. KENNEDY PARKWAY||SHORT HILLS NJ 07078|USA|||  ||TIMOTHY S. STEARNS|TELEPHONE (954) 527-7630|Limited Liability Company|Portfolio management for investment companies|APPROVED|10/10/1996|0|3|2|0|0|0
New York Regional Office| 111386|801-60172|SALOMON SMITH BARNEY VENTURE SERVICES, LLC|SALOMON SMITH BARNEY VENTURE SERVICES, LLC|388 GREENWICH STREET||NEW YORK NY 10013|USA|||  ||SILVINA DI GIUSEPPI|212-559-2528|Limited Liability Company|Other|APPROVED|04/06/2001|0|6|0|0|0|0
New York Regional Office| 111397|801-60174|SSB PRIVATE MANAGEMENT, LLC|SSB PRIVATE MANAGEMENT, LLC|388 GREENWICH STREET||NEW YORK NY 10013|USA|||  ||SILVINA DI GIUSEPPI|212-559-2528|Limited Liability Company|Other|APPROVED|04/04/2001|0|6|0|0|0|0
New York Regional Office| 111399|801-63383|GELLER CAPITAL MANAGEMENT LLC|GELLER CAPITAL MANAGEMENT LLC|445 HAMILTON AVENUE|SUITE 1102|WHITE PLAINS NY 10601|USA|P.O. BOX 287||WHITE PLAINS NY 10605-0287|USA|DAVID ANDREW GELLER|(914) 683-5100|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|07/12/2004|0|0|0|0|0|0
New York Regional Office| 111407|801-54815|E H CAPITAL GROUP, L.L.C.|E H CAPITAL GROUP, L.L.C.|570 SEVENTH AVENUE||NEW YORK NY 10018|USA|||  ||ELIZABETH PERRY|(212) 265-3000|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/28/1997|0|0|0|0|0|0
New York Regional Office| 111457|801-57352|FIRST CAPITAL CONSULTING INC.|FIRST CAPITAL CONSULTING INC.|80 CUTTER MILL ROAD|SUITE 303|GREAT NECK NY 11021|USA|||  ||DAVID H. SCHWARTZ|516-487-8220|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|03/02/2000|0|1|0|0|0|0
New York Regional Office| 111469|801-56899|PERGAMENT ADVISORS LLC|PERGAMENT ADVISORS LLC|950 THIRD AVENUE|THIRD FLOOR|NEW YORK NY 10022|USA|||  ||DAPHNE JO STASCO|212-754-7913|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/06/1999|0|0|0|0|0|0
New York Regional Office| 111472|801-56922|UBP ASSET MANAGEMENT LLC|UNION BANCAIRE PRIVEE ASSET MANAGEMENT LLC|30 ROCKEFELLER PLAZA|SUITE 2800|NEW YORK NY 10112|USA|||  ||ELENA MADARIAGA|(212) 218-4323|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|10/26/1999|0|0|0|0|0|0
New York Regional Office| 111479|801-49001|PARADIGM ASSET MANAGEMENT|PARADIGM ASSET MANAGEMENT, L.L.C.|445 HAMILTON AVENUE|FLOOR 12, ROOM 1203|WHITE PLAINS NY 10601|USA|||  ||GREGORY PAI|212-771-6106|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/17/1995|0|0|0|0|0|0
New York Regional Office| 111503|801-36893|RETIREMENT SYSTEM INVESTORS INC|RETIREMENT SYSTEM INVESTORS INC|1983 MARCUS AVENUE|SUITE 118|LAKE SUCCESS NY 11042|USA|||  ||STEPHEN P. POLLAK|212-503-0150|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|08/01/1990|0|1|1|0|0|0
New York Regional Office| 111539|801-57967|FURTHER LANE ASSET MANAGEMENT, LLC|FURTHER LANE ASSET MANAGEMENT, LLC|250 E. 54TH STREET, PENTHOUSE 1||NEW YORK NY 10022|USA|||  ||JOSEPH MICHAEL ARAIZ|212-808-4800|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|09/13/2000|0|0|2|0|0|0
New York Regional Office| 111545|801-49946|AFFILIATED PRIVATE INVESTORS LLC|AFFILIATED PRIVATE INVESTORS LLC|22 PEAPACK RD||FAR HILLS NJ 07931|USA|||  ||ADRIENNE GILL|908-781-0900|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|08/21/1995|0|0|0|0|0|0
New York Regional Office| 111581|801-56891|CFM ADVISORS INC|CFM ADVISORS INC|1800 WALT WHITMAN ROAD|SUITE 120|MELVILLE NY 11747|USA|||  ||JOHN ROMANO|631.249.0503|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|10/25/1999|0|0|0|0|0|0
New York Regional Office| 111586|801-56117|ARTEMIS INVESTMENT MANAGEMENT LLC|ARTEMIS INVESTMENT MANAGEMENT LLC|437 MADISON AVE|28TH FLOOR|NEW YORK NY 10022|USA|||  ||JACQUELINE KEALY|212-207-2703|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/28/1998|0|0|0|0|0|0
New York Regional Office| 111593|801-60913|CREDITSIGHTS, INC.|CREDITSIGHTS, INC.|470 PARK AVENUE SOUTH|12TH FLOOR|NEW YORK NY 10016|USA|||  ||DAVID H. GOOD|212.340.3813|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters, Security ratings or pricing services|APPROVED|02/21/2002|0|0|0|0|0|0
New York Regional Office| 111676|801-55603|TERRA NOVA ASSET MANAGEMENT LLC|TERRA NOVA ASSET MANAGEMENT LLC|777 THIRD AVENUE||NEW YORK NY 10017|USA|||  ||DANIEL BAUMGARTNER|212-355-1234|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/28/1998|0|0|0|0|0|0
New York Regional Office| 111718|801-58193|ENERGY TRUST LLC|ENERGY TRUST LLC|551 FIFTH AVENUE, 37TH FLOOR||NEW YORK NY 10176|USA|||  ||ALAN A. HSIA|(212) 557-0868|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/07/2000|0|0|0|0|0|0
New York Regional Office| 111720|801-56260|CREDIT SUISSE (BERMUDA) LIMITED|CREDIT SUISSE (BERMUDA) LIMITED|11 MADISON AVENUE|16TH FLOOR|NEW YORK NY 10010|USA|||  ||ANDREA JOHNSTON|(212) 325-4507|Corporation|Other|APPROVED|03/08/1999|0|8|1|0|0|0
New York Regional Office| 111721|801-56980|BERSON & CORRADO INVESTMENT ADVISORS, LLC|BERSON & CORRADO INVESTMENT ADVISORS, LLC|25 WEST 43RD STREET|SUITE 920|NEW YORK NY 10036-7406|USA|||  ||STUART BERSON|212-730-5444|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/15/1999|0|0|0|0|0|0
New York Regional Office| 111723|801-56074|MERCHANT CAPITAL, INC.|MERCHANT CAPITAL, INC.|11 MADISON AVENUE, 16TH FLOOR||NEW YORK NY 10010|USA|||  ||ANDREA JOHNSTON|(212) 325-4507|Corporation|Other|APPROVED|12/08/1998|0|8|1|0|0|0
New York Regional Office| 111730|801-58214|P&A FUND MANAGEMENT, INC.|P&A FUND MANAGEMENT, INC.|500 FIFTH AVENUE|SUITE 2700|NEW YORK NY 10110|USA|||  ||CATHERINE DROHAN|212-764-6455|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|12/15/2000|0|0|0|0|0|0
New York Regional Office| 111731|801-58097|P&A CAPITAL ADVISORS|P&A CAPITAL ADVISORS, INC.|500 FIFTH AVENUE|SUITE 2700|NEW YORK NY 10110|USA|||  ||CATHERINE DROHAN|212-764-6455|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|12/15/2000|0|1|0|0|0|0
New York Regional Office| 111772|801-39255|THE CAMPBELL ORGANIZATION, INC.|THE CAMPBELL ORGANIZATION, INC.|54 SHREWSBURY AVE||RED BANK NJ 07701|USA|||  ||DAVID CAMPBELL|732-933-4116|Corporation|Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|06/28/1991|0|0|0|0|0|0
New York Regional Office| 111775|801-55390|CLEAR POINT ADVISORS, INC.|CLEAR POINT ADVISORS, INC.|500 NORTH BROADWAY, SUITE 223||JERICHO NY 11753|USA|||  ||STEVEN C. BRILL|516-870-0024|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|03/30/1998|0|0|0|0|0|0
New York Regional Office| 111805|801-60311|STONEBRIDGE CAPITAL MANAGEMENT, IV|STONEBRIDGE CAPITAL MANAGEMENT, IV|33 CLINTON ROAD||WEST CALDWELL NJ 07006|USA|||  ||ROBERT A. HARCLERODE|973-244-9696|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/08/2001|0|0|0|0|0|0
New York Regional Office| 111815|801-55098|CAPITAL FORMATION ADVISERS LLC|CAPITAL FORMATION ADVISERS LLC|405 LEXINGTON AVE||NEW YORK NY 10174-4902|USA|||  ||RICHARD C. VEITH|212-922-1127|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|12/31/1997|0|0|0|0|0|0
New York Regional Office| 111824|801-51979|BOUCHEY FINANCIAL GROUP LTD|BOUCHEY FINANCIAL GROUP LTD|1819 FIFTH AVENUE||TROY NY 12180-3302|USA|||  ||STEVEN BOUCHEY|518-720-3333|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/24/1996|0|0|0|0|0|0
New York Regional Office| 111837|801-48611|COLLEY ASSET MANAGEMENT, INC.|COLLEY ASSET MANAGEMENT, INC.|358 BROADWAY SUITE 304||SARATOGA SPRINGS NY 12866|USA|||  ||JOHN EARL COLLEY|518-581-0500|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/21/1995|0|2|0|0|0|0
New York Regional Office| 111845|801-57734|AVENUE CAPITAL MANAGEMENT II, L.P.|AVENUE CAPITAL MANAGEMENT II, L.P.|535 MADISON AVENUE, 15TH FLOOR||NEW YORK NY 10022|USA|||  ||SONIA E. GARDNER|212-850-7519|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/17/2000|0|0|0|0|0|0
New York Regional Office| 111858|801-57538|PARADIGM CONSULTING SERVICES LLC|PARADIGM CONSULTING SERVICES LLC|855 VALLEY RD 2ND FL||CLIFTON NJ 07013|USA|||  ||SHAUNA J. WEST|(312)569-1558|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/28/2000|0|0|0|0|0|0
New York Regional Office| 111871|801-58200|BLACKSTONE REAL ESTATE ADVISORS INTERNATIONAL L.L.C|BLACKSTONE REAL ESTATE ADVISORS INTERNATIONAL L.L.C|345 PARK AVENUE||NEW YORK NY 10154|USA|||  ||ROBERT L. FRIEDMAN|212-583-5268|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/08/2001|0|0|0|0|0|0
New York Regional Office| 111888|801-57646|SILVER CAPITAL MANAGEMENT, LLC|SILVER CAPITAL MANAGEMENT, LLC|767 THIRD AVENUE|32ND FLOOR|NEW YORK NY 10017|USA|||  ||BRUCE SILVER|212-223-2316|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|06/01/2000|0|0|0|0|0|0
New York Regional Office| 111969|801-8706|PERSONAL ASSET MANAGEMENT CORP|PERSONAL ASSET MANAGEMENT CORP|144 HILLCREST AVENUE||SUMMIT NJ 07901|U.S.A.|||  ||WALTER PETER ULICNY|908-273-2947|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/12/1972|0|0|0|0|0|0
New York Regional Office| 111973|801-57620|CONCORD INVESTMENT MANAGEMENT|CONCORD INVESTMENT MANAGEMENT|667 MADISON AVENUE|19TH FLOOR|NEW YORK NY 10065|USA|||  ||THOMAS P. PENNINO|212-759-6239|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/11/2000|0|0|0|0|0|0
New York Regional Office| 111979|801-51855|PLEXUS PLAN SPONSOR GROUP, INC.|PLEXUS PLAN SPONSOR GROUP, INC.|380 MADISON AVENUE|4TH FLOOR|NEW YORK NY 10017|USA|||  ||LAURIE BENNETT|212-444-6357|Corporation|Pension consulting services, Other|APPROVED|03/24/1996|0|3|3|0|0|0
New York Regional Office| 111984|801-60165|GALLATIN & COMPANY, LLC|GALLATIN & COMPANY, LLC|65 SOUTH BROADWAY||TARRYTOWN NY 10591|USA|||  ||DONALD L. TWISS|914-909-3951|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|04/06/2001|0|0|0|0|0|0
New York Regional Office| 111987|801-58135|RAAB & MOSKOWITZ ASSET MANAGEMENT LLC|RAAB & MOSKOWITZ ASSET MANAGEMENT LLC|10 TOWNSQUARE|SUITE 100|CHATHAM NJ 07928|USA|P.O. BOX 358||BERKELEY HEIGHTS NJ 07922|USA|DANIEL H. MOSKOWITZ|(973) 635-8889|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Other|APPROVED|12/05/2000|0|0|0|0|0|0
New York Regional Office| 111998|801-14169|STUYVESANT CAPITAL MANAGEMENT CORPORATION|STUYVESANT CAPITAL MANAGEMENT CORPORATION|200 BUSINESS PARK DR.|STE. 300|ARMONK NY 10504|U.S.A.|||  ||KATHY MCLOUGHLIN|914-219-3010|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|11/16/1978|0|1|0|0|0|0
New York Regional Office| 112005|801-46297|MANNING & NAPIER ALTERNATIVE OPPORTUNITIES, INC.|MANNING & NAPIER ALTERNATIVE OPPORTUNITIES, INC.|290 WOODCLIFF DRIVE||FAIRPORT NY 14450|USA|||  ||BRENDA F. OATHOUT|585-325-6880|Corporation|Selection of other advisers, Other|APPROVED|05/20/1994|0|0|0|0|0|0
New York Regional Office| 112017|801-57599|PORTFOLIO CONSULTING GROUP INC|PORTFOLIO CONSULTING GROUP INC|6575 KIRKVILLE ROAD||EAST SYRACUSE NY 13057|USA|P.O. BOX 10||EAST SYRACUSE NY 13057|USA|GILBERT LYNAGH|315.445.0267|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/19/2000|0|0|0|0|0|0
New York Regional Office| 112020|801-57723|MEAG NEW YORK CORPORATION|MEAG NEW YORK CORPORATION|540 MADISON AVENUE|6TH FLOOR|NEW YORK NY 10022|UNITED STATES|||  ||KERRIS L. WIGFALL|212-583-4835|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/13/2000|0|0|0|0|0|0
New York Regional Office| 112021|801-46534|SARATOGA CAPITAL MANAGEMENT,LLC|SARATOGA CAPITAL MANAGEMENT,LLC|1101 STEWART AVENUE|SUITE 207|GARDEN CITY NY 11530-4808|USA|||  ||BRUCE E. VENTIMIGLIA|516-542-3000|Limited Liability Company|Portfolio management for investment companies, Pension consulting services, Selection of other advisers, Other|APPROVED|05/23/1994|0|0|0|0|0|0
New York Regional Office| 112030|801-60228|UBS TAMARACK MANAGEMENT, L.L.C.|UBS TAMARACK MANAGEMENT, L.L.C.|51 WEST 52ND STREET|23RD FLOOR|NEW YORK NY 10019|USA|||  ||MARA P. GALEANO|201-352-0447|Sole Proprietorship|Portfolio management for investment companies|APPROVED|05/18/2001|0|11|0|0|0|0
New York Regional Office| 112050|801-57997|LUCAS CAPITAL MANAGEMENT, L.L.C.|LUCAS CAPITAL MANAGEMENT, L.L.C.|2 BRIDGE AVE, SUITE 680|THE GALLERIA|RED BANK NJ 07701|USA|||  ||BRETT FLYNN|732-758-1004|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|09/21/2000|0|0|0|0|0|0
New York Regional Office| 112069|801-60305|FOREST FINANCIAL GROUP, LLC|FOREST FINANCIAL GROUP, LLC|406 FOREST AVENUE||STATEN ISLAND NY 10301|USA|||  ||ROBERT P. SISTI|(718) 727-5000|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/01/2001|0|0|0|0|0|0
New York Regional Office| 112192|801-25180|SHENKMAN CAPITAL MANAGEMENT, INC.|SHENKMAN CAPITAL MANAGEMENT, INC.|461 FIFTH AVENUE, 22ND FLR||NEW YORK NY 10017-6283|USA|||  ||RICHARD WEINSTEIN|(212) 867-9090|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|09/06/1985|0|0|0|0|0|0
New York Regional Office| 112215|801-60185|BESSEMER INVESTMENT MANAGEMENT LLC|BESSEMER INVESTMENT MANAGEMENT LLC|630 FIFTH AVENUE||NEW YORK NY 10111|USA|||  ||DON J. ANDREWS|212-708-9156|Limited Liability Company|Portfolio management for investment companies, Other|APPROVED|04/18/2001|0|0|0|0|0|0
New York Regional Office| 112234|801-43072|KEPPLER ASSET MANAGEMENT INC.|KEPPLER ASSET MANAGEMENT INC.|350 WEST 57 STREET SUITE 14 J||NEW YORK NY 10019|USA|||  ||MICHAEL KEPPLER|212-245-4304|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/11/1992|0|0|0|0|0|0
New York Regional Office| 112237|801-45825|MANLEY ASSET MANAGEMENT, L.P.|MANLEY ASSET MANAGEMENT, L.P.|323 MAIN STREET||CHATHAM NJ 07928-2200|USA|||  ||J.LAWRENCE MANLEY|973-665-0475|Limited Liability Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/10/1994|0|0|0|0|0|0
New York Regional Office| 112262|801-61390|INVESTOR SELECT ADVISORS LIMITED|INVESTOR SELECT ADVISORS LIMITED|110 EAST 55TH STREET|14TH FLOOR|NEW YORK NY 10022|USA|||  ||STEPHEN PERRINO|212-744-9100|Corporation|Selection of other advisers, Other|APPROVED|08/13/2002|0|0|0|0|0|0
New York Regional Office| 112265|801-66530|INVESTMENT MANAGEMENT ADVISORS, INC.|INVESTMENT MANAGEMENT ADVISORS, INC.|41 MADISON AVENUE|33RD FLOOR|NEW YORK NY 10010|USA|||  ||M. JOHN STERBA, JR.|212-741-0200|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/03/2006|0|0|0|0|0|0
New York Regional Office| 112266|801-62058|ADVISORS CAPITAL MANAGEMENT, LLC|ADVISORS CAPITAL MANAGEMENT, LLC|WEST 115 CENTURY ROAD||PARAMUS NJ 07652|USA|||  ||KEVIN KERN|201-986-1900|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|05/16/2003|0|0|0|0|0|0
New York Regional Office| 112307|801-60202|RAY MIGNONE & CO., INC.|RAY MIGNONE & CO., INC.|252-81 BRATTLE AVE||LITTLE NECK NY 11362|USA|||  ||RAYMOND MIGNONE|718 229-2514|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|05/04/2001|0|0|0|0|0|0
New York Regional Office| 112326|801-55383|SOUTH STREET ADVISORS, LLC|SOUTH STREET ADVISORS, LLC|369 LEXINGTON AVE.|23RD. FLOOR|NEW YORK NY 10017|USA|||  ||THOMAS CARHART|212-292-7803|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/02/1998|0|0|0|0|0|0
New York Regional Office| 112329|801-56886|FIG ADVISORS LLC|FIG ADVISORS LLC|1345 AVENUE OF THE AMERICAS|46TH FLOOR|NEW YORK NY 10105|USA|||  ||MICHAEL J. COHN|212-479-5294|Limited Liability Company|Portfolio management for investment companies|APPROVED|01/20/2000|0|0|0|0|0|0
New York Regional Office| 112331|801-57084|FORTRESS FUND MM LLC|FORTRESS FUND MM LLC|1345 AVE OF THE AMERICAS|46TH FLOOR|NEW YORK NY 10105|USA|||  ||MICHAEL J. COHN|212-479-5294|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/20/2000|0|0|0|0|0|0
New York Regional Office| 112346|801-64912|PETER J. NAGLE, R.I.A.|PETER J. NAGLE, R.I.A.|57 WILLOW DRIVE||LITTLE SILVER NJ 07739|USA|||  ||PETER J. NAGLE|(732)319-0282|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies|APPROVED|05/01/2006|0|0|0|0|0|0
New York Regional Office| 112356|801-56185|GATES ADVISORS INC|GATES ADVISORS INC|147 EAST 48TH STREET|SECOND FLOOR|NEW YORK NY 10017|USA|||  ||DAVID EDWARD KOLB|212 230-9841|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|02/08/1999|0|1|0|0|0|0
New York Regional Office| 112357|801-66586|FINANCIAL PLANNING ASSOCIATES,INC.|FINANCIAL PLANNING ASSOCIATES, INC.|777 OLD SAW MILL RIVER ROAD SUITE 240||TARRYTOWN NY 10591|USA|||  ||JEFFREY RACHLIN|914-347-8800|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|04/27/2006|0|0|0|0|0|0
New York Regional Office| 112397|801-58123|PEGASUS ASSOCIATES, LLC|PEGASUS ASSOCIATES, LLC|400 RELLA BLVD.|SUITE 157|MONTEBELLO NY 10901|USA|||  ||COURTNEY J. BARBA|845-369-9422|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|01/22/2001|0|1|0|0|0|0
New York Regional Office| 112468|801-60352|LEHMAN BROTHERS PRIVATE EQUITY ADVISERS LLC|LEHMAN BROTHERS PRIVATE EQUITY ADVISERS LLC|399 PARK AVENUE||NEW YORK NY 10022|USA|399 PARK AVENUE|9TH FLOOR|NEW YORK NY 10022|USA|GARRETT S. HO|212-526-3582|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/18/2001|0|0|0|0|0|0
New York Regional Office| 112480|801-32115|FIDUCIARY CAPITAL ADVISORS INC|FIDUCIARY CAPITAL ADVISORS INC|570 WESTFIELD AVE||WESTFIELD NJ 07090|USA|||  ||JOHN BOCHICCHIO|908-233-6665|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|06/20/1988|0|0|0|0|0|0
New York Regional Office| 112496|801-55110|ALPINE WOODS CAPITAL INVESTORS, LLC|ALPINE WOODS CAPITAL INVESTORS, LLC|2500 WESTCHESTER AVENUE|SUITE 215|PURCHASE NY 10577|USA|||  ||SHELDON FLAMM|914-251-0880|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/16/1997|0|0|0|0|0|0
New York Regional Office| 112506|801-60571|FOX FINANCIAL SERVICES, INC.|FOX FINANCIAL SERVICES, INC.|5 WALLER AVENUE, SUITE 305||WHITE PLAINS NY 10601|USA|||  ||ANDREW ROGER FOX|914-761-1639|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|09/12/2001|0|0|0|0|0|0
New York Regional Office| 112526|801-54679|RAFFERTY ASSET MANAGEMENT, LLC|RAFFERTY ASSET MANAGEMENT, LLC|33 WHITEHALL STREET|10TH FLOOR|NEW YORK NY 10004|USA|||  ||DANIEL O'NEILL|646-572-3390|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/25/1997|0|0|0|0|0|0
New York Regional Office| 112554|801-58290|NORTH COUNTRY INVESTMENT ADVISERS, INC.|NORTH COUNTRY INVESTMENT ADVISERS, INC.|C/O GLENS FALLS NATIONAL BANK|250 GLEN STREET|GLENS FALLS NY 12801-2161|USA|250 GLEN STREET|P. O. BOX 2161|GLENS FALLS NY 12801-2161|USA|JOHN E. ARSENAULT|(518)745-1000 X582|Corporation|Portfolio management for investment companies, Selection of other advisers|APPROVED|01/22/2001|0|0|0|0|0|0
New York Regional Office| 112559|801-60223|BNY INVESTMENT ADVISORS|THE BANK OF NEW YORK MELLON|200 PARK AVENUE||NEW YORK NY 10166|USA|||  ||LEONIE L. BURKE|212-922-8055|Other (specify)|Portfolio management for investment companies|APPROVED|05/03/2001|0|2|0|0|0|0
New York Regional Office| 112572|801-57042|MOHAWK ASSET MANAGEMENT INC|MOHAWK ASSET MANAGEMENT INC|1292 GOWER ROAD||SCOTIA NY 12302|USA|||  ||JAMES DENNEY|518-370-0289|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies|APPROVED|12/01/1999|0|0|0|0|0|0
New York Regional Office| 112578|801-55147|WEST SIDE ADVISORS LLC|WEST SIDE ADVISORS LLC|1995 BROADWAY|8TH FLOOR|NEW YORK NY 10023|USA|||  ||RUSSELL DIAMOND|212-712-2100|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/16/1998|0|0|0|0|0|0
New York Regional Office| 112591|801-35273|AUSTIN INVESTMENT MANAGEMENT INC.|AUSTIN INVESTMENT MANAGEMENT INC.|520 MADISON AVENUE|28TH FLOOR|NEW YORK NY 10022|USA|||  ||RHEEMA PIKE|212-461-6316|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/02/1989|0|0|0|0|0|0
New York Regional Office| 112596|801-60645|WHITE RIDGE INVESTMENT ADVISORS LLC|WHITE RIDGE INVESTMENT ADVISORS LLC|ONE BRYANT PARK|6TH FLOOR|NEW YORK NY 10036|USA|||  ||DOUGLAS G. PRESTON|646-313-8269|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/19/2001|0|5|1|0|0|0
New York Regional Office| 112694|801-38795|CONSOLIDATED PORTFOLIO REVIEW CORP|CONSOLIDATED PORTFOLIO REVIEW CORP|152 FOREST AVE||LOCUST VALLEY NY 11560|USA|||  ||MONROE M. DIEFENDORF, JR.|(516) 759-3900|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|12/02/1991|0|0|0|0|0|0
New York Regional Office| 112697|801-61065|AMERICAN PORTFOLIOS ADVISORS, INC|AMERICAN PORTFOLIOS ADVISORS. INC|4250 VETERAN'S MEMORIAL HIGHWAY|4TH. FLOOR, SUITE 420E|HOLBROOK NY 11741|USA|||  ||THOMAS J. LO MANTO|631-439-4600 X127|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|04/08/2002|0|0|0|0|0|0
New York Regional Office| 112703|801-57908|CREDIT SUISSE INDEX CO., INC.|CREDIT SUISSE INDEX CO., INC.|11 MADISON AVENUE, 13TH FLOOR||NEW YORK NY 10010|USA|||  ||ANDREA JOHNSTON|(212) 325-4507|Corporation|Other|APPROVED|09/12/2000|0|68|2|0|0|0
New York Regional Office| 112733|801-12830|WILMERDING MILLER & CO INC|WILMERDING MILLER & CO INC|212 CARNEGIE CENTER|SUITE 106|PRINCETON NJ 08540|USA|||  ||WALTER WILMERDING|609-897-0969|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/09/1978|0|0|0|0|0|0
New York Regional Office| 112737|801-56544|ALLEN G B ASSOCIATES INC.|ALLEN G B ASSOCIATES INC.|140 RT. 17 NORTH|STE. 350|PARAMUS NJ 07652|USA|||  ||GEORGE B. ALLEN|201-262-7878|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|05/26/1999|0|0|0|0|0|0
New York Regional Office| 112739|801-55695|HARTLAND ASSET MANAGEMENT CORP|HARTLAND ASSET MANAGEMENT CORP|9 INVERNESS ROAD||SCARSDALE NY 10583|USA|||  ||LEE SMITH|212-581-4030|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|07/14/1998|0|0|0|0|0|0
New York Regional Office| 112741|801-60306|LAZARD ALTERNATIVES, LLC|LAZARD ALTERNATIVES, LLC|30 ROCKEFELLER PLAZA, 59TH FLOOR||NEW YORK NY 10112|USA|||  ||PAUL, NATHAN A.|212-632-6621|Limited Liability Company|Portfolio management for investment companies, Selection of other advisers|APPROVED|06/12/2001|1|12|0|0|0|0
New York Regional Office| 112753|801-58286|GOLDENTREE ASSET MANAGEMENT LP|GOLDENTREE ASSET MANAGEMENT LP|300 PARK AVENUE||NEW YORK NY 10022|USA|||  ||GEORGE TRAVERS|212-847-3459|Partnership|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/25/2001|0|0|0|0|0|0
New York Regional Office| 112777|801-60304|DB&B FINANCIAL SERVICES, LLC|DB&B FINANCIAL SERVICES, LLC|443 NORTH FRANKLIN STREET, SUITE 100||SYRACUSE NY 13204-1441|USA|||  ||THEODORE JOHN SARENSKI|315-471-9171|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters, Other|APPROVED|06/01/2001|0|0|0|0|0|0
New York Regional Office| 112793|801-57996|SAGE WEALTH MANAGEMENT, INC.|SAGE WEALTH MANAGEMENT, INC.|340 BROADWAY||SARATOGA SPRINGS NY 12866|USA|||  ||JASON H. KURCHNER|(518)583-4000|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Other|APPROVED|10/21/2000|0|0|0|0|0|0
New York Regional Office| 112801|801-56438|ALCATEL-LUCENT INVESTMENT MANAGEMENT CORPORATION|ALCATEL-LUCENT INVESTMENT MANAGEMENT CORPORATION|600 MOUNTAIN AVENUE, 2C-428||MURRAY HILL NJ 07974|USA|||  ||JEANMARIE C. GRISI|908 582-1342|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/07/1999|0|0|0|0|0|0
New York Regional Office| 112825|801-38321|STERLING ASSET MANAGEMENT CO INC|STERLING ASSET MANAGEMENT CO INC|6 EDGEWOOD CIRCLE||MENANDS NY 12204|USA|||  ||DANIEL A. LANZETTA, III|518-449-8200|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/28/1991|0|0|0|0|0|0
New York Regional Office| 112915|801-60294|HADRIAN PARTNERS, LTD.|HADRIAN PARTNERS, LTD.|717 FIFTH AVENUE|9TH FLOOR|NEW YORK NY 10022|USA|||  ||KEVIN J. HALL|212-935-3175|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|05/21/2001|0|0|0|0|0|0
New York Regional Office| 112931|801-31055|SCARBOROUGH CAPITAL CORPORATION|SCARBOROUGH CAPITAL CORPORATION|ONE BRIDGE STREET|SUITE 70|IRVINGTON NY 10533|USA|||  ||DENIS CARDONE|914-591-9200|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|12/07/1987|0|0|0|0|0|0
New York Regional Office| 112951|801-57425|STERLING CAPITAL PLANNERS, INC|STERLING CAPITAL PLANNERS, INC|110 EAST 55TH STREET|SUITE 200|NEW YORK NY 10022|USA|||  ||RAVI VIJAY KOTHARE|212-838-7102|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/07/2000|0|0|0|0|0|0
New York Regional Office| 112973|801-60406|ACCESS WEALTH PLANNING, LLC|ACCESS WEALTH PLANNING, LLC|4 BECKER FARM ROAD|1ST FLOOR|ROSELAND NJ 07068|USA|||  ||TRACY A. HAGBERG|973-740-2400|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|07/01/2001|0|0|0|0|0|0
New York Regional Office| 112994|801-63778|PLANNING CAPITAL MANAGEMENT CORP.|PLANNING CAPITAL MANAGEMENT CORP.|30 S HADDON AVENUE||HADDONFIELD NJ 08033|USA|||  ||RICHARD W BELL JR|856-482-8700|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/19/2005|0|0|0|0|0|0
New York Regional Office| 112998|801-19111|ATLANTIC CAPITAL MANAGEMENT INC.|ATLANTIC CAPITAL MANAGEMENT INC.|100 CORPORATE PARKWAY SUITE 302||AMHERST NY 14226-1200|USA|||  ||WM. DENNIS TOOLE|716-835-8560|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/13/1983|0|0|0|0|0|0
New York Regional Office| 113013|801-60263|ADVENT CAPITAL MANAGEMENT, LLC|ADVENT CAPITAL MANAGEMENT, LLC|1065 AVENUE OF THE AMERICAS|31ST FLOOR|NEW YORK NY 10018|USA|||  ||RODD BAXTER|(212) 482-1600|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/14/2001|0|0|0|0|0|0
New York Regional Office| 113058|801-56497|MENDON CAPITAL ADVISORS CORP|MENDON CAPITAL ADVISORS CORP|150 ALLENS CREEK ROAD||ROCHESTER NY 14618|USA|||  ||AMY SULLIVAN|585-770-1778|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|05/14/1999|0|0|0|0|0|0
New York Regional Office| 113059|801-60284|SINTRA CAPITAL CORP|SINTRA CAPITAL CORP|405 PARK AVENUE, 12 FL||NEW YORK NY 10022|USA|517 GOODWIN DRIVE||RICHARDSON TX 75081|U.S.A.|JOHN H. PINTO|(212) 644-0309|Corporation|Portfolio management for individuals and/or small businesses, Other|APPROVED|05/18/2001|0|0|0|0|0|0
New York Regional Office| 113105|801-60501|UA, LLC|UA, LLC|30 BROAD ST., 31ST FL.||NEW YORK NY 10004|USA|||  ||STEPHANIE CALABRESE|212-612-9100|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/28/2001|0|0|0|0|0|0
New York Regional Office| 113128|801-57576|CULLEN CAPITAL MANAGEMENT, LLC|CULLEN CAPITAL MANAGEMENT, LLC|645 FIFTH AVENUE|7TH FLOOR|NEW YORK NY 10022|USA|||  ||STEVEN M. MULLOOLY|212-644-1800|Limited Liability Company|Portfolio management for investment companies|APPROVED|05/31/2000|0|0|0|0|0|0
New York Regional Office| 113215|801-53950|SPIELBERGER DAMPF BRILL & LEVINE LLC|SPIELBERGER DAMPF BRILL & LEVINE LLC|500 NORTH BROADWAY SUITE 223||JERICHO NY 11753|USA|||  ||MARK SPIELBERGER|516.433.3100|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|02/25/1997|0|0|0|0|0|0
New York Regional Office| 113246|801-60414|AVENUE ASIA CAPITAL MANAGEMENT, L.P.|AVENUE ASIA CAPITAL MANAGEMENT, L.P.|535 MADISON AVENUE, 15TH FLOOR||NEW YORK CITY NY 10022|USA|||  ||SONIA GARDNER|212-850-7519|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/13/2001|1|0|0|0|0|0
New York Regional Office| 113324|801-60376|NOMURA FUNDS RESEARCH AND TECHNOLOGIES AMERICA INC.|NOMURA FUNDS RESEARCH AND TECHNOLOGIES AMERICA INC.|2 WORLD FINANCIAL CENTER, BLDG. B||NEW YORK NY 10281-1198|USA|||  ||STEVEN ZORIC|212-667-9787|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters, Other|APPROVED|07/06/2001|2|20|0|0|0|0
New York Regional Office| 113357|801-60359|COVINGTON & ASSOCIATES, INC.|COVINGTON & ASSOCIATES, INC.|597 WESTFIELD AVE||WESTFIELD NJ 07090|USA|||  ||HUGH RICHARD COVINGTON II|908-232-4717|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/20/2001|0|0|0|0|0|0
New York Regional Office| 113358|801-57341|WATER ISLAND CAPITAL, LLC|JOHN SABBOTT ORRICO|41 MADISON AVENUE|SUITE 2802|NEW YORK NY 10010|USA|||  ||MATTHEW HEMBERGER|212-584-2367|Limited Liability Company|Portfolio management for investment companies|APPROVED|03/17/2000|0|0|0|0|0|0
New York Regional Office| 113359|801-29862|BEAR STEARNS ASSET MANAGEMENT INC|BEAR STEARNS ASSET MANAGEMENT INC|237 PARK AVENUE||NEW YORK NY 10017|U.S.A.|115 SOUTH JEFFERSON ROAD|ATTN: BRUCE KARP|WHIPPANY NJ 07981|U.S.A.|PETER A. KENNEDY|212-272-1733|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|06/18/1987|0|44|2|0|0|0
New York Regional Office| 113376|801-60404|BOLTER & COMPANY, LLC|BOLTER & COMPANY, LLC|226 SEVENTH STREET|SUITE 202|GARDEN CITY NY 11530|USA|||  ||VICTORIA A. MCCANN|516-873-8650|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/13/2001|0|0|0|0|0|0
New York Regional Office| 113380|801-63963|HARPER ASSOCIATES, LLC|HARPER ASSOCIATES, LLC|120 W. OLD COUNTRY ROAD||HICKSVILLE NY 11801-4084|USA|||  ||MARTIN HARPER|516-433-3171|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|02/18/2005|0|0|0|0|0|0
New York Regional Office| 113419|801-60655|CREDIT AGRICOLE STRUCTURED ASSET MANAGEMENT ADVISERS LLC|CREDIT AGRICOLE STRUCTURED ASSET MANAGEMENT ADVISERS LLC|1301 AVENUE OF THE AMERICAS|38TH FLOOR|NEW YORK NY 10019|USA|||  ||SAMANTHA RICK|212-603-5039|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|10/26/2001|1|5|1|0|0|0
New York Regional Office| 113423|801-61104|AMAS SECURITES, INC.|AMAS SECURITES, INC.|520 MADISON AVENUE|40TH FLOOR|NEW YORK NY 10022|USA|||  ||ROBERT NEUER|212-355-0755|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/24/2002|0|0|1|0|0|0
New York Regional Office| 113441|801-68013|SUSTAINABLE ASSET MANAGEMENT USA, INC.|SUSTAINABLE ASSET MANAGEMENT USA, INC.|909 THIRD AVENUE|32ND FLOOR|NEW YORK NY 10022|USA|||  ||WILLIAM G. BUTTERLY, III|212-908-0443|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/20/2007|0|0|0|0|0|0
New York Regional Office| 113499|801-60436|PEGASUS GROUP, LLC|PEGASUS GROUP, LLC|400 RELLA BLVD.|SUITE 157|MONTEBELLO NY 10901|USA|||  ||COURTNEY J. BARBA|845-369-9422|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|07/31/2001|0|1|0|0|0|0
New York Regional Office| 113579|801-60858|SAR SERVICES, INC.|SAR SERVICES, INC.|208 WESTFALL ROAD||ROCHESTER NY 14620-4679|USA|||  ||ROGER M. RAMSAY|585-473-3750|Corporation|Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|01/18/2002|0|0|0|0|0|0
New York Regional Office| 113598|801-60349|ASSET ALLIANCE ADVISORS INC.|ASSET ALLIANCE ADVISORS INC.|800 THIRD AVENUE, 22ND FL.||NEW YORK NY 10022|USA|||  ||ALTEMIS DORVILLE|212-207-8786|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|06/13/2001|0|0|0|0|0|0
New York Regional Office| 113609|801-60423|DSM CAPITAL PARTNERS|DSM CAPITAL PARTNERS LLC|320 EAST MAIN STREET||MT. KISCO NY 10549|USA|||  ||STEPHEN E. MEMISHIAN|914.242.1900|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/13/2001|0|0|0|0|0|0
New York Regional Office| 113631|801-63039|CONCORDIA ADVISORS L.L.C.|CONCORDIA ADVISORS L.L.C.|1350 AVENUE OF THE AMERICAS|SUITE 3202|NEW YORK NY 10019|USA|||  ||KENNETH J. CARROLL|212-389-6309|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|04/29/2004|0|1|0|0|0|0
New York Regional Office| 113638|801-8948|WILKINSON OGRADY & CO. INC.|WILKINSON OGRADY & CO. INC.|499 PARK AVENUE|7TH FLOOR|NEW YORK NY 10022|USA|||  ||CHARLES C. WILKINSON|(212) 644 5252|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|12/22/1972|0|0|0|0|0|0
New York Regional Office| 113648|801-60622|CONRAD CAPITAL MANAGEMENT, INC.|CONRAD CAPITAL MANAGEMENT, INC.|425 BROADHOLLOW RD|SUITE 116|MELVILLE NY 11747|USA|||  ||HAMMID FIROOZEH|631-439-7878|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|10/16/2001|0|0|0|0|0|0
New York Regional Office| 113661|801-60620|E CAPITAL MANAGEMENT L.P.|E CAPITAL MANAGEMENT L.P.|375 PARK AVENUE SUITE 2800||NEW YORK NY 10152|USA|||  ||TINIKA M. BROWN|(212) 891-8625|Partnership|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|10/03/2001|0|0|0|0|0|0
New York Regional Office| 113673|801-60388|ANALYTIC ASSET MANAGEMENT, INC.|ANALYTIC ASSET MANAGEMENT, INC.|275 MADISON AVENUE|SUITE 1300|NEW YORK NY 10016-1101|USA|||  ||TAYLOR T. GRAY|646.710.3360|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/29/2001|0|0|0|0|0|0
New York Regional Office| 113714|801-61077|10-15 ASSOCIATES|OSCAN ASSOCIATES, INC.|168 MAIN STREET||GOSHEN NY 10924|USA|||  ||DEBORAH DEMATTEO|845-294-2080|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/10/2002|0|0|0|0|0|0
New York Regional Office| 113736|801-60467|CREDIT SUISSE GLOBAL OPPORTUNITIES ADVISORS LLC|CREDIT SUISSE GLOBAL OPPORTUNITIES ADVISORS LLC|11 MADISON AVENUE, 16TH FLOOR||NEW YORK NY 10010|USA|||  ||ANDREA JOHNSTON|212-325-4507|Limited Liability Company|Other|APPROVED|08/24/2001|0|16|1|0|0|0
New York Regional Office| 113742|801-28490|FX CONCEPTS INC.|FX CONCEPTS INC.|225 W. 34TH ST. SUITE 710||NEW YORK NY 10122|USA|||  ||HUGH J. TILNEY|212-554-6800|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|12/11/1986|0|0|0|0|0|0
New York Regional Office| 113755|801-58075|TRADITION CAPITAL MANAGEMENT LLC|TRADITION CAPITAL MANAGEMENT LLC|129 SUMMIT AVENUE||SUMMIT NJ 07901|USA|||  ||MICHAEL C. PROVINE|908-598-0909|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/31/2000|0|0|0|0|0|0
New York Regional Office| 113832|801-60387|ALTMAN INVESTMENT MANAGEMENT LLC|ALTMAN INVESTMENT MANAGEMENT LLC|34 CHAMBERS STREET||PRINCETON NJ 08542|USA|||  ||PETER J. ALTMAN|609-252-0048|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|07/10/2001|0|0|0|0|0|0
New York Regional Office| 113851|801-58039|MKP CAPITAL MANAGEMENT, L.L.C.|MKP CAPITAL MANAGEMENT, L.L.C.|600 LEXINGTON AVENUE|18TH FLOOR|NEW YORK NY 10022|USA|||  ||PATRICIA ALCAMO|212-303-7100|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|10/23/2000|0|0|0|0|0|0
New York Regional Office| 113918|801-60455|EMERALD RESEARCH CORP.|EMERALD RESEARCH CORPORATION|16 RIMWOOD LANE||COLTS NECK NJ 07722|USA|||  ||PETER J. LENCKI|732-842-3465|Corporation|Portfolio management for investment companies|APPROVED|08/03/2001|0|1|0|0|0|0
New York Regional Office| 113926|801-60470|HUDSON CANYON INVESTMENT COUNSELORS LLC|HUDSON CANYON INVESTMENT COUNSELORS LLC|15 EXCHANGE PLACE|SUITE 1010|JERSEY CITY NJ 07302|USA|||  ||JOSEPH CAJIGAL|201 3329800|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/10/2001|0|0|0|0|0|0
New York Regional Office| 114046|801-62326|HFH PLANNING INC.|HFH PLANNING INC.|75 MAIDEN LANE, SUITE 605||NEW YORK NY 10038|USA|||  ||HENRY F. HANAU|212-402-5444|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|09/16/2003|0|0|0|0|0|0
New York Regional Office| 114238|801-60563|ASHFORD ADVISORS, LLC|ASHFORD ADVISORS, LLC|30 B GROVE STREET||PITTSFORD NY 14534|USA|||  ||PATRICK D. MARTIN|585-697-0362|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|09/10/2001|0|0|0|0|0|0
New York Regional Office| 114444|801-68301|MAGNET INVESTMENT GROUP LLC|MAGNET INVESTMENT GROUP LLC|1201 SUSSEX TURNPIKE||RANDOLPH NJ 07869|USA|||  ||JORDAN L. KIMMEL|973-895-4444|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies|APPROVED|08/28/2007|0|0|0|0|0|0
New York Regional Office| 114494|801-61362|PARSONS CAPITAL MANAGEMENT, LLC|PARSONS CAPITAL MANAGEMENT, LLC|1225 RT. 31 SOUTH BUILDING A|SUITE 112|LEBANON NJ 08833|USA|||  ||RUSSELL J. PARSONS|908-730-0011|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|08/02/2002|0|0|0|0|0|0
New York Regional Office| 114673|801-32082|NOVOS PLANNING ASSOCIATES INC|NOVOS PLANNING ASSOCIATES INC|28 WEST 44TH STREET|SUITE 709|NEW YORK NY 10036|USA|||  ||MADELINE I. NOVECK|212-355-1806|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/20/1988|0|0|0|0|0|0
New York Regional Office| 114687|801-61280|SEGAL ADVISORS, INC.|SEGAL ADVISORS, INC.|ONE PARK AVENUE||NEW YORK NY 10016|USA|||  ||JANET WATSON|212-251-5138|Corporation|Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters, Other|APPROVED|10/02/2002|0|0|0|0|0|0
New York Regional Office| 114716|801-60568|BLACKSTONE MANAGEMENT PARTNERS IV L.L.C.|BLACKSTONE MANAGEMENT PARTNERS IV L.L.C.|345 PARK AVENUE||NEW YORK NY 10154|USA|||  ||ROBERT L. FRIEDMAN|212-583-5268|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/13/2001|0|1|1|0|0|0
New York Regional Office| 114742|801-60487|DLJ GROWTH CAPITAL, INC.|DLJ GROWTH CAPITAL, INC.|11 MADISON AVENUE, 16TH FLOOR||NEW YORK NY 10010|USA|||  ||ANDREA JOHNSTON|212-325-4507|Corporation|Other|APPROVED|09/06/2001|0|8|1|0|0|0
New York Regional Office| 114753|801-37533|THE PORTFOLIO STRATEGY GROUP, INC.|THE PORTFOLIO STRATEGY GROUP, INC.|81 MAIN STREET|SUITE 122|WHITE PLAINS NY 10601|USA|||  ||RICHARD YOKEN|914-328-6660|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|09/28/1990|0|0|0|0|0|0
New York Regional Office| 114775|801-61235|PROSPERO CAPITAL MANAGEMENT,LLC|PROSPERO CAPITAL MANAGEMENT,LLC|WALL STREET PLAZA|88 PINE STREET, 31ST FLOOR|NEW YORK NY 10005|USA|||  ||BENJAMIN J. BORNSTEIN|(212) 495-5207|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/10/2002|0|0|0|0|0|0
New York Regional Office| 114915|801-60646|REDICAN ASSET MANAGEMENT|REDICAN ASSET MANAGEMENT|230 PARK AVENUE - 7TH FLOOR||NEW YORK NY 10169|USA|||  ||FRANCIS W. REDICAN|212 499 2451|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|10/16/2001|0|1|0|0|0|0
New York Regional Office| 114951|801-60490|FIEN CAPITAL MANAGEMENT, LLC|FIEN CAPITAL MANAGEMENT, LLC|110 ALLENS CREEK ROAD||ROCHESTER NY 14618|USA|||  ||MARK FIEN|585-271-8910|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/17/2001|0|0|0|0|0|0
New York Regional Office| 115122|801-61925|CORNERSTONE PROFESSIONAL ADVISOR SERVICES, LLC|CORNERSTONE PROFESSIONAL ADVISOR SERVICES, LLC|9 ENDO BLVD.||GARDEN CITY NY 11530|USA|||  ||STEVEN MADONNA|516-466-1119|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/26/2002|0|0|0|0|0|0
New York Regional Office| 115559|801-44737|AMERICAN FINANCIAL & TAX STRATEGIES, INC.|AMERICAN FINANCIAL & TAX STRATEGIES, INC.|1650 BROADWAY|SUITE 1405|NEW YORK NY 10019|USA|||  ||ROBERT J BRAGLIA|212-315-0345|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|10/06/1993|0|0|0|0|0|0
New York Regional Office| 115698|801-60602|OVERLOOK ADVISORS, LLC|OVERLOOK ADVISORS, LLC|324 UPPER BYRDCLIFFE ROAD||WOODSTOCK NY 12498|USA|PO BOX 549||WOODSTOCK NY 12498|USA|HELEN HAMADA|845-679-9166|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/27/2001|0|0|0|0|0|0
New York Regional Office| 115754|801-60639|AGRI-INVEST, LLC|ROCKBRIDGE INVESTMENT MANAGEMENT, LLC|101 SOUTH SALINA STREET|SUITE 750|SYRACUSE NY 13202|USA|||  ||CRAIG A BUCKHOUT|315-476-8201|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/18/2001|0|0|0|0|0|0
New York Regional Office| 115987|801-60906|ADVANTAGE ADVISERS, L.L.C.|ADVANTAGE ADVISERS, L.L.C.|200 PARK AVENUE|24TH FLOOR|NEW YORK NY 10166|USA|||  ||DEBORAH KABACK|212-667-4395|Limited Liability Company|Portfolio management for investment companies|APPROVED|02/08/2002|0|3|0|0|0|0
New York Regional Office| 116357|801-60776|HILTON CAPITAL MANAGEMENT, LLC|HILTON CAPITAL MANAGEMENT, LLC|59 HILTON AVENUE||GARDEN CITY NY 11530|USA|||  ||BARBARA J. MARTENS|516-535-3828|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/02/2002|0|1|0|0|0|0
New York Regional Office| 116405|801-60784|JEFFERY ASSET MANAGEMENT LLC|JEFFERY ASSET MANAGEMENT LLC|575 LEXINGTON AVENUE|SUITE 400|NEW YORK NY 10022|USA|||  ||JAMES P. JEFFERY|212-527-7580|Limited Liability Company|Portfolio management for individuals and/or small businesses, Other|APPROVED|01/09/2002|0|0|0|0|0|0
New York Regional Office| 116421|801-60656|FOX ASSET MANAGEMENT LLC|FOX ASSET MANAGEMENT LLC|331 NEWMAN SPRINGS ROAD|SUITE 122|RED BANK NJ 07701|USA|||  ||MATTHEW VILLA|732-747-6345|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/31/2001|0|0|0|0|0|0
New York Regional Office| 116776|801-61010|NEW YORK LIFE CAPITAL PARTNERS|NYLCAP MANAGER LLC|51 MADISON AVENUE, 16TH FLOOR||NEW YORK NY 10010|USA|||  ||ALISON MICUCCI|973-394-4464|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/05/2002|0|50|4|0|0|0
New York Regional Office| 116837|801-60715|NORDEA INVESTMENT MANAGEMENT NORTH AMERICA, INC.|NORDEA INVESTMENT MANAGEMENT NORTH AMERICA, INC.|437 MADISON AVENUE|22ND FLOOR|NEW YORK NY 10022|USA|||  ||JARRETT SINGER|212-603-6952|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/20/2001|0|0|0|0|0|0
New York Regional Office| 116850|801-60663|VALUEWORKS, LLC|VALUEWORKS LLC|1450 BROADWAY|42ND FLOOR|NEW YORK CITY NY 10018|USA|||  ||CHARLES LEMONIDES|212-819-1818|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|10/26/2001|0|0|0|0|0|0
New York Regional Office| 116884|801-60737|ALLIANZ ALTERNATIVE ASSET MANAGEMENT U.S. LLC|ALLIANZ ALTERNATIVE ASSET MANAGEMENT U.S. LLC|1345 AVENUE OF THE AMERICAS|47TH FLOOR|NEW YORK NY 10105|USA|1345 AVENUE OF THE AMERICAS|47TH FLOOR|NEW YORK NY 10105|USA|NANCY MORRIS|(212) 739-3216|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|11/29/2001|0|0|1|0|0|0
New York Regional Office| 116959|801-60908|TAG ASSOCIATES LLC|TAG ASSOCIATES LLC|75 ROCKEFELLER PLAZA|9TH FLOOR|NEW YORK NY 10019|USA|||  ||STANLEY H. PANTOWICH|212 275 1600|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|01/01/2002|0|0|0|0|0|0
New York Regional Office| 116974|801-60774|MSVP 2002, INC.|MSVP 2002, INC.|1221 AVENUE OF THE AMERICAS|39TH FLOOR, ATTN:  DEBRA ABRAMOVITZ|NEW YORK NY 10020|USA|||  ||AGATHA T. RUDDY|212-762-6190|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/09/2002|0|0|1|0|0|0
New York Regional Office| 117029|801-60683|MEZZACAPPA INVESTORS, LLC|MEZZACAPPA INVESTORS, LLC|630 FIFTH AVENUE|SUITE 2600|NEW YORK NY 10111-0342|USA|||  ||CHRISTOPHER S. NAGLE|212-332-1831|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/21/2001|0|0|0|0|0|0
New York Regional Office| 117035|801-60730|LEHMAN BROTHERS ALTERNATIVE INVESTMENT MANAGEMENT LLC|LEHMAN BROTHERS ALTERNATIVE INVESTMENT MANAGEMENT LLC|399 PARK AVENUE||NEW YORK NY 10022|USA|399 PARK AVENUE|5TH FLOOR|NEW YORK NY 10022|USA|KEISHA AUDAIN-PRESSLEY|212-526-7062|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|11/30/2001|0|9|3|0|0|0
New York Regional Office| 117172|801-60732|HBOS INVESTMENT ADVISOR INC.|HBOS INVESTMENT ADVISOR INC.|1095 AVENUE OF THE AMERICAS||NEW YORK NY 10036|USA|||  ||MICHAEL N. OBOLENSKY|(212)450-0843|Corporation|Other|APPROVED|11/29/2001|0|0|0|0|0|0
New York Regional Office| 117198|801-27265|ROCHDALE INVESTMENT MANAGEMENT|ROCHDALE INVESTMENT MANAGEMENT LLC|570 LEXINGTON AVE.|9TH FLOOR|NEW YORK NY 10022|USA|||  ||BARBARA MATIN HAWKESWORTH|212-702-3567|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/20/1986|0|0|0|0|0|0
New York Regional Office| 117232|801-64472|NIXON PEABODY FINANCIAL ADVISORS LLC|NIXON PEABODY FINANCIAL ADVISORS LLC|1100 CLINTON SQUARE||ROCHESTER NY 14604|USA|||  ||JASON TORRES|(585) 263-1499|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|07/18/2005|0|0|0|0|0|0
New York Regional Office| 117307|801-60710|WHITNEY & COMPANY|W.G.SHAHEEN & ASSOCIATES,LTD.|311 ALEXANDER STREET|SUITE 200|ROCHESTER NY 14604|USA|1164 APPIAN DRIVE||WEBSTER NY 14580|USA|WILLIAM G. SHAHEEN|(585)-232-6200|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|10/15/2001|0|0|0|0|0|0
New York Regional Office| 117384|801-60684|FRANKLIN TEMPLETON INSTITUTIONAL, LLC|FRANKLIN TEMPLETON INSTITUTIONAL, LLC|600 FIFTH AVENUE||NEW YORK NY 10020|USA|||  ||BREDA M. BECKERLE|(212) 632-3025|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|11/13/2001|0|3|2|0|0|0
New York Regional Office| 117516|801-60708|PHOENIX ADVISORS LLC|PHOENIX ADVISORS LLC|150 EAST 52ND ST, 19TH FL||NEW YORK NY 10022|USA|||  ||PATRICK BLUM|212-759-5888|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/16/2001|0|1|0|0|0|0
New York Regional Office| 117773|801-61080|ARDEN ASSET MANAGEMENT LLC|ARDEN ASSET MANAGEMENT LLC|375 PARK AVENUE|32ND FLOOR|NEW YORK NY 10152|USA|||  ||THOMAS G. KENNEDY|212-659-3406|Limited Liability Company|Other|APPROVED|04/15/2002|0|0|0|0|0|0
New York Regional Office| 117827|801-60745|GUGGENHEIM INVESTMENT MANAGEMENT, LLC|GUGGENHEIM INVESTMENT MANAGEMENT, LLC|135 EAST 57TH STREET|7TH FLOOR|NEW YORK NY 10022|USA|||  ||TODD BOEHLY|212-651-9450|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/04/2001|0|0|0|0|0|0
New York Regional Office| 117884|801-60790|OVERBROOK MANAGEMENT CORPORATION|OVERBROOK MANAGEMENT CORPORATION|122 EAST 42ND STREET|SUITE 2500|NEW YORK NY 10168-2500|USA|||  ||MARY J. GRECCO|212-661-8710|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|12/21/2001|0|0|0|0|0|0
New York Regional Office| 117985|801-61554|SPARX INVESTMENT & RESEARCH, USA, INC.|SPARX INVESTMENT & RESEARCH, USA, INC.|360 MADISON AVENUE|24TH FLOOR|NEW YORK NY 10017-7111|USA|||  ||KEVIN T. MEDINA|212.452.5000|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/29/2002|0|0|0|0|0|0
New York Regional Office| 118045|801-60853|CBG INVESTMENT ADVISORS, INC.|CBG INVESTMENT ADVISORS, INC.|500 MAMARONECK AVENUE||HARRISON NY 10528|USA|||  ||JOELLE ARACTINGI-WEISS|914-777-5043|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/23/2002|1|1|0|0|0|0
New York Regional Office| 118059|801-60773|ALKEON CAPITAL MANAGEMENT|ALKEON CAPITAL MANAGEMENT, LLC|350 MADISON AVENUE|9TH FLOOR|NEW YORK NY 10017|USA|||  ||GREG JAKUBOWSKY|212-389-8710|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/13/2001|0|0|0|0|0|0
New York Regional Office| 118158|801-66087|BENEFIT SOURCES & SOLUTIONS|SCOTT RAPPOPORT CLU,CHFC,INC.|1952 ROUTE 22 EAST||BOUND BROOK NJ 08805|USA|||  ||HOWARD STOLZER|732-560-1010|Corporation|Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|05/30/2006|0|0|0|0|0|0
New York Regional Office| 118242|801-60860|RMAS, INC.|RISK MANAGEMENT ADVISORY SERVICES, INC.|237 S. BLACK HORSE PIKE||MT. EPHRAIM NJ 08059|USA|||  ||KATHLEEN E. SCHROEDER|856-933-2225|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|01/18/2002|0|0|0|0|0|0
New York Regional Office| 118315|801-61036|BURNS MATTESON CAPITAL MANAGEMENT|BURNS MATTESON CAPITAL MANAGEMENT|42 E. MARKET ST.||CORNING NY 14830|USA|||  ||WILLIAM BURNS JR.|607-937-9282|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|03/25/2002|0|0|0|0|0|0
New York Regional Office| 118333|801-61004|SILVERCREST ASSET MANAGEMENT GROUP LLC|SILVERCREST ASSET MANAGEMENT GROUP LLC|1330 AVENUE OF THE AMERICAS||NEW YORK NY 10019-5400|USA|||  ||JAMES M. ROBINSON, IV|(212) 649-0623|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/19/2002|0|2|0|0|0|0
New York Regional Office| 118357|801-60808|SUFFOLK CAPITAL MANAGEMENT|SUFFOLK CAPITAL MANAGEMENT LLC|1633 BROADWAY|40TH FLOOR|NEW YORK NY 10019|USA|||  ||DON GILBERT|212-247-2160|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/21/2001|0|0|0|0|0|0
New York Regional Office| 118544|801-60820|MAIN STREET INVESTMENT ADVISORS, LLC|MAIN STREET INVESTMENT ADVISORS, LLC|70 E. MAIN STREET||MOORESTOWN NJ 08057|USA|||  ||JOE ROMAN|856-234-3550|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers, Other|APPROVED|12/21/2001|0|0|0|0|0|0
New York Regional Office| 118551|801-60870|GERSTEIN, FISHER & ASSOCIATES, INC.|GERSTEIN, FISHER & ASSOCIATES, INC.|100 WILLIAM STREET|SUITE 1825|NEW YORK NY 10038|USA|||  ||GREGG S. FISHER|212-968-0707|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Publication of periodicals or newsletters, Other|APPROVED|01/01/2002|0|0|0|0|0|0
New York Regional Office| 118553|801-66574|KNICKERBOCKER ADVISORS INC.|KNICKERBOCKER ADVISORS INC.|45 JOHNNY CAKE HOLLOW ROAD|P.O. BOX 312|PINE PLAINS NY 12567|USA|POST OFFICE BOX 312||PINE PLAINS NY 12567|USA|JOHN HENRY LOW|518-398-9000|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/11/2006|0|0|0|0|0|0
New York Regional Office| 118608|801-61046|ORBIMED ADVISORS, LLC|ORBIMED ADVISORS, LLC|767 3RD AVENUE|30TH FLOOR|NEW YORK NY 10017|USA|||  ||ERIC A. BITTELMAN|212-739-6400|Limited Liability Company|Portfolio management for investment companies, Other|APPROVED|04/22/2002|0|0|0|0|0|0
New York Regional Office| 118851|801-60889|HANLON INVESTMENT MANAGEMENT, INC.|HANLON INVESTMENT MANAGEMENT, INC.|3393 BARGAINTOWN ROAD|SUITE 200|EGG HARBOR TWP. NJ 08234|USA|||  ||JOHN "SEAN" J. HANLON IV|609-601-1200|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/11/2002|0|2|0|0|0|0
New York Regional Office| 118884|801-60864|KDC INVESTMENT MANAGEMENT, LP|KDC INVESTMENT MANAGEMENT, LP|900 3RD AVE STE 1000||NEW YORK NY 10022|MANHATTAN|||  ||GLEN M. FRIEDMAN|212-350-0262|Partnership|Other|APPROVED|01/22/2002|0|0|0|0|0|0
New York Regional Office| 118910|801-61208|SANDERSON & COMPANY INVESTMENT CONSULTANTS, LLC|SANDERSON & COMPANY INVESTMENT CONSULTANTS, LLC|750 KEY TOWER|50 FOUNTAIN PLAZA|BUFFALO NY 14202|USA|||  ||BRIAN M. GEARY|(716) 566-2407|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|05/28/2002|0|0|0|0|0|0
New York Regional Office| 118945|801-68026|CANTY FINANCIAL MANAGEMENT, INC.|CANTY FINANCIAL MANAGEMENT, INC.|20 CHURCH AVE.||BALLSTON SPA NY 12020|USA|||  ||WILLIAM CANTY|518-885-3230|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/14/2007|0|0|0|0|0|0
New York Regional Office| 118958|801-58058|GFC ADVISERS CORP.|GFC ADVISERS CORP.|2 WALL STREET||NEW YORK NY 10005|USA|||  ||FRANCESCO CONFUORTI|212-3448999|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/05/2000|0|0|0|0|0|0
New York Regional Office| 118961|801-46920|EAMES FINANCIAL|HIGLEY, JAMES, W.|2 TWOMBLY COURT||MORRISTOWN NJ 07960|USA|||  ||JAMES W. HIGLEY|973-539-2855|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/12/1994|0|0|0|0|0|0
New York Regional Office| 118968|801-60898|STEINBERG ASSET MANAGEMENT, LLC|STEINBERG ASSET MANAGEMENT, LLC|12 EAST 49TH STREET||NEW YORK NY 10017|USA|||  ||JOSEPH SPANIER|212-980-0080|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/01/2002|0|0|0|0|0|0
New York Regional Office| 118969|801-60981|VOSKIAN CAPITAL MANAGEMENT|VOSKIAN CAPITAL MANAGEMENT & COMPANY, INC.|625 NORTH MAPLE AVE.||HOHOKUS NJ 07423|USA|||  ||MICHAEL J. VOSKIAN|201-652-0080|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies|APPROVED|03/01/2002|0|0|0|0|0|0
New York Regional Office| 118975|801-63184|JG ADVISORS, LLC|JG ADVISORS, LLC|38 LAURA LANE||MORRISTOWN NJ 07960|USA|||  ||JO-ANN GALLERSTEIN|973.605.1045|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|06/04/2004|0|0|0|0|0|0
New York Regional Office| 119008|801-60909|TRINITY INVESTMENT ADVISORS, INC.|TRINITY INVESTMENT ADVISORS, INC.|708 THIRD AVENUE|6TH FLOOR|NEW YORK NY 10017-4119|USA|||  ||ELIZABETH MELTON KILLGORE|212-209-3890|Corporation|Pension consulting services, Selection of other advisers|APPROVED|02/07/2002|0|0|0|0|0|0
New York Regional Office| 119043|801-61480|WILLIAMS CAPITAL MANAGEMENT, LLC|WILLIAMS CAPITAL MANAGEMENT, LLC|570 7TH AVE.|SUITE 504|NEW YORK NY 10018|USA|||  ||SHAYNA MALNAK|212-461-6017|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/20/2002|0|2|0|0|0|0
New York Regional Office| 119103|801-64036|FLOWERS CAPITAL MANAGEMENT, INC.|FLOWERS CAPITAL MANAGEMENT, INC.|97 GROTON STREET||FOREST HILLS NY 11375|USA|||  ||CYNTHIA FAUN FLOWERS|718-575-3306|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/04/2005|0|0|0|0|0|0
New York Regional Office| 119110|801-58016|HERON CAPITAL MANAGEMENT, INC.|HERON CAPITAL MANAGEMENT, INC.|670 WEST END AVENUE|14TH FLOOR|NEW YORK NY 10025|USA|||  ||DAVID EDWARDS|212 595-9482|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|10/06/2000|0|0|0|0|0|0
New York Regional Office| 119111|801-68738|JBGLOBAL.COM LLC|JBGLOBAL.COM LLC|419 LAFAYETTE STREET|2ND FLOOR|NEW YORK NY 10003|USA|||  ||JAMES BERMAN|212-388-9873|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters, Other|APPROVED|01/25/2008|0|0|0|0|0|0
New York Regional Office| 119126|801-61805|SPRING MOUNTAIN CAPITAL, LP|SPRING MOUNTAIN CAPITAL, LP|65 E. 55TH STREET|33RD FLOOR|NEW YORK NY 10022|USA|||  ||AARON D. DE ANGELIS|212-292-7050|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/18/2003|0|0|0|0|0|0
New York Regional Office| 119128|801-60947|EMMES ASSET MANAGEMENT CO. LLC|EMMES ASSET MANAGEMENT CO. LLC|420 LEXINGTON AVENUE, SUITE 900||NEW YORK NY 10170|USA|||  ||GARY M. TISCHLER|212-293-8907|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|02/25/2002|0|0|0|0|0|0
New York Regional Office| 119146|801-60924|PILOT ADVISORS, L.P.|PILOT ADVISORS, L.P.|605 THIRD AVENUE|19TH FLOOR|NEW YORK NY 10158|USA|||  ||FRANK BISK|212-476-9066|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/25/2002|0|0|0|0|0|0
New York Regional Office| 119179|801-62770|FIRST ATLAS CAPITAL, INC.|FIRST ATLAS CAPITAL, INC.|645 FIFTH AVENUE|#18TH FLOOR|NEW YORK NY 10022|USA|||  ||SUSAN WEBB|212-546-6281|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/01/2004|0|0|0|0|0|0
New York Regional Office| 119183|801-64486|PROSPER ADVISORS LLC|PROSPER ADVISORS LLC|145 BEDFORD ROAD|SECOND FLOOR|ARMONK NY 10504|USA|||  ||NADINE LEE|914-730-3500|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|07/11/2005|0|0|0|0|0|0
New York Regional Office| 119193|801-68788|SMF FINANCIAL ADVISORS, LLC|SMF FINANCIAL ADVISORS, LLC|855 VALLEY ROAD||CLIFTON NJ 07013|USA|||  ||MICHAEL SHENKER|973-472-6250|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|02/28/2008|0|0|0|0|0|0
New York Regional Office| 119273|801-61513|CREATIVE WEALTH MANAGEMENT, LLC|CREATIVE WEALTH MANAGEMENT, LLC|1377 MOTOR PARKWAY|SUITE 212|ISLANDIA NY 11749|USA|||  ||GLENDA KRESH|631-232-9170|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|10/16/2002|0|0|0|0|0|0
New York Regional Office| 119278|801-60945|HAMLIN CAPITAL MANAGEMENT, LLC|HAMLIN CAPITAL MANAGEMENT, LLC|477 MADISON AVENUE|STE. 520|NEW YORK NY 10022|USA|||  ||PAN, VIVIAN|212.752.8777|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/22/2002|0|0|0|0|0|0
New York Regional Office| 119371|801-67903|HORIZON PLANNING INC.|HORIZON PLANNING INC.|250 EAST 87TH ST.|4C|NEW YORK NY 10128|USA|||  ||NICHOLAS D'AMBROSIO|212-427-7734|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/17/2007|0|0|0|0|0|0
New York Regional Office| 119376|801-61254|PIERMONT WEALTH MANAGEMENT INC.|PIERMONT WEALTH MANAGEMENT INC.|135 CROSSWAYS PARK DRIVE|SUITE 102|WOODBURY NY 11797|USA|||  ||PHILIP J. CAPELL|516-496-7800|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters, Other|APPROVED|06/13/2002|0|0|0|0|0|0
New York Regional Office| 119442|801-62941|WATERFORD ADVISORS, LLC|WATERFORD ADVISORS, LLC|6390 MAIN STREET|SUITE 220|WILLIAMSVILLE NY 14221-5806|USA|||  ||GREGORY L. KOZERSKI|(716) 929-7110|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|04/09/2004|0|0|0|0|0|0
New York Regional Office| 119487|801-67773|NORTH SHORE ASSET MANAGEMENT, LLC|NORTH SHORE ASSET MANAGEMENT, LLC|8 DOLPHINS RISE||LLOYD HARBOR NY 11743|USA|||  ||ROBERT J. SCHPOONT|212-757-7777|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|04/23/2007|0|0|0|0|0|0
New York Regional Office| 119537|801-60990|CITIGROUP ALTERNATIVE INVESTMENTS LLC|CITIGROUP ALTERNATIVE INVESTMENTS LLC|731 LEXINGTON AVE.|28TH FLOOR|NEW YORK NY 10022|USA|||  ||MILLIE KIM|212-559-8580|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/11/2002|0|1|0|0|0|0
New York Regional Office| 119543|801-61231|FRM AMERICAS LLC|FRM AMERICAS LLC|888 SEVENTH AVENUE|24TH FLOOR|NEW YORK NY 10019|USA|||  ||ANABELLE PEREZ GRAY|212-810-2319|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|06/12/2002|0|0|0|0|0|0
New York Regional Office| 119597|801-65323|MAGNOLIA CAPITAL MANAGEMENT|MAGNOLIA CAPITAL MANAGEMENT, LTD.|145 MAIN STREET||COLD SPRING NY 10516|USA|PO BOX 330||COLD SPRING NY 10516-0330|USA|CAROL POWELL|845-809-5259|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/19/2006|0|0|0|0|0|0
New York Regional Office| 119605|801-61054|RETIREMENT WEALTH MANAGEMENT, INC.|RETIREMENT WEALTH MANAGEMENT, INC.|200 LARCHMONT AVENUE||LARCHMONT NY 10538|USA|||  ||PHILIP SPRINGER|914-833-0918|Corporation|Portfolio management for individuals and/or small businesses, Other|APPROVED|04/05/2002|0|0|0|0|0|0
New York Regional Office| 119721|801-61145|ACS HR SOLUTIONS, LLC|ACS HR SOLUTIONS, LLC|ONE PENNSYLVANIA PLAZA|30TH FLOOR|NEW YORK NY 10119-0047|USA|||  ||NICOLAS E. MEDINA|212-330-1011|Limited Liability Company|Financial planning services, Pension consulting services, Selection of other advisers|APPROVED|06/14/2002|0|0|0|0|0|0
New York Regional Office| 119786|801-61049|DIKER MANAGEMENT LLC|DIKER MANAGEMENT LLC|745 FIFTH AVE|SUITE 1409|NEW YORK NY 10151|USA|||  ||MATTHEW GILMAN|(212) 904-0322|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|04/19/2002|0|0|0|0|0|0
New York Regional Office| 119840|801-61511|NUVERSE ADVISORS LLC|NUVERSE ADVISORS LLC|645 FIFTH AVENUE, SUITE 1200||NEW YORK NY 10022-5910|USA|||  ||GREGORY G. DONALD|212 507-9123|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/08/2002|0|0|0|0|0|0
New York Regional Office| 119890|801-61068|COMPREHENSIVE CAPITAL MANAGEMENT, INC.|COMPREHENSIVE CAPITAL MANAGEMENT, INC.|2001 ROUTE 46 SUITE 506||PARSIPPANY NJ 07054|USA|||  ||TIMOTHY LIAM SMITH|973-394-0404|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Market timing services|APPROVED|04/19/2002|0|2|0|0|0|0
New York Regional Office| 119956|801-61057|WECHTER FINANCIAL SERVICES, INC.|WECHTER FINANCIAL SERVICES, INC.|1719 ROUTE 10 EAST|STE 224|PARSIPPANY NJ 07054|USA|||  ||IRA WECHTER|973-605-1448|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/04/2002|0|0|0|0|0|0
New York Regional Office| 119964|801-61154|THE STREET.COM, INC.|THE STREET.COM, INC.|14 WALL STREET|15TH FLOOR|NEW YORK NY 10005|USA|||  ||TERESA SANTOS|212-321-5230|Corporation|Publication of periodicals or newsletters, Security ratings or pricing services|APPROVED|05/21/2002|0|0|1|0|0|0
New York Regional Office| 119983|801-66482|COOMBE, BENDER & COMPANY, LLC|COOMBE, BENDER & COMPANY, LLC|6872 ROUTE 209||WAWARSING NY 12489|USA|||  ||CATHERINE BENDER|845-647-4800|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/10/2006|0|0|0|0|0|0
New York Regional Office| 120109|801-61082|LEPERCQ DE NEUFLIZE ASSET MANAGEMENT LLC|LEPERCQ DE NEUFLIZE ASSET MANAGEMENT LLC|40 WEST 57TH STREET, 19TH FLOOR||NEW YORK NY 10019|USA|||  ||ELLEN GRANT|212-698-0791|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/18/2002|0|0|0|0|0|0
New York Regional Office| 120188|801-61952|ORBIMED CAPITAL LLC|ORBIMED CAPITAL LLC|767 3RD AVE|30TH FLOOR|NEW YORK NY 10017|USA|||  ||ERIC A. BITTELMAN|212-739-6400|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|04/09/2003|0|0|0|0|0|0
New York Regional Office| 120325|801-61090|ALTERNATIVE INVESTMENT PARTNERS LLC|ALTERNATIVE INVESTMENT PARTNERS LLC|600 MAMARONECK AVE, SUITE 400||HARRISON NY 10528|USA|||  ||KRISTINA LABERMEIER|(914) 761-5800|Limited Liability Company|Portfolio management for investment companies|APPROVED|04/19/2002|0|0|0|0|0|0
New York Regional Office| 120418|801-61093|HIGHMOUNT CAPITAL|HIGHMOUNT CAPITAL, LLC|12 EAST 49TH STREET||NEW YORK NY 10017|USA|||  ||MAARTEN R. VAN HENGEL|646 274 7460|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|04/23/2002|0|0|0|0|0|0
New York Regional Office| 120512|801-61233|ACA MANAGEMENT|ACA MANAGEMENT, L.L.C.|140 BROADWAY, 47TH FLOOR||NEW YORK NY 10005|USA|||  ||NORA J. DAHLMAN|212-375-2494|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/05/2002|0|0|0|0|0|0
New York Regional Office| 120567|801-61182|MS REAL ESTATE MEZZANINE ADVISOR, INC.|MS REAL ESTATE MEZZANINE ADVISOR, INC.|1585 BROADWAY, ATTN: REAL ESTATE DEPARTMENT|37TH FLOOR|NEW YORK NY 10036|USA|||  ||AGATHA T. RUDDY|212-762-6190|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/21/2002|0|0|1|0|0|0
New York Regional Office| 120582|801-68270|CASTLE FINANCIAL ADVISORS, LLC|CASTLE FINANCIAL ADVISORS, LLC|145 MARCUS BLVD.||HAUPPAUGE NY 11788|USA|||  ||JOEY HATZFELD, CFP|(631) 952-3700|Limited Liability Company|Financial planning services, Pension consulting services, Selection of other advisers|APPROVED|08/16/2007|0|0|0|0|0|0
New York Regional Office| 120680|801-61171|ROSZEL ADVISORS, LLC|ROSZEL ADVISORS, LLC|1700 MERRILL LYNCH DRIVE||PENNINGTON NJ 08534|USA|ATTN:  MARLA MOSKOWITZ-HESSE|222 BROADWAY, 16TH FLOOR|NEW YORK NY 10038|USA|MARLA MOSKOWITZ-HESSE|212-670-0314|Limited Liability Company|Portfolio management for investment companies, Selection of other advisers, Other|APPROVED|05/16/2002|0|0|1|0|0|0
New York Regional Office| 120685|801-67750|HOLZER & COMPANY, INC.|HOLZER & COMPANY, INC.|263 CENTER AVENUE||WESTWOOD NJ 07675|USA|||  ||VIVIAN KAREN HOLZER|201-722-1400|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|04/17/2007|0|0|0|0|0|0
New York Regional Office| 120755|801-69387|WESTCO ADVISORY SERVICES, INC.|WESTCO ADVISORY SERVICES, INC.|77 HEMPSTEAD AVE||LYNBROOK NY 11563|USA|||  ||BARBARA DIANE FULCHER|(516)590-5070|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/11/2008|0|0|0|0|0|0
New York Regional Office| 120801|801-68905|SHAPIRO FINANCIAL SECURITY GROUP, INC.|SHAPIRO FINANCIAL SECURITY GROUP, INC.|1 BETHANY ROAD|BUILDING 6, SUITE 90|HAZLET NJ 07730|USA|||  ||KENNETH B. SHAPIRO|732-739-8991|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|03/03/2008|0|0|0|0|0|0
New York Regional Office| 120814|801-61302|PALLADIAN RESEARCH, LLC|PALLADIAN RESEARCH, LLC|79 MADISON AVE.||NEW YORK NY 10016|USA|||  ||NICOLE SCHMIDT|212-386-7055|Limited Liability Company|Publication of periodicals or newsletters, Security ratings or pricing services|APPROVED|07/05/2002|0|0|0|0|0|0
New York Regional Office| 120865|801-61270|NORTHROAD CAPITAL MANAGEMENT, LLC|NORTHROAD CAPITAL MANAGEMENT, LLC|530 FIFTH AVENUE|3RD FLOOR|NEW YORK NY 10036|USA|||  ||KEVIN S. AARONS|212-302-9500|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/20/2002|0|0|0|0|0|0
New York Regional Office| 120871|801-61359|PLUSFUNDS GROUP INC.|PLUSFUNDS GROUP INC.|1500 BROADWAY|11TH FLOOR|NEW YORK NY 10036|USA|||  ||ROBERT MALCHMAN|212-653-1888|Corporation|Other|APPROVED|08/02/2002|0|0|1|0|0|0
New York Regional Office| 120905|801-62822|MASTERS LEGACY PLANNING, INC.|MASTERS LEGACY PLANNING, INC.|650 NEW ROAD, SUITE B||LINWOOD NJ 08221|USA|650 NEW ROAD, SUITE B||LINWOOD NJ 08221|USA|TODD C. CHAMBERLAIN|609-601-0800|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers, Other|APPROVED|03/02/2004|0|0|0|0|0|0
New York Regional Office| 120934|801-61467|BLACKSTONE DEBT ADVISORS L.P.|BLACKSTONE DEBT ADVISORS L.P.|345 PARK AVENUE||NEW YORK NY 10154|USA|||  ||ROBERT L. FRIEDMAN|212-583-5268|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/23/2002|0|0|0|0|0|0
New York Regional Office| 120936|801-61377|BLACKSTONE REAL ESTATE ADVISORS IV L.L.C.|BLACKSTONE REAL ESTATE ADVISORS IV L.L.C.|345 PARK AVENUE||NEW YORK NY 10154|USA|||  ||ROBERT L. FRIEDMAN|212-583-5268|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/16/2002|0|0|0|0|0|0
New York Regional Office| 121026|801-61222|DRAKE MANAGEMENT, LLC|DRAKE CAPITAL MANAGEMENT, LLC|660 MADISON AVENUE, 16TH FLOOR||NEW YORK NY 10065|USA|||  ||W. CHRISTOPHER APPLER|212-756-1200|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|05/30/2002|0|0|0|0|0|0
New York Regional Office| 121134|801-69374|JM EGAN WEALTH ADVISORS, LLC|JM EGAN WEALTH ADVISORS, LLC|21 GREEN VILLAGE ROAD||MADISON NJ 07940|USA|||  ||JOHN M EGAN, CFP|973377 4700|Limited Liability Company|Financial planning services, Other|APPROVED|07/02/2008|0|0|0|0|0|0
New York Regional Office| 121188|801-69316|ETFIDEA, LLC|ETFIDEA, LLC|650 JAMES STREET||SYRACUSE NY 13203|USA|||  ||WILLIAM T KRIESEL|315-472-6221|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|07/02/2008|0|0|0|0|0|0
New York Regional Office| 121220|801-66378|THE RIDGEWOOD GROUP|RIDGEWOOD INVESTMENTS LLC|150 JFK PARKWAY|SUITE 100|SHORT HILLS NJ 07078|USA|||  ||KAUSHAL MAJMUDAR|973-544-6970|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|03/23/2006|0|0|0|0|0|0
New York Regional Office| 121299|801-61557|CHRISTOFFERSON, ROBB & COMPANY|CHRISTOFFERSON, ROBB & COMPANY, LLC|720 FIFTH AVENUE|14TH FLOOR|NEW YORK NY 10019|USA|||  ||COLIN G. FLEMMING|212-489-4350|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/29/2002|0|0|0|0|0|0
New York Regional Office| 121326|801-63098|AXA PRIVATE EQUITY (US), LLC|AXA PRIVATE EQUITY (US), LLC|1370 AVENUE OF THE AMERICAS|22ND FLOOR|NEW YORK NY 10019-4602|USA|||  ||MICHAEL P. FERRAGAMO|212-641-8606|Limited Liability Company|Other|APPROVED|04/28/2004|0|0|0|0|0|0
New York Regional Office| 121338|801-61351|FINANCIAL PLANNING ANALYSTS, LLC|FINANCIAL PLANNING ANALYSTS, LLC|734 WALT WHITMAN RD|STE 301|MELVILLE NY 11747|USA|||  ||DR. MARK S. BRODY|631-423-8800|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/01/2002|0|0|0|0|0|0
New York Regional Office| 121356|801-64356|S.F. EHRLICH ASSOCIATES, INC.|S.F. EHRLICH ASSOCIATES, INC.|37 ELM STREET|SUITE 5|WESTFIELD NJ 07090|USA|PO BOX 2278||WESTFIELD NJ 07090|USA|STANLEY F. EHRLICH|908 789-1100|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/13/2005|0|0|0|0|0|0
New York Regional Office| 121412|801-63331|STONEGATE WEALTH MANAGEMENT, LLC|STONEGATE WEALTH MANAGEMENT, LLC|17-17 ROUTE 208|SUITE 250|FAIR LAWN NJ 07410|USA|||  ||STEPHEN CRAFFEN|201-791-0085|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters, Market timing services|APPROVED|07/02/2004|0|0|0|0|0|0
New York Regional Office| 121468|801-61864|PERMAL ASSET MANAGEMENT INC.|PERMAL ASSET MANAGEMENT INC.|900 THIRD AVENUE||NEW YORK NY 10022|USA|||  ||CAROL O'DONNELL|212-418-6659|Corporation|Other, Selection of other advisers, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/07/2003|0|0|0|0|0|0
New York Regional Office| 121469|801-69360|MONTGOMERY FINANCIAL ADVISORS LLC|MONTGOMERY FINANCIAL ADVISORS LLC|57 LIVINGSTON DRIVE||BELLE MEAD NJ 08502|USA|||  ||JOSEPH CARAVELLO|908-359-7414|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/31/2008|0|0|0|0|0|0
New York Regional Office| 121473|801-63288|PREMIER FINANCIAL PLANNING, INC.|PREMIER FINANCIAL PLANNING, INC.|711 EXECUTIVE DRIVE||PRINCETON NJ 08540|USA|||  ||CONSTANCE J. HERRSTROM|(609) 924-2424|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/30/2004|0|0|0|0|0|0
New York Regional Office| 121480|801-62758|KIELY CAPITAL MANAGEMENT, INC.|KIELY CAPITAL MANAGEMENT, INC.|51 DUMONT PLACE||MORRISTOWN NJ 07960-4125|USA|||  ||BERNARD M. KIELY|(973) 455-1894|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/06/2004|0|0|0|0|0|0
New York Regional Office| 121483|801-68854|HOUSEN FINANCIAL GROUP, INC.|HOUSEN FINANCIAL GROUP, INC.|229 EAST MAIN STREET||MANASQUAN NJ 08736|USA|||  ||CHRISTOPHER LUKAS|732-223-5505|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/15/2008|0|0|0|0|0|0
New York Regional Office| 121512|801-66539|EMPIRE ASSET MANAGEMENT GROUP, LLC|EMPIRE ASSET MANAGEMENT GROUP, LLC.|5 CLINTON SQUARE, 2ND FLOOR||ALBANY NY 12207|USA|||  ||BRADLEY R. KONOPASKE|518-465-6447|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/15/2006|0|0|0|0|0|0
New York Regional Office| 121546|801-61651|MERCADIEN ASSET MANAGEMENT, LLC|MERCADIEN ASSET MANAGEMENT, LLC|3625 QUAKERBRIDGE ROAD||HAMILTON NJ 08619|USA|P.O. BOX 7648||PRINCETON NJ 08543|USA|KENNETH KAMEN|609-689-9700|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|12/18/2002|0|0|0|0|0|0
New York Regional Office| 121552|801-61375|SG ASSET MANAGEMENT INC|SG ASSET MANAGEMENT INC.|1221 AVENUE OF THE AMERICAS|12TH FLOOR|NEW YORK NY 10020|USA|||  ||LIOR SEGEV|212-278-6000|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|08/09/2002|2|1|0|0|0|0
New York Regional Office| 121767|801-61698|JEFFERIES INVESTMENT ADVISERS, LLC|JEFFERIES INVESTMENT ADVISERS, LLC|520 MADISON AVENUE, 12TH FLOOR||NEW YORK NY 10022-4213|USA|||  ||STEVEN V. MATTUS|212-284-1781|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/21/2003|0|0|0|0|0|0
New York Regional Office| 121812|801-61906|INVESTMENT PARTNERS ASSET MANAGEMENT|INVESTMENT PARTNERS ASSET MANAGEMENT|1 HIGHLAND AVENUE||METUCHEN NJ 08840|USA|||  ||GREGG T. ABELLA|732-205-0391|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/28/2003|0|0|0|0|0|0
New York Regional Office| 121839|801-61308|MADISON VANDERBILT MANAGEMENT LLC|MADISON VANDERBILT MANAGEMENT, LLC|383 MADISON AVENUE||NEW YORK NY 10179|USA|115 SOUTH JEFFERSON ROAD|ATTN: TIMOTHY J. MURPHY|WHIPPANY NJ 07981|USA|TIMOTHY J. MURPHY|973-793-2213|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/25/2002|0|36|2|0|0|0
New York Regional Office| 122003|801-61357|RIVERVIEW ALTERNATIVE INVESTMENT ADVISORS LLC|RIVERVIEW ALTERNATIVE INVESTMENT ADVISORS LLC|THE GALLERIA, 2 BRIDGE AVE.|SUITE 621|REDBANK NJ 07701|USA|||  ||WILLIAM FODOR|732-936-2888|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|06/27/2002|0|0|0|0|0|0
New York Regional Office| 122038|801-64678|DANIEL TEPLITZ & ASSOCIATES FINANCIAL ADVISORS, LLC|DANIEL TEPLITZ & ASSOCIATES FINANCIAL ADVISORS, LLC|3 JOCAMA BOULEVARD|SUITE 200A|OLD BRIDGE NJ 08857|USA|||  ||DANIEL TEPLITZ|732-591-0909|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|09/02/2005|0|0|0|0|0|0
New York Regional Office| 122056|801-61356|GUIRY CAPITAL MANAGEMENT, LLC|GUIRY CAPITAL MANAGEMENT, LLC|45 ROCKEFELLER PLAZA|SUITE 2028|NEW YORK NY 10111-2000|USA|||  ||MARTIN D. GUIRY|(212) 332-1620|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/02/2002|0|0|0|0|0|0
New York Regional Office| 122161|801-61402|SINGLETERRY INSTITUTIONAL ADVISORS, LLC|SINGLETERRY INSTITUTIONAL ADVISORS, LLC|57 UNION PLACE|SUITE 316|SUMMIT NJ 07901|USA|||  ||GARY SINGLETERRY|908-918-0023|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/23/2002|0|0|0|0|0|0
New York Regional Office| 122337|801-61406|MORTGAGE INDUSTRY ADVISORY COMPANY|SERVICING.COM|55 JOHN STREET|15TH FLOOR|NEW YORK NY 10038|USA|||  ||VANESSA C. CAMPOS|212-233-1250|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/16/2002|0|0|0|0|0|0
New York Regional Office| 122352|801-61456|FORTRESS FUND MM II LLC|FORTRESS FUND MM II LLC|1345 AVENUE OF THE AMERICAS|46TH FLOOR|NEW YORK NY 10105|USA|||  ||MICHAEL J. COHN|212-479-5294|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/18/2002|0|0|0|0|0|0
New York Regional Office| 122392|801-61503|HOTTINGER U.S. INC.|HOTTINGER U.S. INC.|1270 AVENUE OF THE AMERICAS|SUITE 400|NEW YORK NY 10020|USA|||  ||RUDOLF MILLISITS|212-332-7930|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|10/10/2002|0|0|0|0|0|0
New York Regional Office| 122620|801-64160|INDIANO CAPITAL MANAGEMENT|INDIANO CAPITAL MANAGEMENT INC.|12 AQUEDUCT STREET|SUITE 300|ROCHESTER NY 14614|USA|||  ||MATT INDIANO|585-232-4960|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/14/2006|0|0|0|0|0|0
New York Regional Office| 122725|801-66434|STEPHEN M. GROSS, INC.|STEPHEN M. GROSS, INC.|115 RIVER ROAD SUITE 1208: BUILDING 12||EDGEWATER NJ 07020|USA|||  ||ADA CRISCIONE|201-313-0999|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|03/27/2006|0|0|0|0|0|0
New York Regional Office| 122727|801-61458|REMCO ASSET MANAGEMENT, INC.|REMCO ASSET MANAGEMENT, INC.|201 OLD COUNTRY ROAD|SUITE 206|MELVILLE NY 11747|USA|||  ||JOHN KYLE REDICAN|631-944-6351|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/13/2002|0|0|0|0|0|0
New York Regional Office| 122747|801-61546|ACT II CAPITAL, L.L.C.|ACT II CAPITAL, L.L.C.|444 MADISON AVENUE, 17FL||NEW YORK NY 10022|USA|||  ||DAVID H. KATZ|212-247-2990|Limited Liability Company|Other|APPROVED|10/24/2002|0|0|0|0|0|0
New York Regional Office| 122772|801-67758|FINANCIAL EDUCATIONAL ADVISORS.LLC|FINANCIAL EDUCATIONAL ADVISORS.LLC|125 JERICHO TURNPIKE SUITE 200||JERICHO NY 11753|USA|||  ||DEAN M. GIELLA|516-333-6565|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|05/02/2007|0|0|0|0|0|0
New York Regional Office| 122836|801-61701|LAZARD ASSET MANAGEMENT LLC|LAZARD ASSET MANAGEMENT LLC|30 ROCKEFELLER PLAZA|59TH FLOOR|NEW YORK NY 10112|USA|||  ||PAUL, NATHAN A.|212-632-6621|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|12/31/2002|0|19|0|0|0|0
New York Regional Office| 122882|801-61573|ALSON CAPITAL PARTNERS, LLC|ALSON CAPITAL PARTNERS, LLC|810 SEVENTH AVENUE|39TH FLOOR|NEW YORK NY 10019|USA|||  ||DEREK J. WEBB|212-803-5204|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/04/2002|0|0|0|0|0|0
New York Regional Office| 122915|801-61493|CLOVIS CAPITAL MANAGEMENT|CLOVIS CAPITAL MANAGEMENT, LP|640 FIFTH AVENUE|14TH FLOOR|NEW YORK NY 10019|USA|||  ||JEFFREY ALAN PODELL|(212) 332-1912|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/11/2002|0|0|0|0|0|0
New York Regional Office| 123439|801-61594|LONG ISLAND FINANCIAL ADVISORS, INC.|LONG ISLAND FINANCIAL ADVISORS, INC.|1731 NORTH OCEAN AVENUE||MEDFORD NY 11763|USA|||  ||MARK J. SNYDER|631-289-4224|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|12/17/2002|0|0|0|0|0|0
New York Regional Office| 123689|801-68725|THE POWELL FINANCIAL GROUP, INC.|THE POWELL FINANCIAL GROUP, INC.|792 CHIMNEY ROCK ROAD|SUITE D|MARTINSVILLE NJ 08836|USA|||  ||PATRICIA A. POWELL|732-564-07424|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|01/17/2008|0|0|0|0|0|0
New York Regional Office| 123811|801-62466|CMC ADVISORS, INC.|CMC ADVISORS, INC.|75 BROAD STREET|30TH FLOOR|NEW YORK NY 10004|USA|||  ||PATRICIA E. CARABELLO|212-402-1850 X860|Corporation|Pension consulting services|APPROVED|10/31/2003|0|0|0|0|0|0
New York Regional Office| 123850|801-67928|ZIMENT FINANCIAL ADVISORS, INC.|ZIMENT FINANCIAL ADVISORS, INC.|116 VILLAGE BLVD., SUITE 200||PRINCETON NJ 08540|USA|P.O. BOX 87||PRINCETON JUNCTION NJ 08550|USA|JEFFREY I. ZIMENT|609-514-0944|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/25/2007|0|0|0|0|0|0
New York Regional Office| 123869|801-67944|FLORIAN FINANCIAL GROUP LLC|FLORIAN FINANCIAL GROUP LLC|2430 NORTH FOREST ROAD|SUITE 140|GETZVILLE NY 14068-9917|USA|||  ||ROBERT M. FLORIAN|716-213-0546|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/06/2007|0|0|0|0|0|0
New York Regional Office| 123972|801-68427|SYSTEMATIC FINANCIAL ASSOCIATES, INC.|SYSTEMATIC FINANCIAL ASSOCIATES, INC.|5 WASHINGTON DRIVE||WHITEHOUSE STATION NJ 08889|USA|POB 1050||WHITEHOUSE STATION NJ 08889|USA|LISSA LESLIE|9085345663|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|10/18/2007|0|0|0|0|0|0
New York Regional Office| 123992|801-61631|LOEB OFFSHORE MANAGEMENT, LLC|LOEB OFFSHORE MANAGEMENT, LLC|61 BROADWAY- 24TH FLOOR||NEW YORK NY 10006|USA|||  ||MICHAEL S. EMANUEL|212-483-7000|Limited Liability Company|Other|APPROVED|01/02/2003|0|2|0|0|0|0
New York Regional Office| 124004|801-62232|CRA FINANCIAL SERVICES, L.L.C.|CRA FINANCIAL SERVICES, L.L.C.|332 TILTON ROAD||NORTHFIELD NJ 08225|USA|||  ||MATTHEW J. REYNOLDS|609-641-4000|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/18/2003|0|0|0|0|0|0
New York Regional Office| 124092|801-61710|SCHULMAN, ROBERT E.|SCHULMAN, ROBERT E.|18 PINE TREE DRIVE||GREAT NECK NY 11024|USA|||  ||ROBERT E. SCHULMAN|516-466-5752|Other (specify)|Portfolio management for individuals and/or small businesses|APPROVED|01/28/2003|0|0|0|0|0|0
New York Regional Office| 124122|801-61599|COOPER/HAIMS ADVISORS, LLC|COOPER/HAIMS ADVISORS, LLC|30 NORTH UNION STREET|SUITE 210|ROCHESTER NY 14607|USA|||  ||HOWARD HAIMS, CFP|(585) 546-2283|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|11/29/2002|0|0|0|0|0|0
New York Regional Office| 124194|801-66806|NORTHSTAR FINANCIAL ADVISORS, INC.|NORTHSTAR FINANCIAL ADVISORS, INC.|46 BEACHMONT TERRACE||NORTH CALDWELL NJ 07006|USA|||  ||RICHARD E BERSE|973 228-9330|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|06/08/2006|0|0|0|0|0|0
New York Regional Office| 124209|801-61818|DOPKINS WEALTH MANAGEMENT, LLC|DOPKINS WEALTH MANAGEMENT, LLC|200 INTERNATIONAL DRIVE||WILLIAMSVILLE NY 14221|USA|||  ||BRIAN G. CANNON|(716)634-8800|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|03/14/2003|0|0|0|0|0|0
New York Regional Office| 124261|801-61749|LARRY HELLER & ASSOCIATES|TOTAL MANAGEMENT GROUP, INC.|445 BROADHOLLOW ROAD|SUITE 230|MELVILLE NY 11747|USA|||  ||LARRY HELLER|631-293-2806|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/17/2003|0|0|0|0|0|0
New York Regional Office| 124267|801-66268|KAY INVESTMENTS, INC.|KAY INVESTMENTS, INC.|5000 SENECA POINT RD||CANANDAIGUA NY 14424|USA|||  ||DARRELL J. KAY|585-396-1312|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/23/2006|0|0|0|0|0|0
New York Regional Office| 124388|801-61830|GRAF FINANCIAL ADVISORS, LLC|GRAF FINANCIAL ADVISORS, LLC|1680 ROUTE 23, SUITE 110||WAYNE NJ 07470|USA|||  ||KARL H. GRAF|973-633-9199|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/25/2003|0|0|0|0|0|0
New York Regional Office| 124403|801-61668|SCOPIA MANAGEMENT INC.|SCOPIA MANAGEMENT INC.|450 SEVENTH AVENUE|43RD FLOOR|NEW YORK NY 10123|USA|||  ||JEREMY MINDICH|212-370-0008|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/02/2003|0|0|0|0|0|0
New York Regional Office| 124405|801-66564|STERN CAPITAL MANAGEMENT, INC.|STERN CAPITAL MANAGEMENT, INC.|18 THROCKMORTON LANE|SUITE 201|OLD BRIDGE NJ 08857|USA|||  ||STUART STERN|732-679-7050|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/23/2006|0|0|0|0|0|0
New York Regional Office| 124417|801-62085|ZEKARIA PARTNERS, LLC|ZEKARIA PARTNERS, LLC|55 FIFTH AVENUE|17TH FLOOR|NEW YORK NY 10003|USA|||  ||CARL ZEKARIA|212-807-9400|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|05/23/2003|0|0|0|0|0|0
New York Regional Office| 124435|801-61978|GUGGENHEIM ADVISORS, LLC|GUGGENHEIM ADVISORS, LLC|135 EAST 57TH STREET|11TH FLOOR|NEW YORK NY 10022|USA|||  ||RASHI DHIR|212-884-6239|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/22/2003|0|1|0|0|0|0
New York Regional Office| 124441|801-63753|S SQUARED TECHNOLOGY, LLC|S SQUARED TECHNOLOGY, LLC|515 MADISON AVENUE|STE 4200|NEW YORK NY 10022-5474|USA|||  ||SEYMOUR L. GOLDBLATT|212-421-2155|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/16/2004|0|1|0|0|0|0
New York Regional Office| 124454|801-61985|ALLEN INVESTMENT MANAGEMENT, LLC|ALLEN INVESTMENT MANAGEMENT, LLC|711 FIFTH AVENUE, 8TH FLOOR||NEW YORK NY 10022|USA|||  ||HENRY E. ROSENBERG|212.339.2679|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/11/2003|0|0|0|0|0|0
New York Regional Office| 124477|801-61814|HARVEST MANAGEMENT, L.L.C.|HARVEST MANAGEMENT, L.L.C.|600 MADISON AVENUE 11TH FLOOR||NEW YORK NY 10022|USA|||  ||MARJORIE GOCHBERG KELLNER|212-634-3600|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/25/2003|0|0|0|0|0|0
New York Regional Office| 124506|801-62585|M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC|M.D. SASS-MACQUARIE FINANCIAL STRATEGIES MANAGEMENT COMPANY, LLC|1185 AVENUE OF THE AMERICAS||NEW YORK NY 10036|USA|||  ||BOBBY LIU|212-730-2000|Limited Liability Company|Other|APPROVED|01/02/2004|0|8|0|0|0|0
New York Regional Office| 124529|801-61681|SARATOGA WEALTH ADVISORS, LLC|SARATOGA WEALTH ADVISORS, LLC|358 BROADWAY, SUITE 202|P.O. BOX 833|SARATOGA SPRINGS NY 12866|USA|||  ||JEFFREY A. TROWBRIDGE|518-587-7147|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|01/02/2003|0|0|0|0|0|0
New York Regional Office| 124540|801-64048|RR ADVISORY GROUP, LLC|RR ADVISORY GROUP, LLC|1065 AVENUE OF THE AMERICAS|23RD FLOOR|NEW YORK NY 10018|USA|||  ||ROSARIO RUFFINO|212.869.5900|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|03/21/2005|0|0|0|0|0|0
New York Regional Office| 124560|801-61722|AEA QP ADVISERS LLC|AEA QP ADVISERS LLC|55 EAST 52ND STREET|35TH FLOOR|NEW YORK NY 10055|USA|||  ||SANFORD KRIEGER|212-702-0510|Limited Liability Company|Other|APPROVED|01/16/2003|0|0|0|0|0|0
New York Regional Office| 124561|801-61721|AEA ADVISERS LLC|AEA ADVISERS LLC|55 EAST 52ND STREET|35TH FLOOR|NEW YORK NY 10055|USA|||  ||SANFORD KRIEGER|212-702-0510|Limited Liability Company|Other|APPROVED|01/16/2003|0|0|0|0|0|0
New York Regional Office| 124612|801-61732|CDK INVESTMENT MANAGEMENT LLC|CDK INVESTMENT MANAGEMENT LLC|405 PARK AVENUE|11TH FLOOR|NEW YORK NY 10022|USA|||  ||DAVID KAHEN|212 871 8500|Limited Liability Company|Other|APPROVED|01/23/2003|0|0|0|0|0|0
New York Regional Office| 124613|801-61792|MARATHON ASSET MANAGEMENT, LLC|MARATHON ASSET MANAGEMENT, LLC|461 5TH AVENUE|10TH FLOOR|NEW YORK NY 10017|USA|||  ||GREGORY L. FLORIO|212-381-0159|Limited Liability Company|Other|APPROVED|02/21/2003|0|0|0|0|0|0
New York Regional Office| 124662|801-61930|STRATEGIC RETIREMENT PLANS, INC.|STRATEGIC RETIREMENT PLANS, INC.|114 BUSINESS PARK DRIVE||UTICA NY 13502|USA|||  ||BRADLEY M. KOWALCZYK|315-735-7553|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|03/26/2003|0|0|0|0|0|0
New York Regional Office| 124719|801-61688|PRIMA CAPITAL ADVISORS, LLC|PRIMA CAPITAL ADVISORS, LLC|2 OVERHILL ROAD|SUITE 340|SCARSDALE NY 10583|USA|||  ||GREGORY A. WHITE|914-725-9388|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/02/2003|0|0|0|0|0|0
New York Regional Office| 124777|801-61779|ST. JAMES INVESTMENT COMPANY, LLP|ST. JAMES INVESTMENT COMPANY, LLP|222 E. MAIN ST|#328|SMITHTOWN NY 11787-2814|USA|||  ||BRIAN C. MARK|631.979.6520|Limited Liability Partnership|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/14/2003|0|0|0|0|0|0
New York Regional Office| 124982|801-61786|ROBECO INVESTMENT MANAGEMENT|ROBECO INVESTMENT MANAGEMENT, INC.|909 THIRD AVENUE|32ND FLOOR|NEW YORK NY 10022|USA|||  ||MARY ANN IUDICE|212-908-9620|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/19/2003|0|13|2|0|0|0
New York Regional Office| 125111|801-62787|QUANTEL ASSOCIATES, INC.|QUANTEL ASSOCIATES, INC.|46 LEIGH STREET||CLINTON NJ 08809|USA|||  ||BRYCE BARNES|908-730-6562|Corporation|Pension consulting services|APPROVED|02/12/2004|0|0|0|0|0|0
New York Regional Office| 125121|801-61782|BERTOLET CAPITAL LLC|BERTOLET CAPITAL LLC|1414 SIXTH AVENUE|#900|NEW YORK NY 10019|USA|||  ||JOHN E. DEYSHER|212-508-4537|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/03/2003|0|0|0|0|0|0
New York Regional Office| 125128|801-65145|RAPIDAN CAPITAL, LLC|RAPIDAN CAPITAL, LLC|510 THORNALL STREET|SUITE 320|EDISON NJ 08837|USA|||  ||DAVID LEE BERKOWITZ|732-632-8854|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/10/2006|0|0|0|0|0|0
New York Regional Office| 125198|801-66621|GENESIS FINANCIAL ADVISORY SERVICES, LLC.|GENESIS FINANCIAL ADVISORY SERVICES, LLC.|110 EAST 42ND STREET|SUITE 1302|NEW YORK NY 10017|USA|||  ||MARK SALERNO|212-871-9898|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|05/16/2006|0|0|0|0|0|0
New York Regional Office| 125205|801-68883|RUSHWALD, MARK STEVEN|RUSHWALD, MARK STEVEN|1410 HOOPER AVE,#201||TOMS RIVER NJ 08753|USA|||  ||MARK S RUSHWALD|732-505-4422|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|03/03/2008|0|0|0|0|0|0
New York Regional Office| 125212|801-61820|HIGH PERCH LLC|HIGH PERCH LLC|TWO WORLD FINANCIAL CENTER, 36TH FLOOR|225 LIBERTY STREET|NEW YORK NY 10281|USA|||  ||WING F. CHAU|212-220-9750|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/12/2003|0|7|0|0|0|0
New York Regional Office| 125221|801-61943|BYRNE ASSET MANAGEMENT, LLC|BYRNE ASSET MANAGEMENT, LLC|34 CHAMBERS ST., SUITE 207||PRINCETON NJ 08540|USA|101 HUN ROAD||PRINCETON NJ 08540|USA|TOM BYRNE|6094972383|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/07/2003|0|0|0|0|0|0
New York Regional Office| 125231|801-61832|CREDIT SUISSE PRIVATE EQUITY ADVISERS LLC|CREDIT SUISSE PRIVATE EQUITY ADVISERS LLC|ELEVEN MADISON AVENUE|16TH FLOOR|NEW YORK NY 10010|USA|||  ||ANDREA JOHNSTON|212-325-4507|Limited Liability Company|Other|APPROVED|03/21/2003|0|8|1|0|0|0
New York Regional Office| 125300|801-67814|ADVANCED GROUP FINANCIAL SERVICES|CARPENTER, RICHARD KEVIN|2508 GENESEE STREET||UTICA NY 13502|USA|||  ||ROBERT K WATKINS|315-733-1010|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/19/2007|0|0|0|0|0|0
New York Regional Office| 125319|801-68686|FINANCIAL PLANNING PROFESSIONALS, INC.|FINANCIAL PLANNING PROFESSIONALS, INC.|188 FRIES MILL ROAD|L-1|TURNERSVILLE NJ 08012|USA|||  ||EDWARD J. HARRINGTON|856-875-0700|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Market timing services|APPROVED|01/24/2008|0|0|0|0|0|0
New York Regional Office| 125352|801-62894|OAK HILL ADVISORS, L.P.|OAK HILL ADVISORS, L.P.|1114 AVENUE OF THE AMERICAS|27TH FLOOR|NEW YORK NY 10036|USA|||  ||GREGORY S. RUBIN|212-326-1578|Partnership|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|03/25/2004|0|0|0|0|0|0
New York Regional Office| 125412|801-63885|GROUP G CAPITAL PARTNERS, LLC|GROUP G CAPITAL PARTNERS, LLC|800 3RD AVENUE, 23RD FLOOR||NEW YORK NY 10022|USA|||  ||JENNIFER DUMFORD|212-486-7880|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/28/2005|0|0|0|0|0|0
New York Regional Office| 125567|801-68499|PRIMORIS CAPITAL MANAGEMENT, LLC|PRIMORIS CAPITAL MANAGEMENT, LLC|25 HIGH ST.|SUITE 1|HUNTINGTON NY 11743|USA|||  ||RAYMOND L. EATON|631-423-8400|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|11/20/2007|0|0|0|0|0|0
New York Regional Office| 125584|801-61938|MICHAEL J. PORRO & CO. FINANCIAL ADVISORS, LLC|MICHAEL J. PORRO & CO. FINANCIAL ADVISOR LLC|180 OLD TAPPAN ROAD, BLDG.#5||OLD TAPPAN NJ 07675-7052|USA|||  ||MICHAEL J. PORRO|(201) 768-0218|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|04/02/2003|0|0|0|0|0|0
New York Regional Office| 125618|801-67783|KLINGMAN AND ASSOCIATES, LLC|KLINGMAN AND ASSOCIATES, LLC|1133 AVENUE OF THE AMERICAS|SUITE 2725|NEW YORK NY 10036|USA|||  ||NANCY C. BROWN|212-867-7647|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|04/17/2007|0|0|0|0|0|0
New York Regional Office| 125626|801-68584|WEINSTAT AND WEINSTAT CPA'S RIA'S|WEINSTAT AND WEINSTAT CPA'S RIA'S|1 EXPRESSWAY PLAZA SUITE 112||ROSLYN HEIGHTS NY 11577|USA|||  ||MICHAEL WEINSTAT|516-621-3507|Partnership|Portfolio management for individuals and/or small businesses|APPROVED|01/02/2008|0|0|0|0|0|0
New York Regional Office| 125648|801-62147|PKS ADVISORY SERVICES, LLC|PKS ADVISORY SERVICES, LLC|18 CORPORATE WOODS BOULEVARD||ALBANY NY 12211|USA|||  ||KEITH O. FLOOD|(518)426-5791|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/20/2003|0|0|0|0|0|0
New York Regional Office| 125663|801-64023|WERLINICH ASSET MANAGEMENT, L.L.C.|WERLINICH ASSET MANAGEMENT, L.L.C.|400 COLUMBUS AVE||VALHALLA NY 10595|USA|||  ||GREG WERLINICH|914-741-6839|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/03/2005|0|0|0|0|0|0
New York Regional Office| 125689|801-69021|CAPITAL FINANCIAL ADVISORS OF NEW YORK, LLC|CAPITAL FINANCIAL ADVISORS OF NEW YORK, LLC|PHOENIX BUILDING, 1745 ROUTE 9||CLIFTON PARK NY 12065|USA|||  ||PAUL J. CORR|518-348-1370|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|04/02/2008|0|0|0|0|0|0
New York Regional Office| 125721|801-66983|FMF+E WEALTH MANAGEMENT, LLC|FMF+E WEALTH MANAGEMENT, LLC|5010 CAMPUSWOOD DRIVE|SUITE 4|EAST SYRACUSE NY 13057|USA|||  ||CHRISTOPHER H. GARDNER|315-472-7045|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|07/12/2006|0|0|0|0|0|0
New York Regional Office| 125727|801-66356|DARTMOUTH ADVISORY SERVICES,INC.|DARTMOUTH ADVISORY SERVICES,INC.|500 OLD COUNTRY ROAD-SUITE 312||GARDEN CITY NY 11530-1944|USA|||  ||JAMES V. MCGURREN|516-873-7526|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|03/09/2006|0|0|0|0|0|0
New York Regional Office| 125758|801-66460|INDEPENDENT FINANCIAL ADVISORS|KUEHNE,CHRISTOPHER|24 WATERBURY WAY||POUND RIDGE NY 10576|USA|||  ||CHRISTOPHER KUEHNE|914-764-0367|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|03/24/2006|0|0|0|0|0|0
New York Regional Office| 125763|801-67939|THE MUSTICO FINANCIAL GROUP, INC.|THE MUSTICO FINANCIAL GROUP, INC.|304 WILLIAM STREET||ELMIRA NY 14901|USA|||  ||MICHAEL MUSTICO|607-733-7935|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|05/29/2007|0|0|0|0|0|0
New York Regional Office| 125768|801-63181|RDK FINANCIAL GROUP|KRENTZ, RICHARD DAVID|12 EDSAM ROAD||VALLEY COTTAGE NY 10989|USA|||  ||RICHARD D. KRENTZ|845-348-0252|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/14/2004|0|0|0|0|0|0
New York Regional Office| 125771|801-61877|PRIVATE CAPITAL ADVISORS, INC.|PRIVATE CAPITAL ADVISORS, INC.|570 LEXINGTON AVE.|12TH FLOOR|NEW YORK NY 10022-6822|USA|||  ||VINCENT ANDREWS|212-702-6670|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/20/2003|0|0|0|0|0|0
New York Regional Office| 125772|801-68091|PENSION PARTNERS, LLC|PENSION PARTNERS, LLC|430 WEST 14TH STREET|5TH FL|NEW YORK NY 10014|USA|||  ||EDWARD M. DEMPSEY|212-255-5000|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|07/09/2007|0|0|0|0|0|0
New York Regional Office| 125801|801-68024|TUBLIN - DIFUSCO ADVISORS INC.|TUBLIN - DIFUSCO ADVISORS INC.|1599 VICTORIA STREET||BALDWIN NY 11510-1616|USA|||  ||VINCENT THOMAS DIFUSCO|(516) 623-2862|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|06/15/2007|0|0|0|0|0|0
New York Regional Office| 125838|801-64369|HIGHLAND FINANCIAL ADVISORS, LLC|HIGHLAND FINANCIAL ADVISORS, LLC|44 ST ROUTE 23 NORTH|SUITE 11|RIVERDALE NJ 07457|USA|||  ||REED C. FRAASA|973-557-2933|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|06/23/2005|0|0|0|0|0|0
New York Regional Office| 125882|801-64228|STRATEGIC WEALTH MANAGEMENT GROUP|STRATEGIC ADVISORS LLC|250 WEST 57TH STREET|SUITE 2322|NEW YORK NY 10107|USA|250 WEST 57TH STREET|SUITE 2322|NEW YORK NY 10107|USA|LAWRENCE E. MAY|212-489-0100|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|05/16/2005|0|1|0|0|0|0
New York Regional Office| 125888|801-66855|SUNLAKE INVESTMENT MANAGEMENT|JOHN H VINEYARD|50 SMUGGLERS PATH||ITHACA NY 14850|USA|||  ||JOHN VINEYARD|607-275-0323|Sole Proprietorship|Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters, Other|APPROVED|06/14/2006|0|0|0|0|0|0
New York Regional Office| 125903|801-64133|HEYDORN CAPITAL MANAGEMENT LLC|HEYDORN CAPITAL MANAGEMENT LLC|70 WEST RED OAK LANE|4TH FLOOR|WHITE PLAINS NY 10604|USA|||  ||MARGARET S. HEYDORN|914-697-7546|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/29/2005|0|0|0|0|0|0
New York Regional Office| 125904|801-63220|AVZ FINANCIAL SERVICES, LLC|AVZ FINANCIAL SERVICES, LLC|25 SUFFOLK COURT||HAUPPAUGE NY 11788|USA|||  ||KATHERINE MARY CONNORS|631-434-9500|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|06/08/2004|0|0|0|0|0|0
New York Regional Office| 126020|801-61920|THE GROUP FOR FINANCIAL PLANNING LLC|THE GROUP FOR FINANCIAL PLANNING LLC|51 BEDFORD RD.|THE KATONAH PROFESSIONAL BUILDING|KATONAH NY 10536|USA|P.O. BOX 830||KATONAH NY 10536|U. S.|TIMOTHY R. CLARK|914-232-3773|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|03/28/2003|0|0|0|0|0|0
New York Regional Office| 126021|801-62029|WALL STREET ACCESS ADVANCED STRATEGIES, LLC|WALL STREET ACCESS ADVANCED STRATEGIES, LLC|17 BATTERY PLACE|11TH FLOOR|NEW YORK NY 10004|USA|||  ||ARTHUR L. GOETCHIUS|212-709-9453|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/09/2003|0|2|0|0|0|0
New York Regional Office| 126044|801-66940|JRF ASSET ADVISORS, LLC.|JRF ASSET ADVISORS, LLC.|100 QUENTIN ROOSEVELT BLVD|SUITE 516|GARDEN CITY NY 11530|USA|||  ||JAY H. FREEBERG|516-622-0024|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|06/30/2006|0|0|0|0|0|0
New York Regional Office| 126084|801-64498|CARUSO MCLEAN & CO., INC.|CARUSO MCLEAN & CO., INC.|110 LOMOND COURT||UTICA NY 13502|USA|||  ||ERNEST R. CARUSO|315-724-5105|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|07/11/2005|0|0|1|0|0|0
New York Regional Office| 126118|801-68422|PAOLINO, WILLIAM|PAOLINO, WILLIAM JOHN|NYACK BUSINESS CENTER|99 MAIN ST., #108|NYACK NY 10960|USA|||  ||WILLIAM PAOLINO|845-348-7663|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|10/15/2007|0|0|0|0|0|0
New York Regional Office| 126143|801-61973|MEDITRON ASSET MANAGEMENT, LLC|MEDITRON ASSET MANAGEMENT, LLC|641 LEXINGTON AVE.|SUITE 1400|NEW YORK NY 10022|USA|||  ||WALTER V. GERASIMOWICZ|212-622-7820|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|04/09/2003|0|0|0|0|0|0
New York Regional Office| 126155|801-64779|ADIRONDACK FINANCIAL SERVICES CORP|ADIRONDACK FINANCIAL SERVICES CORP|185 GENESEE STREET|SUITE 210|UTICA NY 13501|USA|||  ||PATRICA M. RUGARI|(315) 724-4186|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|10/03/2005|0|0|0|0|0|0
New York Regional Office| 126165|801-62279|NEWSHOLME FINANCIAL GROUP, INC.|NEWSHOLME FINANCIAL GROUP, INC|2326 CROMPOND ROAD||YORKTOWN HTS NY 10598|USA|||  ||JANET A. FILANGERI|914-243-6700|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|08/13/2003|0|0|0|0|0|0
New York Regional Office| 126175|801-62168|E H WILLIAMS CAPITAL MANAGEMENT|EH WILLIAMS CAPITAL MANAGEMENT, LLC|570 7TH AVE.|SUITE 504|NEW YORK NY 10018|USA|||  ||DAIL ST. CLAIRE|212-461-6500|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/26/2003|0|2|0|0|0|0
New York Regional Office| 126222|801-61974|STONEGATE CAPITAL MANAGEMENT, L.L.C.|STONEGATE CAPITAL MANAGEMENT, L.L.C.|99 PARK AVENUE, SUITE 1510||NEW YORK NY 10016|USA|||  ||TIMOTHY P. FINN|(212) 949-1623|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/08/2003|0|0|0|0|0|0
New York Regional Office| 126224|801-63705|JOHN G. GILOOLY, CPA|GILOOLY, JOHN GOODWIN|83 RAILROAD PLACE||SARATOGA SPRINGS NY 12866|USA|||  ||KRISTIN SICA|(518)691-0264|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/03/2005|1|0|0|0|0|0
New York Regional Office| 126236|801-61977|HENNION & WALSH ASSET MANAGEMENT, INC.|HENNION & WALSH ASSET MANAGEMENT, INC.|2001 ROUTE 46|WATERVIEW PLAZA|PARSIPPANY NJ 07054|USA|||  ||ALEXANDER VERMITSKY|973-299-8989|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|05/02/2003|0|1|0|0|0|0
New York Regional Office| 126299|801-64406|SUNBRIDGE MANAGEMENT, INC.|SUNBRIDGE MANAGEMENT INC|8899 MAIN STREET||WILLIAMSVILLE NY 14221|USA|||  ||GERALD DEWES|7166260307|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/15/2006|0|0|0|0|0|0
New York Regional Office| 126337|801-66845|GENESIS INVESTMENT ADVISORY SERVICES LLC.|GENESIS INVESTMENT ADVISORY SERVICES LLC.|110 EAST 42ND STREET|SUITE 1302|NEW YORK NY 10017|USA|||  ||GERARD ADDEO|(212) 687-3600|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|07/10/2006|0|0|0|0|0|0
New York Regional Office| 126339|801-64419|WATTERS FINANCIAL SERVICES, LLC|WATTERS FINANCIAL SERVICES, LLC|251 WYCKOFF AVE.,||RAMSEY NJ 07446|USA|||  ||TIMOTHY J. WATTERS|201-818-0156|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/17/2005|0|0|0|0|0|0
New York Regional Office| 126349|801-68896|ENGLESON & ASSOCIATES|ENGLESON & ASSOCIATES, INC.|2000 S. WINTON RD., BLDG #3|SUITE 100|ROCHESTER NY 14618|USA|||  ||JOHN CORRELL|585.424.6150|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|03/20/2008|0|0|0|0|0|0
New York Regional Office| 126411|801-64150|FINANCIAL PLANNING CONCEPTS OF AMERICA, INC.|FINANCIAL PLANNING CONCEPTS OF AMERICA, INC.|148 NEW DORP LANE||STATEN ISLAND NY 10306|USA|||  ||JOSEPH MARCHESE|718-667-5050|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/11/2005|0|0|0|0|0|0
New York Regional Office| 126450|801-65941|CALDWELL ASSET MANAGEMENT INC.|CALDWELL ASSET MANAGEMENT INC.|450 PARK AVE|STE 1900|NEW YORK NY 10022|USA|||  ||THOMAS SCOTT CALDWELL|(212)220-4260|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/31/2006|0|0|0|0|0|0
New York Regional Office| 126486|801-62070|TRAXIS PARTNERS LP|TRAXIS PARTNERS LP|600 FIFTH AVENUE|26TH FLOOR|NEW YORK NY 10020|USA|||  ||CHRISTOPHER F CRAWFORD|212 332 5158|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|05/15/2003|0|0|0|0|0|0
New York Regional Office| 126487|801-62150|PINNACLE ASSET MANAGEMENT, L.P.|PINNACLE ASSET MANAGEMENT, L.P.|767 5TH AVE.|4TH FLOOR|NEW YORK NY 10153|USA|||  ||TIMOTHY P. FAENZA|646-717-8010|Partnership|Other|APPROVED|06/20/2003|0|0|0|0|0|0
New York Regional Office| 126495|801-62028|QUATTRO GLOBAL CAPITAL, LLC|QUATTRO GLOBAL CAPITAL, LLC|546 FIFTH AVE., 19TH FLOOR||NEW YORK NY 10036|USA|||  ||STEPHEN ELLWOOD|212.201.8787|Limited Liability Company|Portfolio management for investment companies, Other|APPROVED|05/02/2003|0|1|0|0|0|0
New York Regional Office| 126524|801-62300|FRISCH FINANCIAL GROUP, INC.|FRISCH FINANCIAL GROUP, INC.|290 BROAD HOLLOW ROAD|SUITE 130E|MELVILLE NY 11747|USA|||  ||DAVID A. FRISCH|631-271-7900|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Other|APPROVED|08/21/2003|0|0|0|0|0|0
New York Regional Office| 126530|801-63901|TAG EISNER LLC|TAG EISNER LLC|75 ROCKEFELLER PLZ|SUITE 900|NEW YORK NY 10019|USA|||  ||STANLEY H. PANTOWICH|212 275 1600|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/17/2005|0|0|0|0|0|0
New York Regional Office| 126567|801-63433|KRUG, DAVID M.|KRUG, DAVID M.|86 PARK LANE P.O. BOX 200||PURCHASE NY 10577|USA|||  ||DAVID M. KRUG|914-997-1406|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|08/18/2004|0|0|0|0|0|0
New York Regional Office| 126589|801-62111|HAROLD C. BROWN & CO., LLC|HAROLD C. BROWN & CO., LLC|ONE HSBC CENTER|SUITE 3800|BUFFALO NY 14203|USA|||  ||BARBARA KLUCIK|716-854-2500|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|06/06/2003|0|0|0|0|0|0
New York Regional Office| 126593|801-68766|GILFORD FINANCIAL CORP.|GILFORD FINANCIAL CORP.|777 THIRD AVE|17TH FLOOR|NEW YORK NY 10017|USA|||  ||ERIC FAULKS|(212)940-9253|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|02/11/2008|0|19|0|0|0|0
New York Regional Office| 126595|801-62382|CASPIAN CAPITAL MANAGEMENT, LLC|CASPIAN CAPITAL MANAGEMENT, LLC|745 FIFTH AVENUE|28TH FLOOR|NEW YORK NY 10151|USA|||  ||JACK L. MALICK|212-703-0302|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|10/02/2003|0|6|0|0|0|0
New York Regional Office| 126599|801-68860|EAGAN CAPITAL MANAGEMENT, LLC|EAGAN CAPITAL MANAGEMENT, LLC|210 SOUTH MANLIUS ST||FAYETTEVILLE NY 13066-2039|USA|||  ||EDWARD E. EAGAN|315-637-8004|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|03/12/2008|0|0|0|0|0|0
New York Regional Office| 126636|801-63759|VAN CLEEF, JORDAN AND WOOD, INC.|VAN CLEEF, JORDAN, AND WOOD, INC.|31 DUSENBERRY ROAD||BRONXVILLE NY 10708|USA|370 LEXINGTON AVENUE||NEW YORK NY 10017|USA|GARY REETZ|212-986-2600|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/03/2005|0|0|0|0|0|0
New York Regional Office| 126685|801-62457|ACCOUNTANTS PROPRIETARY FINANCIAL SERVICENET, INC.|ACCOUNTANTS PROPRIETARY FINANCIAL SERVICENET, INC.|211 BROADWAY||LYNBROOK NY 11563|USA|||  ||JOEL BOYARSKY|212-319-1489|Corporation|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|10/23/2003|0|0|0|0|0|0
New York Regional Office| 126780|801-62011|MORGAN STANLEY HEDGE FUND PARTNERS GP LP|MORGAN STANLEY HEDGE FUND PARTNERS GP LP|522 FIFTH AVENUE||NEW YORK NY 10036|USA|||  ||MICHELE ENG|203-622-5231|Other (specify)|Other|APPROVED|05/16/2003|0|0|0|0|0|0
New York Regional Office| 126781|801-62012|MORGAN STANLEY HEDGE FUND PARTNERS LP|MORGAN STANLEY HEDGE FUND PARTNERS LP|522 FIFTH AVENUE||NEW YORK NY 10036|USA|||  ||MICHELE ENG|203-622-5231|Other (specify)|Other|APPROVED|05/16/2003|0|0|0|0|0|0
New York Regional Office| 126979|801-62075|ARIENCE CAPITAL MANAGEMENT, L.P.|ARIENCE CAPITAL MANAGEMENT, L.P.|745 5TH AVE.|7TH FLOOR|NEW YORK NY 10151|USA|||  ||MICHAEL GENNARO|212-303-3702|Partnership|Other|APPROVED|05/22/2003|0|0|0|0|0|0
New York Regional Office| 127003|801-62159|BLACKROCK HPB MANAGEMENT, LLC|BLACKROCK HPB MANAGEMENT, LLC|40 EAST 52ND STREET||NEW YORK NY 10022|USA|||  ||BARTHOLOMEW BATTISTA|212-810-3423|Limited Liability Company|Selection of other advisers, Other|APPROVED|07/02/2003|0|4|2|0|0|0
New York Regional Office| 127017|801-63026|WATERVILLE INVESTMENTS, INC.|WATERVILLE INVESTMENTS, INC.|443 PARK AVENUE SOUTH|SUITE 1006|NEW YORK NY 10016|USA|||  ||JOHN PATRICK O'DONNELL|212-679-0114|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|04/09/2004|0|0|0|0|0|0
New York Regional Office| 127018|801-62363|MP ADVISORY SERVICE, LLC|MP ADVISORY SERVICE, LLC|15 CORPORATE CIRCLE||ALBANY NY 12203|USA|||  ||JAMES E. WOLF|518-862-3234|Limited Liability Company|Other|APPROVED|09/17/2003|0|0|0|0|0|0
New York Regional Office| 127109|801-62095|WRITE CAPITAL MANAGEMENT, LLC|WRITE CAPITAL MANAGEMENT, LLC|900 BRIGGS ROAD|SUITE 455|MOUNT LAUREL NJ 08054|USA|||  ||WALTER HASLETT|856-727-1700|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/29/2003|0|0|0|0|0|0
New York Regional Office| 127162|801-68544|GOLDSTONE PORTFOLIOS INCORPORATED|GOLDSTONE PORTFOLIOS INCORPORATED|110 SHADBLOW LANE||CLINTON CORNERS NY 12514-2833|USA|||  ||ERIC JAY GOLDSTONE|845-698-1806|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/29/2007|0|0|0|0|0|0
New York Regional Office| 127216|801-68893|DURANTE & WATERS, LLC|DURANTE & WATERS, LLC|2424 ROUTE 6||BREWSTER NY 10509|USA|||  ||GEORGE WATERS|(845) 278-8638|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/04/2008|0|0|0|0|0|0
New York Regional Office| 127269|801-63460|PENBROOK MANAGEMENT LLC|PENBROOK MANAGEMENT LLC|570 LEXINGTON AVE|12TH FLOOR|NEW YORK NY 10022|USA|||  ||BARBARA A. BURKE|212.702.6625|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/27/2004|0|0|0|0|0|0
New York Regional Office| 127315|801-62294|WELLS, CANNING & ASSOCIATES INC.|WELLS, CANNING & ASSOCIATES INC.|465 COLUMBUS AVENUE|SUITE 390|VALHALLA NY 10595|USA|||  ||KAREN WELLS|914 741 9820 X206|Corporation|Pension consulting services, Selection of other advisers, Other|APPROVED|08/21/2003|0|0|0|0|0|0
New York Regional Office| 127357|801-62197|GRANITE GROUP ADVISORS, LLC|GRANITE GROUP ADVISORS, LLC|2900 WESTCHESTER AVE|SUITE 304|PURCHASE NY 10577|USA|||  ||LYLE B. HIMEBAUGH III|(914)251-1608|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|07/01/2003|0|0|0|0|0|0
New York Regional Office| 127488|801-62377|MORGAN STANLEY REAL ESTATE ADVISOR, INC.|MORGAN STANLEY REAL ESTATE ADVISOR, INC.|1585 BROADWAY|REAL ESTATE FUNDS, 37TH FLOOR|NEW YORK NY 10036|USA|||  ||AGATHA T. RUDDY|212-762-6190|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/07/2003|0|0|1|0|0|0
New York Regional Office| 127498|801-62183|AVATAR ASSOCIATES|OAM AVATAR LLC|575 LEXINGTON AVENUE|8TH FLOOR|NEW YORK NY 10022|USA|||  ||THEODORE M. THEODORE|212-624-1888|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/02/2003|0|1|0|0|0|0
New York Regional Office| 127612|801-62228|ADAIR CAPITAL, LLC.|ADAIR CAPITAL, LLC.|405 PARK AVENUE|8TH FLOOR|NEW YORK NY 10022|USA|||  ||JENNIFER PYNE|212-750-1577|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|07/18/2003|0|0|0|0|0|0
New York Regional Office| 127631|801-62253|APEX CAPITAL MANAGEMENT, LLC|APEX CAPITAL MANAGEMENT, LLC|570 LEXINGTON AVENUE, 25TH FLOOR||NEW YORK NY 10022|USA|||  ||AVIEL FALIKS|212-750-5400|Limited Liability Company|Other|APPROVED|08/01/2003|0|0|0|0|0|0
New York Regional Office| 127679|801-63068|EMANCIPATION CAPITAL LLC|EMANCIPATION CAPITAL LLC|1120 AVENUE OF THE AMERICAS|SUITE 1504|NEW YORK NY 10036-6700|USA|||  ||CHARLES FRUMBERG|212-626-2640|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/03/2004|0|0|0|0|0|0
New York Regional Office| 127817|801-62245|FRANK CAPITAL PARTNERS LLC|FRANK CAPITAL PARTNERS LLC|6 STACY COURT||PARSIPPANY NJ 07054-3347|USA|||  ||BRIAN J. FRANK|973-887-7698|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies|APPROVED|07/30/2003|0|0|0|0|0|0
New York Regional Office| 127826|801-62662|TRAJECTORY ASSET MANAGEMENT LLC|TRAJECTORY ASSET MANAGEMENT LLC|150 EAST 52ND ST., 7TH FLOOR||NEW YORK NY 10022|USA|||  ||KIM ERLE|212.755.5070 X112|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/16/2004|0|0|0|0|0|0
New York Regional Office| 127831|801-62794|PAULSON & CO.INC.|PAULSON & CO.INC.|590 MADISON AVENUE|29TH FL.|NEW YORK NY 10022|USA|||  ||STUART MERZER|212-956-2221|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/26/2004|0|0|0|0|0|0
New York Regional Office| 127852|801-69165|W & S MANAGEMENT SERVICES, INC.|W & S MANAGEMENT SERVICES, INC.|3100 LATTA ROAD||ROCHESTER NY 14612|USA|||  ||BRIAN WARD|585-720-9971|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/21/2008|0|0|0|0|0|0
New York Regional Office| 127907|801-63064|WEALTHPRO, LLC|WEALTHPRO, LLC|15 FIRST AVENUE||GLOVERSVILLE NY 12078|USA|||  ||NEAL J. SOLOMON|(518)725-6111|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|04/23/2004|0|0|0|0|0|0
New York Regional Office| 127914|801-62256|WIDAT GROUP, L.L.C.|WIDAT GROUP, L.L.C.|19 CROSS HILL RD||HARTSDALE NY 10530|USA|||  ||CHRISTOPHER O. MANTLE|914-428-1222|Limited Liability Company|Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters, Other|APPROVED|08/01/2003|0|0|0|0|0|0
New York Regional Office| 128068|801-68074|NOYES CAPITAL MANAGEMENT, LLC|NOYES CAPITAL MANAGEMENT, LLC|17 VILLAGE ROAD|SECOND FLOOR|NEW VERNON NJ 07976|USA|PO BOX 271||NEW VERNON NJ 07976|USA|SCOTT P. NOYES|973-267-8120|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|06/21/2007|0|0|0|0|0|0
New York Regional Office| 128093|801-60314|ROBOTTI & COMPANY ADVISORS, LLC|ROBOTTI & COMPANY ADVISORS, LLC|52 VANDERBILT AVENUE||NEW YORK NY 10017|USA|||  ||KARIN CHADWICK|212-986-4800 X118|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/07/2001|0|0|0|0|0|0
New York Regional Office| 128100|801-62336|APOLLO VALUE MANAGEMENT, L.P.|APOLLO VALUE MANAGEMENT, L.P.|9 WEST 57TH STREET|SUITE 4100|NEW YORK NY 10019|USA|||  ||JOHN J. SUYDAM|212.515.3237|Partnership|Other|APPROVED|09/05/2003|0|0|0|0|0|0
New York Regional Office| 128132|801-62330|BLUEMOUNTAIN CAPITAL MANAGEMENT, LLC|BLUEMOUNTAIN CAPITAL MANAGEMENT, LLC|280 PARK AVENUE, 5TH FLOOR||NEW YORK NY 10017|USA|||  ||DAVID RUBENSTEIN|212-905-1250|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/05/2003|0|0|0|0|0|0
New York Regional Office| 128133|801-67741|WEALTH DESIGN SERVICES INC.|WEALTH DESIGN SERVICES INC.|940 WESTFALL ROAD||ROCHESTER NY 14618|USA|||  ||STEVEN SCHWARTZ|585-442-3230|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|05/04/2007|0|0|0|0|0|0
New York Regional Office| 128138|801-62393|KNIGHT VINKE ASSET MANAGEMENT LLC|KNIGHT VINKE ASSET MANAGEMENT LLC|489 FIFTH AVENUE||NEW YORK NY 10017-6100|USA|||  ||PATRICIA BURGESS|916-934-0417|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/14/2003|0|0|0|0|0|0
New York Regional Office| 128169|801-62351|STILLWATER CAPITAL PARTNERS,INC.|STILLWATER CAPITAL PARTNERS,INC.|41 MADISON AVENUE, 29TH FLOOR||NEW YORK NY 10010|USA|||  ||JACK DOUECK|212-629-6952|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|09/22/2003|0|0|0|0|0|0
New York Regional Office| 128199|801-69126|STRATEGIC FAMILY WEALTH COUNSELORS, L.L.C.|STRATEGIC FAMILY WEALTH COUNSELORS, L.L.C.|100 PASSAIC AVENUE||FAIRFIELD NJ 07004|USA|||  ||MICHAEL T. DWYER III|973-575-3444|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|05/02/2008|0|0|0|0|0|0
New York Regional Office| 128222|801-62346|MERIDIAN CAPITAL PARTNERS, INC.|MERIDIAN CAPITAL PARTNERS, INC.|20 CORPORATE WOODS BOULEVARD|4TH FLOOR|ALBANY NY 12211|USA|||  ||JONATHAN P. WHALEN|(518) 432-1600|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/24/2003|0|0|0|0|0|0
New York Regional Office| 128351|801-63113|SG AMERICAS SECURITIES, LLC|SG AMERICAS SECURITIES, LLC|1221 AVENUE OF THE AMERICAS|LEGAL AND COMPLIANCE DEPARTMENT, 8TH FLOOR|NEW YORK NY 10020-1001|USA|||  ||ROSE KEENAN|(212) 278-7630|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/01/2004|1|21|0|0|0|0
New York Regional Office| 128357|801-62392|GREAT OAKS CAPITAL MANAGEMENT, LLC|GREAT OAKS CAPITAL MANAGEMENT, LLC|660 MADISON AVENUE, 14TH FLOOR||NEW YORK NY 10065|USA|||  ||CELINE KWOK|212-821-1800|Limited Liability Company|Portfolio management for individuals and/or small businesses, Other|APPROVED|09/29/2003|0|0|0|0|0|0
New York Regional Office| 128386|801-62345|ALTANES INVESTMENTS, LLC|ALTANES INVESTMENTS, LLC|111 BROADWAY|17TH FLOOR|NEW YORK NY 10006-1914|USA|||  ||MICHAEL OBUCHOWSKI|646-442-2192|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/12/2003|0|0|0|0|0|0
New York Regional Office| 128500|801-62489|GLENN H. BAER, CPA|BAER, GLENN HOWARD|95 LOWER POST ROAD||GHENT NY 12075|USA|||  ||GLENN BAER|518-828-3132|Sole Proprietorship|Financial planning services, Selection of other advisers|APPROVED|10/31/2003|0|0|0|0|0|0
New York Regional Office| 128627|801-63578|PERSONAL ASSET STRATEGIES, INC.|PERSONAL ASSET STRATEGIES, INC.|990 STEWART AVENUE|SUITE 120|GARDEN CITY NY 11530|USA|||  ||JEFFREY B.GARBER|516.248.8811|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|11/12/2004|0|0|1|0|0|0
New York Regional Office| 128713|801-67522|PITCH FINANCIAL SERVICES LLC|PITCH FINANCIAL SERVICES LLC|210 MALAPARDIS ROAD, SUITE 102||CEDAR KNOLLS NJ 07927|USA|||  ||JOSEPH PITCH|973-292-0049|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|02/15/2007|0|0|0|0|0|0
New York Regional Office| 128714|801-62422|REDFIELD, BLONSKY & CO., LLC|REDFIELD, BLONSKY & CO., LLC|15 NORTH UNION AVENUE||CRANFORD NJ 07016|USA|P.O. BOX 1103||CRANFORD NJ 07016-1103|USA|RONALD R. REDFIELD|908-276-7226|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/16/2003|0|0|0|0|0|0
New York Regional Office| 128718|801-62421|BEECHTREE CAPITAL INC.|BEECHTREE CAPITAL INC.|175 HERRICK ROAD||SOUTHAMPTON NY 11968-5044|USA|P.O. BOX 1248||SOUTHAMPTON NY 11969-1248|USA|SUSAN KAY BURKE|631-287-3223|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|10/06/2003|0|0|0|0|0|0
New York Regional Office| 128723|801-65160|TORTOISE INVESTMENT MANAGEMENT, LLC|TORTOISE INVESTMENT MANAGEMENT, LLC|222 MAMARONECK AVENUE|SUITE 207A|WHITE PLAINS NY 10605|USA|||  ||IAN J. YANKWITT|914-686-0024|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/13/2006|0|0|0|0|0|0
New York Regional Office| 128764|801-63144|CTR FINANCIAL GROUP LLC|CTR FINANCIAL GROUP LLC|25 DEFOREST AVE||SUMMIT NJ 07901|USA|||  ||JAMES R. TONELLI|908-277-2350|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/21/2004|0|0|0|0|0|0
New York Regional Office| 128773|801-63110|J.E.B. CAPITAL MANAGEMENT LLC|J.E.B. CAPITAL MANAGEMENT LLC|18 MANOR ROAD||SMITHTOWN NY 11787|USA|||  ||JASON GLADOWSKY|(631) 361-9100|Limited Liability Company|Other|APPROVED|04/29/2004|0|0|0|0|0|0
New York Regional Office| 128780|801-69135|CREATIVE ASSET MANAGEMENT|FINANCIAL PLUS INC.T/A CREATIVE ASSET MANAGEMENT|8 QUAIL HILL ROAD||CLARKSBURG NJ 08510|USA|||  ||CHRISTOPHER G. KAU|609-259-7227|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/07/2008|0|0|0|0|0|0
New York Regional Office| 128793|801-62460|ASSET MANAGEMENT CONSULTING SERVICES, INC.|ASSET MANAGEMENT CONSULTING SERVICES, INC.|26 POST LANE||LIVINGSTON NJ 07039|USA|||  ||KEITH ABRAMSON|212-628-7800|Corporation|Selection of other advisers|APPROVED|10/24/2003|0|0|0|0|0|0
New York Regional Office| 128838|801-62492|TRICADIA CDO MANAGEMENT, LLC|TRICADIA CDO MANAGEMENT, LLC|767 THIRD AVENUE|11TH FLOOR|NEW YORK NY 10017|USA|||  ||JAMES MCKEE|646-388-5900|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/07/2003|0|0|0|0|0|0
New York Regional Office| 128856|801-62452|ESTABROOK CAPITAL MANAGEMENT LLC|ESTABROOK CAPITAL MANAGEMENT LLC|153 EAST 53 STREET|29 FLOOR|NEW YORK NY 10022|USA|||  ||KORRINE N. KOHM|646-710-8541|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|10/22/2003|0|0|0|0|0|0
New York Regional Office| 128962|801-62652|ALJEN ASSET MANAGEMENT LLC|ALJEN ASSET MANAGEMENT LLC|1140 PARSIPPANY BLVD|SUITE 103|PARSIPPANY NJ 07054|USA|||  ||ELLIOTT S COLLINS|9733161212|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Other|APPROVED|01/06/2004|0|0|0|0|0|0
New York Regional Office| 129040|801-64645|POTKUL CAPITAL MANAGEMENT, LLC|POTKUL CAPITAL MANAGEMENT, LLC|3633 HILL RD|3RD FLR|PARSIPPANY NJ 07054|USA|||  ||JAMES POTKUL|973-331-1000|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/06/2005|0|0|0|0|0|0
New York Regional Office| 129049|801-62542|TARGETED FINANCIAL SERVICES, LLC|TARGETED FINANCIAL SERVICES, LLC|900 ROUTE 9 NORTH|6TH FLOOR|WOODBRIDGE NJ 07095|USA|||  ||JAMES CHARLES PAYNE, JR.|732-750-9880|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/19/2003|0|0|0|0|0|0
New York Regional Office| 129108|801-62702|PRINCETON ADVISORY GROUP, INC.|PRINCETON ADVISORY GROUP, INC.|700 ALEXANDER PARK|SUITE 201|PRINCETON NJ 08540|USA|||  ||MUNISH SOOD|609 514-9200|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/23/2004|0|0|0|0|0|0
New York Regional Office| 129112|801-62699|NORTHSTAR ASSET MANAGEMENT LLC|NORTHSTAR ASSET MANAGEMENT LLC|19 MISTY LANE||ANDOVER NJ 07821|USA|||  ||JOHN PAOLONI|908-850-9991|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|01/14/2004|0|0|0|0|0|0
New York Regional Office| 129167|801-68530|OMEGA CAPITAL MANAGEMENT, LLC|OMEGA CAPITAL MANAGEMENT,LLC|2 MT. PROSPECT ST||DOVER NJ 07801|USA|179-9 ROUTE 46 WEST   #110||ROCKAWAY NJ 07866|USA|STEVEN M. BEDELL|973 537-8388|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|11/15/2007|0|0|0|0|0|0
New York Regional Office| 129174|801-67777|R.G HURLEY & ASSOCIATES, INC.|R.G HURLEY & ASSOCIATES, INC.|1099 BLOOMFIELD AVE. SUITE 16||WEST CALDWELL NJ 07006|USA|||  ||ROBERT G. HURLEY|973.227-6006|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|05/03/2007|0|0|0|0|0|0
New York Regional Office| 129175|801-66056|TOWER CAPITAL|TOWER CAPITAL ASSET MANAGEMENT L.P.|650 FIFTH AVENUE|18TH  FLOOR|NEW YORK NY 10019|USA|||  ||DAVID WALKER|212-445-0530|Partnership|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/28/2006|0|0|0|0|0|0
New York Regional Office| 129234|801-68592|AMHERST FINANCIAL SERVICES, INC.|AMHERST FINANCIAL SERVICES, INC.|81 E. WATER STREET|SUITE 2A|TOMS RIVER NJ 08753|USA|81 E. WATER STREET|SUITE 2A|TOMS RIVER NJ 08753|USA|JERRY BOISSEAU|732-349-3377|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/27/2007|0|0|0|0|0|0
New York Regional Office| 129271|801-62551|DIX HILLS PARTNERS, LLC|DIX HILLS PARTNERS, LLC|50 JERICHO QUADRANGLE|SUITE 117|JERICHO NY 11753|USA|||  ||WILLIAM L. GORDON|516-393-9136|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/02/2004|0|0|0|0|0|0
New York Regional Office| 129347|801-62622|LYRA CAPITAL LLC|LYRA CAPITAL LLC|1301 AVENUE OF THE AMERICAS|38TH FL.|NEW YORK NY 10019|USA|||  ||SAMANTHA RICK|212-603-5039|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/20/2004|1|5|1|0|0|0
New York Regional Office| 129410|801-62504|FAIRFIELD GREENWICH ADVISORS LLC|FAIRFIELD GREENWICH ADVISORS LLC|55 EAST 52ND STREET|33RD FLOOR|NEW YORK NY 10055|USA|||  ||ANTHONY DELL'ARENA|212-991-5282|Limited Liability Company|Other|APPROVED|11/17/2003|0|0|0|0|0|0
New York Regional Office| 129428|801-63363|WEALTHSTREAM ADVISORS, INC.|WEALTHSTREAM ADVISORS, INC.|500 5TH AVENUE|SUITE 810|NEW YORK NY 10110|USA|||  ||MICHAEL E. GOODMAN|212-971-9241|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|07/16/2004|0|0|0|0|0|0
New York Regional Office| 129443|801-69291|MONK, STAN|MONK, STANLEY EARL|600 WEST 111TH STREET|APT. PHW|NEW YORK NY 10025|USA|||  ||STAN MONK|212-663-0724|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/23/2008|0|0|0|0|0|0
New York Regional Office| 129451|801-62540|PARK PIEDMONT ADVISORS LLC|PARK PIEDMONT ADVISORS LLC|110 WEST 40TH STREET|SUITE 701|NEW YORK NY 10018|USA|||  ||VICTOR LEVINSON|212-391-2323|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|12/18/2003|0|0|0|0|0|0
New York Regional Office| 129461|801-62953|THUNDER BAY CAPITAL MANAGEMENT, LP|THUNDER BAY CAPITAL MANAGEMENT, LP|1251 AVENUE OF THE AMERICAS|SUITE 2320|NEW YORK NY 10020|USA|||  ||DAVID BEEMAN|212 899 4462|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Other|APPROVED|03/26/2004|0|0|0|0|0|0
New York Regional Office| 129479|801-62530|SCOTSMAN CAPITAL MANAGEMENT LLC|SCOTSMAN CAPITAL MANAGEMENT LLC|10 ROCKEFELLER PLAZA|16TH FLOOR|NEW YORK NY 10020-1903|USA|||  ||JAMES R. GALLOP|(212) 713-7663|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/24/2003|0|0|0|0|0|0
New York Regional Office| 129523|801-62704|BEACON WEALTH MANAGEMENT, LLC|BEACON WEALTH MANAGEMENT LLC|65 HARRISTOWN ROAD||GLEN ROCK NJ 07452|USA|||  ||MARK S. GERMAIN|201-447-9500|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|01/29/2004|0|5|0|0|0|0
New York Regional Office| 129612|801-62982|FORTRESS INVESTMENT GROUP|FIG LLC|1345 AVENUE OF THE AMERICAS|46TH FLOOR|NEW YORK NY 10105|USA|||  ||MICHAEL J. COHN|212-479-5294|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/27/2004|1|1|2|0|0|0
New York Regional Office| 129618|801-62549|NEUBERGER BERMAN INVESTMENT SERVICES, LLC|NEUBERGER BERMAN INVESTMENT SERVICES, LLC|605 THIRD AVENUE|21ST FLOOR|NEW YORK NY 10158|USA|||  ||LORAINE OLAVARRIA|646-497-4670|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/02/2004|0|2|0|0|0|0
New York Regional Office| 129623|801-62541|DRESDNER ADVISORS LLC|DRESDNER ADVISORS LLC|1301 AVENUE OF THE AMERICAS|36TH FLOOR|NEW YORK NY 10019|USA|||  ||D. CHRISTIAN SOUTHWICK|(212) 895-1909|Limited Liability Company|Portfolio management for investment companies|APPROVED|11/28/2003|0|0|0|0|0|0
New York Regional Office| 129650|801-62742|SOLARIS ASSET MANAGEMENT|SOLARIS ASSET MANAGEMENT,LLC|598 MADISON AVENUE||NEW YORK NY 10022-1603|USA|||  ||STEPHEN BRENT WELLS|212-582-5029|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/09/2004|0|0|0|0|0|0
New York Regional Office| 129683|801-63824|ZEPHYR MANAGEMENT, L.P.|ZEPHYR MANAGEMENT, L.P.|320 PARK AVENUE|28TH FLOOR|NEW YORK NY 10022|USA|||  ||MS. JANET CORTAZZI|212-508-9413|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/14/2005|0|0|0|0|0|0
New York Regional Office| 129699|801-62578|INTEGRE ADVISORS, LLC|INTEGRE ADVISORS, LLC|277 PARK AVENUE, 49TH FLOOR||NEW YORK NY 10172|USA|277 PARK AVENUE|49TH FLOOR|NEW YORK NY 10172|USA|MICHAEL J. MARRONE|212-838-2300|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/12/2003|0|0|0|0|0|0
New York Regional Office| 129737|801-63471|ACAM ADVISORS LLC|ACAM ADVISORS LLC|335 MADISON AVENUE|SUITE 800|NEW YORK NY 10017|USA|||  ||LIAM CROKE|212-920-8308|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|09/02/2004|0|0|0|0|0|0
New York Regional Office| 129752|801-62692|QUANTITATIVE MANAGEMENT ASSOCIATES|QUANTITATIVE MANAGEMENT ASSOCIATES LLC|GATEWAY CENTER 2|MCCARTER HIGHWAY & MARKET STREET|NEWARK NJ 07102|USA|||  ||CLARK PELLINGTON|(973) 367-7669|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|01/23/2004|0|0|0|0|0|0
New York Regional Office| 129787|801-63441|LADENBURG THALMANN FUND MANAGEMENT LLC|LADENBURG THALMANN FUND MANAGEMENT LLC|153 EAST 53RD STREET|49TH FLOOR|NEW YORK NY 10022|USA|||  ||PHILLIP BLANCATO|212-409-2682|Limited Liability Company|Portfolio management for investment companies, Selection of other advisers|APPROVED|11/12/2004|0|11|0|0|0|0
New York Regional Office| 129789|801-62672|CSM CAPITAL CORPORATION|CSM CAPITAL CORPORATION|625 MADISON AVENUE|3RD FLOOR|NEW YORK NY 10022-1801|USA|||  ||KERRY J. BROSKY|(212) 400-9551|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/16/2004|0|0|0|0|0|0
New York Regional Office| 129800|801-63194|SANDHILL INVESTMENT MANAGEMENT|SANDHILL CAPITAL PARTNERS LLC|591 DELAWARE AVENUE||BUFFALO NY 14202|USA|||  ||KELLY A. MARSHALL|716-362-9899|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/16/2004|0|1|0|0|0|0
New York Regional Office| 129829|801-66346|GUALARIO & CO., LLC|GUALARIO & CO., LLC|48 WALL STREET|7TH FLOOR|NEW YORK NY 10005|USA|||  ||RONALD GUALARIO|212-487-2500|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|04/04/2006|0|0|0|0|0|0
New York Regional Office| 129833|801-62626|STONEWATER CAPITAL LLC|STONEWATER CAPITAL LLC|12 EAST 49TH STREET|36TH FLOOR|NEW YORK NY 10017|USA|||  ||JUDY HALABY|212-231-0054|Limited Liability Company|Other|APPROVED|01/12/2004|0|0|0|0|0|0
New York Regional Office| 129874|801-62630|TRACER CAPITAL MANAGEMENT L.P.|TRACER CAPITAL MANAGEMENT L.P.|540 MADISON AVENUE, 33RD FLOOR||NEW YORK NY 10022|USA|||  ||THOMAS PERRONE|212-419-4254|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/09/2004|0|0|0|0|0|0
New York Regional Office| 129921|801-63176|OCH-ZIFF REAL ESTATE ADVISORS LP|OCH-ZIFF REAL ESTATE ADVISORS LP|9 WEST 57TH STREET,13TH FLOOR||NEW YORK NY 10019|USA|||  ||TOYANNA M. MAYO|212-790-0165|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/27/2004|0|0|0|0|0|0
New York Regional Office| 129934|801-63794|SUNNYMEATH ASSET MANAGEMENT, INC.|SUNNYMEATH ASSET MANAGEMENT, INC.|10 MECHANIC STREET|SUITE 200|RED BANK NJ 07701|USA|||  ||JERRY A. GROSPE|732-936-1150|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/14/2005|0|0|0|0|0|0
New York Regional Office| 130010|801-62633|REGISTERED INVESTMENT ADVISERS LLC|REGISTERED INVESTMENT ADVISERS LLC|7 WALNUT ROAD||GLEN COVE NY 11542|USA|||  ||WARREN NADEL|516-656-3636|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/05/2004|0|0|0|0|0|0
New York Regional Office| 130019|801-62886|KSA CAPITAL MANAGEMENT, LLC|KSA CAPITAL MANAGEMENT, LLC|4 ESSEX AVENUE|4TH FLOOR, SUITE 403|BERNARDSVILLE NJ 07924|USA|||  ||DANIEL KHOSHABA|908-766-4720|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/26/2004|0|0|0|0|0|0
New York Regional Office| 130021|801-62646|HUDSON PORTFOLIO MANAGEMENT LLC|HUDSON PORTFOLIO MANAGEMENT LLC|27 GARRISON'S LANDING||GARRISON NY 10524-0344|USA|P.O. BOX 344||GARRISON NY 10524-0344|USA|BYRON S. STINSON|(845) 424-4567|Limited Liability Company|Portfolio management for individuals and/or small businesses, Other|APPROVED|01/09/2004|0|0|0|0|0|0
New York Regional Office| 130023|801-62639|AH LISANTI CAPITAL GROWTH, LLC|AH LISANTI CAPITAL GROWTH, LLC|608 FIFTH AVENUE|SUITE 303|NEW YORK NY 10020|USA|||  ||DIANE M. DALY|617-371-3900|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/05/2004|0|2|0|0|0|0
New York Regional Office| 130051|801-69269|HURLEY CAPITAL, LLC|HURLEY CAPITAL, LLC|1120 AVENUE OF THE AMERICAS|SUITE 1504|NEW YORK NY 10036|USA|||  ||CHARLES H. GOLDBLUM|212-626-2642|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|06/12/2008|0|0|0|0|0|0
New York Regional Office| 130063|801-62661|XYLEM GLOBAL PARTNERS, LLC|XYLEM GLOBAL PARTNERS, LLC|122 EAST 42ND STREET|SUITE 4700|NEW YORK NY 10168-4901|USA|||  ||STEPHEN N. HURLEY|212 871 8641|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/16/2004|0|0|0|0|0|0
New York Regional Office| 130065|801-62898|SAGE ASSET MANAGEMENT, L.P.|SAGE ASSET MANAGEMENT, L.P.|500 FIFTH AVENUE|SUITE 930|NEW YORK NY 10110|USA|||  ||BRET CUMMINGS|212-521-0929|Partnership|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|03/17/2004|0|0|0|0|0|0
New York Regional Office| 130070|801-68932|JOHN JAMES ASSET MANAGEMENT, LLC|JOHN JAMES ASSET MANAGEMENT, LLC|80 LIDO BOULEVARD||POINT LOOKOUT NY 11569|USA|P.O. BOX 40||POINT LOOKOUT NY 11569-0597|USA|ROBERT J. SULLIVAN|516-431-1742|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/12/2008|0|0|0|0|0|0
New York Regional Office| 130158|801-62728|MADISON HARBOR CAPITAL MANAGEMENT, LLC|MADISON HARBOR CAPITAL MANAGEMENT, LLC|405 LEXINGTON AVE|47TH FLOOR|NEW YORK NY 10174|USA|||  ||RUSSELL H. BATES|212-380-5500|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/17/2004|0|1|1|0|0|0
New York Regional Office| 130263|801-62724|FORE RESEARCH AND MANAGEMENT, LP|FORE RESEARCH AND MANAGEMENT, LP|280 PARK AVENUE, 43RD FLOOR||NEW YORK NY 10017|USA|||  ||DANIEL AGRANOFF|212 984 3864|Partnership|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/02/2004|0|0|0|0|0|0
New York Regional Office| 130302|801-62767|STUX CAPITAL MANAGEMENT, LLC|STUX CAPITAL MANAGEMENT, LLC|520 WEST END AVENUE|SUITE A|NEW YORK NY 10024|USA|||  ||THOMAS A. BAUER|212-579-7388|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/31/2003|0|0|0|0|0|0
New York Regional Office| 130320|801-69335|CAPITAL DYNAMICS, INC.|CAPITAL DYNAMICS, INC.|645 MADISON AVENUE|19TH FLOOR|NEW YORK NY 10022|USA|||  ||HUW THOMPSON|212-798-3400|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|06/19/2008|0|0|0|0|0|0
New York Regional Office| 130346|801-62778|RIVERSTONE ADVISORS, LLC|RIVERSTONE ADVISORS, LLC|700 WHITE PLAINS ROAD|SUITE 313|SCARSDALE NY 10583|USA|||  ||LESLIE J. LAMMERS|914-722-1700|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/12/2004|0|0|0|0|0|0
New York Regional Office| 130352|801-62755|MACQUARIE CAPITAL INVESTMENT MANAGEMENT LLC|MACQUARIE CAPITAL INVESTMENT MANAGEMENT LLC|125 W 55TH STREET|LEVEL 10|NY NY 10019|USA|||  ||RICHARD CRAIG BUTT|212-231-1868|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/06/2004|0|10|0|0|0|0
New York Regional Office| 130440|801-62790|GREYLOCK CAPITAL ADVISERS, LLC|GREYLOCK CAPITAL ADVISERS, LLC|99 PARK AVENUE|11TH FLOOR|NEW YORK NY 10016|USA|||  ||THOMAS ELWOOD|212-808-1822|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|03/01/2004|0|0|0|0|0|0
New York Regional Office| 130538|801-67376|NORTHWEST CRITERION ASSET MANAGEMENT, L.L.C.|NORTHWEST CRITERION ASSET MANAGEMENT, L.L.C.|34 CHAMBERS STREET||PRINCETON NJ 08542|USA|||  ||JOSEPH F. HUNT|609-924-4488|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|01/03/2007|0|0|0|0|0|0
New York Regional Office| 130545|801-62963|NINE THIRTY CAPITAL MANAGEMENT, LLC|NINE THIRTY CAPITAL MANAGEMENT, LLC|152 WEST 57TH STREET,|56TH FLOOR|NEW YORK NY 10019-3310|USA|||  ||J. ROBERT SMALL|(212) 918-8930|Limited Liability Company|Financial planning services, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/05/2004|0|0|0|0|0|0
New York Regional Office| 130606|801-62892|TORREY MANAGEMENT ASSOCIATES, LLC|TORREY MANAGEMENT ASSOCIATES, LLC|505 PARK AVENUE|5TH FLOOR|NEW YORK NY 10022|USA|||  ||JAMES R. O'CONNOR|212 644-7800|Limited Liability Company|Selection of other advisers, Other|APPROVED|03/12/2004|0|0|0|0|0|0
New York Regional Office| 130610|801-62840|APOLLO INVESTMENT MANAGEMENT, L.P.|APOLLO INVESTMENT MANAGEMENT, L.P.|9 WEST 57TH STREET|SUITE 4100|NEW YORK NY 10019|USA|||  ||JOHN J. SUYDAM|212.525.3237|Partnership|Portfolio management for investment companies|APPROVED|02/23/2004|0|0|0|0|0|0
New York Regional Office| 130752|801-62958|ANGELO, GORDON ADVISORS, LLC|ANGELO, GORDON ADVISORS, LLC|245 PARK AVENUE, 26TH FLOOR||NEW YORK NY 10167|USA|||  ||VERNA RAMIREZ|(212) 692-8270|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/30/2004|0|0|0|0|0|0
New York Regional Office| 130760|801-65874|MORTON FINANCIAL, INC.|MORTON FINANCIAL, INC.|40 CHESTNUT STREET||GLEN COVE NY 11542|USA|||  ||JONATHAN A. MORTON|(312) 224-1669|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/27/2006|0|0|0|0|0|0
New York Regional Office| 130774|801-63084|TOBIAS CAPITAL L.P.|TOBIAS CAPITAL L.P.|623 FIFTH AVE., SUITE 2501||NEW YORK NY 10022|USA|||  ||LEWIS GLASSMAN|(212) 251-3200|Partnership|Other|APPROVED|05/07/2004|0|0|0|0|0|0
New York Regional Office| 130811|801-63042|MAYERCAP, LLC|MAYERCAP, LLC|230 PARK AVENUE|SUITE 1544|NEW YORK NY 10169|USA|||  ||RON PANZIER|212-400-7873|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/27/2004|0|0|0|0|0|0
New York Regional Office| 130819|801-63358|CORBIN CAPITAL PARTNERS, L.P.|CORBIN CAPITAL PARTNERS, L.P.|9 WEST 57TH STREET|25TH FLOOR|NEW YORK NY 10019-2701|USA|||  ||ANTHONY ANSELMO|(212) 634-7343|Partnership|Other|APPROVED|07/16/2004|0|0|0|0|0|0
New York Regional Office| 130849|801-64963|RIVERSTONE INVESTMENT SERVICES LLC|RIVERSTONE INVESTMENT SERVICES LLC|712 FIFTH AVENUE||NEW YORK NY 10019|USA|||  ||DIANNA ROSSER APRILE|212-271-6252|Limited Liability Company|Other|APPROVED|12/09/2005|0|0|0|0|0|0
New York Regional Office| 130852|801-63040|THE DAVID J. YVARS GROUP, INC.|THE DAVID J. YVARS, GROUP, INC|DIAMOND CORPORATE PARK|400 COLUMBUS AVENUE|VALHALLA NY 10595|USA|||  ||DAVID J. YVARS|914 741 9700|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|04/15/2004|0|0|0|0|0|0
New York Regional Office| 130913|801-62895|DALTON, GREINER, HARTMAN, MAHER & CO., LLC|DALTON, GREINER, HARTMAN, MAHER & CO., LLC|565 FIFTH AVENUE|SUITE 2101|NEW YORK NY 10017|USA|||  ||THOMAS F. GIBSON|212-400-2220|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/06/2004|0|1|1|0|0|0
New York Regional Office| 130930|801-62902|TAURUS ASSET MANAGEMENT, LLC|TAURUS ASSET MANAGEMENT, LLC|590 MADISON AVENUE, 35TH FLR||NEW YORK NY 10022|USA|||  ||BRADFORD R. PECK|212-457-9933|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/12/2004|0|0|0|0|0|0
New York Regional Office| 130951|801-64171|WEALTH HEALTH, LLC|WEALTH HEALTH, LLC|5 BECKER FARM ROAD||ROSELAND NJ 07068|USA|||  ||RICHARD COPPA|973-535-9577|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/08/2005|0|0|0|0|0|0
New York Regional Office| 130987|801-63015|ADIRONDACK RESEARCH & MANAGEMENT INC.|ADIRONDACK RESEARCH & MANAGEMENT INC.|26 VLY ROAD||ALBANY NY 12205|USA|||  ||GREGORY A. ROEDER|518 690-0470|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies|APPROVED|04/13/2004|0|0|0|0|0|0
New York Regional Office| 131018|801-62969|PROSPECT CAPITAL MANAGEMENT LLC|PROSPECT CAPITAL MANAGEMENT LLC|10 EAST 40TH STREET|44TH FLOOR|NEW YORK NY 10016|USA|||  ||DARIA BECKER|(212) 448-1006|Limited Liability Company|Portfolio management for investment companies|APPROVED|03/31/2004|0|0|0|0|0|0
New York Regional Office| 131068|801-63360|MICHAEL SNOW D/B/A SNOW FINANCIAL MANAGEMENT|SNOW, MICHAEL|423 JOBS LANE||WATERMILL NY 11976|USA|||  ||GAY SNOW|631-537-5033|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|07/23/2004|0|0|0|0|0|0
New York Regional Office| 131071|801-63029|AM INVESTMENT PARTNERS LLC|AM INVESTMENT PARTNERS LLC|ONE LIBERTY PLAZA|27TH FLOOR|NEW YORK NY 10006|USA|||  ||DANIEL DWYER|212-508-3931|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/13/2004|0|0|0|0|0|0
New York Regional Office| 131124|801-63022|PRINCE STREET CAPITAL MANAGEMENT LLC|PRINCE STREET CAPITAL MANAGEMENT LLC|152 WEST 57TH STREET 10TH FLOOR||NEW YORK NY 10019|USA|||  ||PETER MCKOWN|212-931-8652|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/15/2004|0|0|0|0|0|0
New York Regional Office| 131169|801-63023|SUTTONBROOK CAPITAL MANAGEMENT LP|SUTTONBROOK CAPITAL MANAGEMENT LP|598 MADISON AVENUE|6TH FLOOR|NEW YORK NY 10022|USA|||  ||BRETT SPECTOR|212-588-6622|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/09/2004|0|0|0|0|0|0
New York Regional Office| 131243|801-63032|SAFRA ASSET MANAGEMENT CORPORATION|SAFRA ASSET MANAGEMENT CORPORATION|546 FIFTH AVENUE||NEW YORK CITY NY 10036|USA|||  ||FRANK J. WANZOR|212.704.5524|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/15/2004|0|0|0|0|0|0
New York Regional Office| 131280|801-63054|GREENHILL CAPITAL PARTNERS, LLC|GREENHILL CAPITAL PARTNERS, LLC|300 PARK AVENUE|23RD FLOOR|NEW YORK NY 10022|USA|||  ||HAROLD J. RODRIGUEZ, JR.|212-389-1516|Limited Liability Company|Other|APPROVED|04/27/2004|0|0|0|0|0|0
New York Regional Office| 131324|801-63074|COMPREHENSIVE WEALTH SOLUTIONS, LLC|COMPREHENSIVE WEALTH SOLUTIONS, LLC|51 JFK PARKWAY|FIRST FLOOR WEST|SHORT HILLS NJ 07078|USA|||  ||GARY LEE DENNIS|973-924-2307|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|05/03/2004|0|0|0|0|0|0
New York Regional Office| 131334|801-63655|EKN ASSET MANAGEMENT GROUP, INC.|EKN ASSET MANAGEMENT GROUP, INC.|600 OLD COUNTRY ROAD|SUITE 207|GARDEN CITY NY 11530|USA|||  ||ANTHONY OTTIMO|516-396-1234 X1260|Corporation|Portfolio management for investment companies|APPROVED|08/11/2005|0|0|1|0|0|0
New York Regional Office| 131352|801-63067|FISCHER & CO., LP|FISCHER & CO., LP|767 3RD AVENUE|38TH FLOOR|NEW YORK NY 10017|USA|||  ||PAUL CAMPBELL|(212) 759-4400|Partnership|Other|APPROVED|05/10/2004|0|0|0|0|0|0
New York Regional Office| 131367|801-63123|XE CAPITAL ADVISERS, LLC|XE CAPITAL ADVISERS, LLC|24 W. 40 STREET, 3RD. FLOOR||NEW YORK NY 10018|USA|||  ||JOSEPH DIGIGLIO|(646) 253-6400|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/29/2004|1|0|0|0|0|0
New York Regional Office| 131368|801-63076|SAMSON CAPITAL ADVISORS LLC|SAMSON CAPITAL ADVISORS LLC|598 MADISON AVENUE|7TH FLOOR|NEW YORK NY 10022|USA|||  ||MARY WALSH|212-300-1623|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/11/2004|0|0|2|0|0|0
New York Regional Office| 131378|801-63104|OAKTREE ASSET MANAGEMENT, LLC|OAKTREE ASSET MANAGEMENT, LLC|30 WALL STREET|SUITE 1203|NEW YORK NY 10005-2201|USA|||  ||MILAGROS KLEINER|212-269-6720|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/10/2004|0|1|0|0|0|0
New York Regional Office| 131445|801-63093|CARRET ASSET MANAGEMENT, LLC|CARRET ASSET MANAGEMENT, LLC|40 WEST 57TH STREET|20TH FLOOR|NEW YORK NY 10019|USA|||  ||MARCO VEGA|212-593-3800|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/17/2004|0|6|0|0|0|0
New York Regional Office| 131460|801-63100|MEREDITH PORTFOLIO MANAGEMENT INC.|MEREDITH PORTFOLIO MANAGEMENT INC.|600 LEXINGTON AVE|29TH FLOOR|NEW YORK NY 10022|USA|||  ||JOHN D'AMICO|(212) 969-9292|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/31/2004|0|1|0|0|0|0
New York Regional Office| 131467|801-63152|PRISMA CAPITAL PARTNERS LP|PRISMA CAPITAL PARTNERS LP|HARBORSIDE FINANCIAL CENTER|208 PLAZA TEN|JERSEY CITY NJ 07311-4023|USA|||  ||FRANCIS J. CONROY|201-356-7000|Partnership|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/26/2004|0|0|0|0|0|0
New York Regional Office| 131497|801-63215|METALMARK SUBADVISOR LLC|METALMARK SUBADVISOR LLC|1177 AVENUE OF THE AMERICAS, 40TH FLOOR||NEW YORK NY 10036|USA|||  ||KENNETH F. CLIFFORD|212-823-1915|Limited Liability Company|Other|APPROVED|06/18/2004|0|0|0|0|0|0
New York Regional Office| 131511|801-63239|GSG ADVISORS LLC|GSG ADVISORS LLC|555 LINCOLN DRIVE WEST|SECOND FLOOR - SUITE 4|MARLTON NJ 08053|USA|||  ||JON MICHAEL GREER|856-234-9595|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|07/01/2004|0|0|0|0|0|0
New York Regional Office| 131520|801-63371|ASCENT CAPITAL MANAGEMENT, INC.|ASCENT CAPITAL MANAGEMENT, INC.|1160 FIFTH AVENUE|SUITE 207|NEW YORK NY 10029|USA|||  ||PEGGY A. FARLEY|212 828-3906|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/23/2004|0|0|0|0|0|0
New York Regional Office| 131526|801-63151|IQ INVESTMENT ADVISORS LLC|IQ INVESTMENT ADVISORS LLC|4 WORLD FINANCIAL CENTER|6TH FLOOR|NEW YORK NY 10080|USA|ATTN:  MARLA MOSKOWITZ-HESSE|222 BROADWAY, 16TH FLOOR|NEW YORK NY 10038|USA|MARLA MOSKOWITZ-HESSE|212-670-0314|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/15/2004|0|4|1|0|0|0
New York Regional Office| 131533|801-67000|SHELTERWOOD FINANCIAL SERVICES|SHELTERWOOD FINANCIAL SERVICES L.L.C.|60 EAST 42ND STREET|SUITE 3410|NEW YORK NY 10165|USA|||  ||WARREN PAGE|212-937-1028|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|07/14/2006|0|0|0|0|0|0
New York Regional Office| 131534|801-66006|NPA ASSET MANAGEMENT, LLC|NPA ASSET MANAGEMENT, LLC|1 PARAGON DRIVE|SUITE 100|MONTVALE NJ 07645|USA|||  ||MICHAEL J. KARALEWICH|201-476-0029|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|02/23/2006|0|0|0|0|0|0
New York Regional Office| 131556|801-63118|EPOCH INVESTMENT PARTNERS, INC.|EPOCH INVESTMENT PARTNERS, INC.|640 FIFTH AVENUE|18TH FLOOR|NEW YORK NY 10019|USA|||  ||TIMOTHY TAUSSIG|212-303-7200|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|05/11/2004|0|0|0|0|0|0
New York Regional Office| 131570|801-63229|COLONIAL CONSULTING, LLC|COLONIAL CONSULTING, LLC|750 THIRD AVENUE|20TH FLOOR|NEW YORK NY 10017|USA|||  ||MILINDA S. CEGLIA|212-218-4922|Limited Liability Company|Pension consulting services, Selection of other advisers, Other|APPROVED|06/07/2004|0|0|0|0|0|0
New York Regional Office| 131572|801-63303|T2 PARTNERS MANAGEMENT LP|T2 PARTNERS MANAGEMENT LP|145 E. 57TH ST.|10TH FLOOR|NEW YORK NY 10022|USA|||  ||GLENN H. TONGUE|212-386-7160|Other (specify)|Portfolio management for investment companies, Selection of other advisers, Other|APPROVED|07/08/2004|0|0|0|0|0|0
New York Regional Office| 131669|801-63289|LINGOLD ASSOCIATES LLC|LINGOLD ASSOCIATES LLC|500 FIFTH AVENUE, 50TH FLOOR||NEW YORK NY 10110-5099|USA|||  ||MICHAEL F. MORAN|212-391-8960|Limited Liability Company|Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|07/08/2004|0|0|0|0|0|0
New York Regional Office| 131688|801-63540|BUCKMAN ADVISORY GROUP LLC|BUCKMAN ADVISORY GROUP LLC|174 PATTERSON AVENUE||SHREWSBURY NJ 07702|USA|||  ||HARRY JOHN BUCKMAN, JR.|732-530-0303|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|09/24/2004|0|0|0|0|0|0
New York Regional Office| 131728|801-63200|E&E CAPITAL ADVISORS LLC|E&E CAPITAL ADVISORS LLC|375 PARK AVE.|SUITE 2800|NEW YORK NY 10152|USA|||  ||TINIKA M. BROWN|(212) 891-8625|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/28/2004|0|0|0|0|0|0
New York Regional Office| 131796|801-63317|PAPAMARKOU ASSET MANAGEMENT INCORPORATED|PAPAMARKOU ASSET MANAGEMENT INCORPORATED|767 FIFTH AVENUE|50TH FLOOR|NEW YORK NY 10153|USA|||  ||KARL G. WELLNER|212-223-2020|Corporation|Pension consulting services, Selection of other advisers, Other|APPROVED|07/21/2004|0|1|0|0|0|0
New York Regional Office| 131818|801-63443|HOTTINGER BROTHERS LLC|HOTTINGER BROTHERS LLC|1270 AVENUE OF THE AMERICAS|SUITE 400|NEW YORK NY 10020|USA|||  ||RUDOLF MILLISITS|212.332.7930|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/18/2004|0|0|0|0|0|0
New York Regional Office| 131845|801-63257|HAYGROUND COVE ASSOCIATES LP|HAYGROUND COVE ASSOCIATES LP|1370 AVENUE OF THE AMERICAS|28TH FLOOR|NEW YORK NY 10019|USA|||  ||LAURA CONOVER|212-445-7800|Partnership|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|07/08/2004|0|0|0|0|0|0
New York Regional Office| 131889|801-63507|TSP CAPITAL MANAGEMENT GROUP, LLC|TSP CAPITAL MANAGEMENT GROUP, LLC|382 SPRINGFIELD AVENUE|SUITE 500|SUMMIT NJ 07901|USA|||  ||THOMAS S. PALUCK|(908) 273-2105|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|09/10/2004|0|0|0|0|0|0
New York Regional Office| 131893|801-63270|SCHORPP CAPITAL MANAGEMENT|SCHORPP CAPITAL MANAGEMENT, PC|623 GEORGES RD||NORTH BRUNSWICK NJ 08902|USA|||  ||DOUGLAS SCHORPP|732-247-0939|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/09/2004|0|0|0|0|0|0
New York Regional Office| 131910|801-66317|CASTLE ASSET MANAGEMENT, LLC|CASTLE ASSET MANAGEMENT, LLC|145 MARCUS BLVD.||HAUPPAUGE NY 11788|USA|||  ||JOE HATZFELD|631-952-3700|Limited Liability Company|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|03/08/2006|0|0|0|0|0|0
New York Regional Office| 131924|801-65677|FORUM ASSET MANAGEMENT LLC|FORUM ASSET MANAGEMENT LLC|2 GRAND CENTRAL TOWER|140 EAST 45TH ST, SUITE 14A|NEW YORK NY 10017|USA|||  ||AMERICO DA CORTE- ABREU|212-599-2781|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/23/2006|0|0|0|0|0|0
New York Regional Office| 131937|801-63319|AVENUE EUROPE INTERNATIONAL MANAGEMENT, L.P.|AVENUE EUROPE INTERNATIONAL MANAGEMENT, L.P.|535 MADISON AVENUE|15TH FLOOR|NEW YORK NY 10022|USA|||  ||SONIA E. GARDNER|212-850-7519|Partnership|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/02/2004|0|0|0|0|0|0
New York Regional Office| 131940|801-34300|ANGELO, GORDON & CO., L.P.|ANGELO, GORDON & CO., L.P.|245 PARK AVENUE|26TH FLOOR|NEW YORK NY 10167|USA|||  ||VERNA RAMIREZ|(212) 692-8270|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/26/1989|0|0|0|0|0|0
New York Regional Office| 132008|801-63666|METALMARK MANAGEMENT LLC|METALMARK MANAGEMENT LLC|1177 AVENUE OF THE AMERICAS, 40TH FLOOR||NEW YORK NY 10036|USA|||  ||KENNETH F. CLIFFORD|212-823-1915|Limited Liability Company|Other|APPROVED|01/03/2005|0|0|0|0|0|0
New York Regional Office| 132021|801-63272|MACKENZIE HUGHES & HARTNETT INVESTMENT ADVISORS LLC|MACKENZIE HUGHES & HARTNETT INVESTMENT ADVISORS LLC|101 SOUTH SALINA STREET|SUITE 600|SYRACUSE NY 13202|USA|P.O. BOX 4967||SYRACUSE NY 13221-4967|USA|ELIZABETH A. HARTNETT|315-233-8298|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|06/01/2004|0|0|0|0|0|0
New York Regional Office| 132045|801-66918|CLEAR BROOK ADVISORS, INC.|CLEAR BROOK ADVISORS, INC.|75 ROCKEFELLER PLAZA, 14TH FLOOR||NEW YORK NY 10019|USA|||  ||JANIE WALLACE|212-350-8211|Corporation|Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|06/20/2006|0|0|0|0|0|0
New York Regional Office| 132067|801-63271|ASCENSION ASSET MANAGEMENT LLC|ASCENSION ASSET MANAGEMENT LLC|950 THIRD AVENUE, 28TH FLOOR||NEW YORK NY 10022-2705|USA|||  ||GRENVILLE M. GOODER, JR.|212-935-0782|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|06/23/2004|0|0|0|0|0|0
New York Regional Office| 132136|801-63553|CURRAN INVESTMENT MANAGEMENT|CIM, LLC|30 S. PEARL STREET, 9TH FLOOR||ALBANY NY 12207|USA|||  ||LISA CLIFFORD|518-391-4292|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|10/13/2004|0|1|0|0|0|0
New York Regional Office| 132155|801-65359|CASTLEROCK MANAGEMENT|CASTLEROCK ASSET MANAGEMENT, INC.|101 PARK AVENUE|23RD FLOOR|NEW YORK NY 10178-2399|USA|||  ||MARIA LAMARI BURDEN|212-251-3335|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/27/2006|1|0|0|0|0|0
New York Regional Office| 132166|801-64016|WOLF ASSET MANAGEMENT INTERNATIONAL LLC|WOLF ASSET MANAGEMENT INTERNATIONAL LLC|650 FIFTH AVENUE|10TH FLOOR|NEW YORK NY 10019|USA|C/O WOLF INTERNATIONAL ADVISORS|425 SANDOVAL STREET|SANTA FE NM 87501|USA|PAUL JOHNSON|505-955-9950|Limited Liability Company|Selection of other advisers, Other|APPROVED|03/03/2005|0|0|0|0|0|0
New York Regional Office| 132222|801-63427|SUORITUS PARTNERS, LLC|SUORITUS PARTNERS, LLC|156 WEST 56TH STREET|SUITE 2005|NEW YORK NY 10019|USA|||  ||JEANMARC MERINE|212-541-5700|Limited Liability Company|Other|APPROVED|08/13/2004|0|0|0|0|0|0
New York Regional Office| 132233|801-63351|MERIDIAN DIVERSIFIED FUND MANAGEMENT, LLC|MERIDIAN DIVERSIFIED FUND MANAGEMENT, LLC|20 CORPORATE WOODS BOULEVARD|4TH FLOOR|ALBANY NY 12211|USA|||  ||JONATHAN P. WHALEN|(518) 432-1600|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/05/2004|0|0|0|0|0|0
New York Regional Office| 132329|801-63745|CREDIT RISK ADVISORS, L.P.|CREDIT RISK ADVISORS, L.P.|11 IVY PLACE||UPPER SADDLE RIVER NJ 07458-1318|USA|||  ||ALLEN J. LEVINSON|201-934-7768|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/13/2004|0|0|0|0|0|0
New York Regional Office| 132330|801-63357|MASSEY, QUICK & CO. LLC|MASSEY, QUICK & CO. LLC|360 MT. KEMBLE AVE||MORRISTOWN NJ 07960|USA|||  ||LESLIE C. QUICK|973-525-1000|Limited Liability Company|Financial planning services, Selection of other advisers|APPROVED|07/16/2004|0|1|0|0|0|0
New York Regional Office| 132367|801-63563|DYNAMIC CREDIT PARTNERS LLC|DYNAMIC CREDIT PARTNERS LLC|690 MADISON AVENUE||NEW YORK NY 10065|USA|||  ||ANDREW WAX|212-710-6666|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|10/08/2004|0|0|0|0|0|0
New York Regional Office| 132374|801-63756|HARDT GROUP ADVISORS, INC.|HARDT GROUP ADVISORS, INC.|99 PARK AVENUE|SUITE 1550|NEW YORK NY 10016-1601|USA|||  ||RACHEL N. SCHATTEN|(212) 523-0212|Corporation|Selection of other advisers, Other|APPROVED|01/03/2005|0|0|0|0|0|0
New York Regional Office| 132392|801-63404|PENNSYLVANIA AVENUE ADVISERS LLC|PENNSYLVANIA AVENUE ADVISERS LLC|260 WATER STREET #3C||BROOKLYN NY 11201-1290|USA|||  ||THOMAS KIRCHNER|347-599-0786 & 202-294-8887|Limited Liability Company|Portfolio management for investment companies|APPROVED|08/11/2004|0|0|0|0|0|0
New York Regional Office| 132466|801-64744|FIRST PRINCIPLES CAPITAL MANAGEMENT, LLC|FIRST PRINCIPLES CAPITAL MANAGEMENT, LLC|140 BROADWAY|18TH FLOOR|NEW YORK NY 10005|USA|||  ||STEPHEN MILLER|212-380-2286|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|10/03/2005|0|0|0|0|0|0
New York Regional Office| 132473|801-63415|IKE CAPITAL, LLC|IKE CAPITAL, LLC|150 EAST 52ND STREET|3RD FLOOR|NEW YORK NY 10022|USA|||  ||LAWRENCE H. LEVY|212-558-8825|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/06/2004|0|0|0|0|0|0
New York Regional Office| 132484|801-67619|JC MIANO INVESTMENT ADVISORY|MIANO, JOHN CHRISTOPHER|258 GENESEE ST.||UTICA NY 13502-4627|USA|||  ||JOHN MIANO|315-734-0703|Sole Proprietorship|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/13/2007|0|0|0|0|0|0
New York Regional Office| 132495|801-63438|STONECASTLE ADVISORS, LLC|STONECASTLE ADVISORS, LLC|120 WEST 45TH STREET|14TH FLOOR|NEW YORK NY 10036|USA|||  ||MATTHEW MAYERS|212-354-6500 EXT. 301|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/20/2004|0|0|0|0|0|0
New York Regional Office| 132694|801-63492|TIMESSQUARE CAPITAL MANAGEMENT, LLC|TIMESSQUARE CAPITAL MANAGEMENT, LLC|1177 AVENUE OF THE AMERICAS|39TH FLOOR|NEW YORK NY 10036|USA|||  ||MARK J. AARON|917-342-7950|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/10/2004|0|0|0|0|0|0
New York Regional Office| 132728|801-63595|GENERATION INVESTMENT MANAGEMENT US LLP|GENERATION INVESTMENT MANAGEMENT US LLP|733 THIRD AVENUE|SUITE 1825|NEW YORK NY 10017|USA|||  ||MR. PETER SAGE KNIGHT|(646) 786-1355|Limited Liability Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/22/2004|0|0|0|0|0|0
New York Regional Office| 132737|801-66472|LIPE & DALTON INVESTMENT COUNSEL|LIPE & DALTON,INC.|109 SOUTH WARREN STREET|SUITE 1107|SYRACUSE NY 13202|U.S.A.|||  ||PATRICK M. DALTON|(315) 428-8585|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/23/2006|0|0|0|0|0|0
New York Regional Office| 132753|801-63692|AEA INVESTORS SBF LLC|AEA INVESTORS SBF LLC|C/O AEA INVESTORS LLC|55 EAST 52ND STREET - 35TH FLOOR|NEW YORK NY 10055|U.S.A.|||  ||SANFORD KRIEGER|212-702-0510|Limited Liability Company|Other|APPROVED|11/22/2004|0|0|0|0|0|0
New York Regional Office| 132773|801-63646|ADAR INVESTMENT MANAGEMENT LLC|ADAR INVESTMENT MANAGEMENT LLC|156 WEST 56TH STREET|SUITE 801|NEW YORK NY 10019|USA|||  ||AARON MORSE|(212) 373-8900|Limited Liability Company|Other|APPROVED|12/01/2004|0|0|0|0|0|0
New York Regional Office| 132774|801-63524|TRIBECA GLOBAL MANAGEMENT LLC|TRIBECA GLOBAL MANAGEMENT LLC|731 LEXINGTON AVE||NEW YORK NY 10022|USA|||  ||DENNIS G. SHEA|212-559-1022|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/30/2004|0|1|0|0|0|0
New York Regional Office| 132809|801-63541|K.A. RADIGAN, LLC|K.A. RADIGAN, LLC|3508 AVENUE P||BROOKLYN NY 11234-3422|USA|||  ||KATHERINE ANN RADIGAN|718 339 9128|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/04/2004|0|0|0|0|0|0
New York Regional Office| 132823|801-63731|CAXTON ASSOCIATES, LLC|CAXTON ASSOCIATES, LLC|731 ALEXANDER ROAD|BUILDING 2|PRINCETON NJ 08540|USA|||  ||ROBERT SAPERSTEIN|(212) 303-6572|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/03/2005|0|1|0|0|0|0
New York Regional Office| 132832|801-64636|AKROS CAPITAL, LLC|AKROS CAPITAL, LLC|230 PARK AVENUE, 7TH FLOOR||NEW YORK NY 10169|USA|||  ||CARLOS ANDRES|212-499-2948|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/16/2005|0|0|0|0|0|0
New York Regional Office| 132854|801-67971|FIRST RESPONDERS FINANCIAL SERVICES, LLC|FIRST RESPONDERS FINANCIAL SERVICES, LLC|545 FIFTH AVENUE||NEW YORK NY 10017|USA|||  ||DENNIS SMITH|212-573-8700|Limited Liability Company|Other|APPROVED|06/19/2007|0|0|0|0|0|0
New York Regional Office| 132920|801-63622|TREESDALE PARTNERS, LLC|TREESDALE PARTNERS, LLC|1325 AVENUE OF THE AMERICAS|SUITE 2302|NEW YORK NY 10019|USA|||  ||MICHAEL J. NAFT|212-299-5532|Limited Liability Company|Other|APPROVED|01/03/2005|0|0|0|0|0|0
New York Regional Office| 132946|801-63608|STONEBROOK STRUCTURED PRODUCTS, LLC|STONEBROOK CAPITAL MANAGEMENT, LLC|17 STATE STREET, 7TH FLOOR||NEW YORK NY 10004|USA|||  ||JEROME ABERNATHY|212-952-0500|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/27/2004|0|0|0|0|0|0
New York Regional Office| 132969|801-64405|FORTE ASSET MANAGEMENT, LLC|FORTE ASSET MANAGEMENT, LLC|40 WALL STREET #31B||NEW YORK NY 10005|USA|||  ||TIMOTHY LOW|212-514-5840|Limited Liability Company|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|07/19/2005|0|0|0|0|0|0
New York Regional Office| 132982|801-63688|PERSHING SQUARE CAPITAL MANAGEMENT, L.P.|PERSHING SQUARE CAPITAL MANAGEMENT, L.P.|888 SEVENTH AVENUE|29TH FLOOR|NEW YORK NY 10019|USA|||  ||HALIT COUSSIN|212-813-3700|Other (specify)|Other|APPROVED|12/02/2004|0|0|0|0|0|0
New York Regional Office| 132984|801-63689|PERSHING SQUARE GP, LLC|PERSHING SQUARE GP, LLC|888 SEVENTH AVENUE|29TH FLOOR|NEW YORK NY 10019|USA|||  ||HALIT COUSSIN|212-813-3700|Limited Liability Company|Other|APPROVED|12/02/2004|0|0|0|0|0|0
New York Regional Office| 132988|801-63704|GCP I, LLC|GCP I, LLC|888 SEVENTH AVENUE|29TH FLOOR|NEW YORK NY 10019|USA|||  ||HALIT COUSSIN|212-286-0300|Limited Liability Company|Other|APPROVED|01/03/2005|0|0|0|0|0|0
New York Regional Office| 133037|801-63743|PERGAMON ADVISORS, LLC|PERGAMON ADVISORS, LLC|590 MADISON AVENUE|30TH FLOOR|NEW YORK NY 10022|USA|||  ||BRIAN M. FELDMAN|212-303-4362|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/03/2005|0|0|0|0|0|0
New York Regional Office| 133040|801-63741|ACORN ADVISORY CAPITAL, L.P.|ACORN ADVISORY CAPITAL, L.P.|590 MADISON AVENUE|30TH FLOOR|NEW YORK NY 10022|USA|||  ||BRIAN M. FELDMAN|212-303-4362|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/03/2005|0|0|0|0|0|0
New York Regional Office| 133042|801-63650|THOMASLLOYD GLOBAL ASSET (AMERICAS) LLC|THOMASLLOYD GLOBAL ASSET MANAGEMENT (AMERICAS) LLC|427 BEDFORD ROAD||PLEASANTVILLE NY 10570|USA|||  ||WILLIAM L. MORROW, JR.|303-670-8999|Limited Liability Company|Selection of other advisers|APPROVED|12/09/2004|0|1|0|0|0|0
New York Regional Office| 133043|801-67912|PROXIMA CAPITAL MANAGEMENT, LLC|PROXIMA CAPITAL MANAGEMENT, LLC|900 THIRD AVENUE|SUITE 1001|NEW YORK CITY NY 10022|USA|||  ||DAVID TRAVIS|(212) 897-5711|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/08/2007|0|0|0|0|0|0
New York Regional Office| 133051|801-63635|AMERICAN CENTURY GLOBAL INVESTMENT MANAGEMENT, INC.|AMERICAN CENTURY GLOBAL INVESTMENT MANAGEMENT, INC.|THE CHRYSLER CENTER|666 THIRD AVENUE, 23RD FLOOR|NEW YORK NY 10017-4011|USA|||  ||OTIS H. COWAN|816-340-3335|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/15/2004|1|0|1|0|0|0
New York Regional Office| 133077|801-63742|PERGAMON OFFSHORE ADVISORS, L.P.|PERGAMON OFFSHORE ADVISORS, L.P.|590 MADISON AVENUE|30TH FLOOR|NEW YORK NY 10022|USA|||  ||BRIAN M. FELDMAN|212-303-4362|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/03/2005|0|0|0|0|0|0
New York Regional Office| 133167|801-63796|SV CAPITAL MANAGEMENT COMPANY|SV CAPITAL MANAGEMENT COMPANY|60 MUHLENBRINK ROAD||COLTS NECK NJ 07722|USA|||  ||SHELDON VOGEL|732-542-6334|Partnership|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/14/2005|0|0|0|0|0|0
New York Regional Office| 133232|801-63953|AMERICAN INDEPENDENCE FINANCIAL SERVICES, LLC|AMERICAN INDEPENDENCE FINANCIAL SERVICES, LLC|335 MADISON AVENUE, MEZZ.||NEW YORK NY 10017|USA|||  ||THERESA DONOVAN|646-747-3475|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/17/2005|0|0|0|0|0|0
New York Regional Office| 133243|801-63615|OPPENHEIMER INVESTMENT MANAGEMENT LLC|OPPENHEIMER INVESTMENT MANAGEMENT LLC|200 PARK AVE|24TH FL.|NEW YORK NY 10166|USA|||  ||DEBORAH KABACK|212-667-4395|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/03/2004|0|2|0|0|0|0
New York Regional Office| 133251|801-64778|SAM ADVISORS, LLC|SAM ADVISORS, LLC|111 BROADWAY|SUITE 808|NEW YORK NY 10006|USA|||  ||WILLIAM B. SMITH|212-812-9330|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|10/24/2005|0|0|0|0|0|0
New York Regional Office| 133302|801-65086|PETER KIMMELMAN ASSET MANAGEMENT LLC|PETER KIMMELMAN ASSET MANAGEMENT LLC|800 THIRD AVENUE, SUITE 3100||NEW YORK NY 10022-7604|USA|||  ||ANDREW ALPERN|646-307-4162|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/03/2006|0|0|0|0|0|0
New York Regional Office| 133319|801-63665|KLS PROFESSIONAL ADVISORS GROUP, LLC|KLS PROFESSIONAL ADVISORS GROUP, LLC|111 FIFTH AVENUE|8TH FLOOR|NEW YORK NY 10003|USA|||  ||SCHORR, ROBERT M.|212-355-0346|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|11/22/2004|0|0|0|0|0|0
New York Regional Office| 133328|801-63640|HALCYON STRUCTURED ASSET MANAGEMENT L.P.|HALCYON STRUCTURED ASSET MANAGEMENT L.P.|477 MADISON AVENUE|8TH FLOOR|NEW YORK NY 10022-5843|USA|||  ||NANCY I. FOX|212-303-9404|Partnership|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|11/17/2004|0|0|0|0|0|0
New York Regional Office| 133373|801-63729|MSREF V, L.L.C.|MSREF V, L.L.C.|1585 BROADWAY|REAL ESTATE FUNDS, 37TH FLOOR|NEW YORK NY 10036|USA|||  ||AGATHA T. RUDDY|212-762-6190|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/03/2005|0|0|1|0|0|0
New York Regional Office| 133395|801-63782|JOHNSON ILLINGTON ADVISORS LLC|JOHNSON ILLINGTON ADVISORS LLC|677 BROADWAY||ALBANY NY 12207|USA|||  ||DIANNE MCKNIGHT|518-641-6858|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|01/03/2005|0|1|0|0|0|0
New York Regional Office| 133401|801-63754|NIBC CREDIT MANAGEMENT, INC.|NIBC CREDIT MANAGEMENT, INC.|527 MADISON AVENUE|8TH FLOOR|NEW YORK NY 10022|USA|||  ||DAVID S. REISMAN|212-461-6405|Corporation|Other|APPROVED|12/17/2004|0|0|0|0|0|0
New York Regional Office| 133405|801-63691|C-BASS INVESTMENT MANAGEMENT LLC|C-BASS INVESTMENT MANAGEMENT LLC|335 MADISON AVENUE||NEW YORK NY 10017|USA|||  ||SHARI KUSHNER|212-850-7740|Limited Liability Company|Other|APPROVED|12/03/2004|0|0|1|0|0|0
New York Regional Office| 133411|801-63685|WYPER CAPITAL|WYPER CAPITAL MANAGEMENT, L.P.|350 PARK AVENUE, 16TH FLOOR||NEW YORK NY 10022|USA|||  ||TODD NEUFELD|(212) 419-1307|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/19/2004|0|0|0|0|0|0
New York Regional Office| 133518|801-63912|ARCHERY CAPITAL|ARCHERY CAPITAL LLC|570 LEXINGTON AVENUE|39TH FLOOR|NEW YORK CITY NY 10022-6858|USA|||  ||JOYCE|212.380.4189|Limited Liability Company|Other|APPROVED|02/09/2005|0|0|2|0|0|0
New York Regional Office| 133594|801-63740|PCM ADVISORS LLC|PCM ADVISORS LLC|NINE ELK STREET||ALBANY NY 12207|USA|||  ||JOHN V. GULICK|518-431-3500|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/16/2004|0|0|0|0|0|0
New York Regional Office| 133668|801-66754|UNITED ADVISORS WEALTH MANAGEMENT|UNITED ADVISORS, LLC|ONE HARMON PLAZA|9TH FLOOR|SECAUCUS NJ 07094|USA|||  ||PHILIP K. SELDEN|419-843-3300|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|05/26/2006|0|0|0|0|0|0
New York Regional Office| 133711|801-63785|S SQUARED CAPITAL II MANAGEMENT, LLC|S SQUARED CAPITAL II MANAGEMENT, LLC|515 MADISON AVENUE||NEW YORK NY 10022|USA|||  ||SEYMOUR L. GOLDBLATT|212-421-2155|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/03/2005|0|1|0|0|0|0
New York Regional Office| 133738|801-65262|INDUS CAPITAL PARTNERS, LLC|INDUS CAPITAL PARTNERS, LLC|152 WEST 57TH STREET|28TH FLOOR|NEW YORK NY 10019|USA|||  ||JONAS C. KATZ|(212) 261-3009|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/09/2006|0|0|0|0|0|0
New York Regional Office| 133740|801-64084|EMERITI RETIREMENT HEALTH SOLUTIONS|EMERITI CONSORTIUM FOR RETIREMENT HEALTH SOLUTIONS|103 EXECUTIVE DR., SUITE 503||NEW WINDSOR NY 12553|USA|||  ||KENNETH E. COOL|(845) 567-6666|Corporation|Pension consulting services, Other|APPROVED|04/08/2005|0|0|0|0|0|0
New York Regional Office| 133827|801-64024|SAMSUNG LIFE INVESTMENT (AMERICA) LTD.|SAMSUNG LIFE INVESTMENT (AMERICA) LTD.|152 WEST 57TH STREET, 7TH FLOOR||NEW YORK NY 10019|USA|||  ||WONJOO SEO|212-421-6844|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/04/2005|0|0|0|0|0|0
New York Regional Office| 133865|801-65783|PROVIDENT GROUP ASSET MANAGEMENT LLC|PROVIDENT GROUP ASSET MANAGEMENT LLC|654 MADISON AVENUE|SUITE 1009|NEW YORK NY 10021|USA|||  ||PAVLOS MAVRIDES|212-742-1851|Limited Liability Partnership|Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|01/30/2006|0|1|0|0|0|0
New York Regional Office| 133871|801-63989|SOUND ASSET MANAGEMENT, INC.|SOUND ASSET MANAGEMENT, INC.|8754 BAY 16TH ST.||BROOKLYN NY 11214|USA|||  ||WILLIAM C. HELLMERS II|718-331-3700|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|03/10/2005|0|0|0|0|0|0
New York Regional Office| 133936|801-63968|WEISER CAPITAL MANAGEMENT, LLC|WEISER CAPITAL MANAGEMENT, LLC|135 WEST 50TH STREET||NEW YORK NY 10020|USA|||  ||JORDAN BERLIN|212-375-6687|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|03/03/2005|0|1|0|0|0|0
New York Regional Office| 133945|801-64384|JPMORGAN SOLUTIONS LLC|JPMORGAN SOLUTIONS LLC|277 PARK AVENUE, 9TH FLOOR||NEW YORK NY 10172-0003|USA|||  ||FABIENNE WILMES|212-622-6638|Limited Liability Company|Portfolio management for investment companies, Other|APPROVED|07/06/2005|0|3|3|0|0|0
New York Regional Office| 134009|801-63980|BLACKSTONE MEZZANINE ADVISORS II L.P.|BLACKSTONE MEZZANINE ADVISORS II L.P.|280 PARK AVENUE||NEW YORK NY 10017|USA|||  ||ROBERT L. FRIEDMAN|212-583-5268|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/23/2005|0|0|0|0|0|0
New York Regional Office| 134011|801-64162|CHURCH TAVERN ADVISORS|CHURCH TAVERN ADVISORS, LLC|500 MAMARONECK AVE|SUITE 508|HARRISON NY 10528|USA|||  ||WILLIAM MCCORMICK|(914) 381-8200|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/14/2005|0|0|0|0|0|0
New York Regional Office| 134013|801-64038|BLACKSTONE DISTRESSED SECURITIES ADVISORS L.P.|BLACKSTONE DISTRESSED SECURITIES ADVISORS L.P.|280 PARK AVENUE||NEW YORK NY 10017|USA|||  ||ROBERT L. FRIEDMAN|212-583-5268|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/11/2005|0|0|0|0|0|0
New York Regional Office| 134037|801-64164|SATELLITE ASSET MANAGEMENT, L.P.|SATELLITE ASSET MANAGEMENT, L.P.|623 FIFTH AVENUE|19TH FLOOR|NEW YORK NY 10022|USA|||  ||SIMON RAYKHER|212-209-2060|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/18/2005|0|0|0|0|0|0
New York Regional Office| 134039|801-64144|MARWOOD ALTERNATIVE ASSET MANAGEMENT|MARWOOD ALTERNATIVE ASSET MANAGEMENT LLC|733 THIRD AVENUE|11TH FLOOR|NEW YORK NY 10017|USA|||  ||JOHN MOORE|212-532-3651|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/21/2005|0|0|0|0|0|0
New York Regional Office| 134062|801-64033|GELLER FAMILY OFFICE SERVICES LLC|GELLER FAMILY OFFICE SERVICES LLC|800 THIRD AVENUE||NEW YORK NY 10022|USA|||  ||JON R. PERSSON|(212) 583-6000|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|03/31/2005|0|0|0|0|0|0
New York Regional Office| 134075|801-63957|THE VENTUR GROUP, LLC|THE VENTUR GROUP, LLC|290 BROADHOLLOW ROAD|#300E|MELVILLE NY 11747|USA|||  ||STEPHANIE GIARDINA|631-424-1300|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|01/21/2005|0|1|0|0|0|0
New York Regional Office| 134172|801-64043|SANDLER O'NEILL ADVISORS, L.P.|SANDLER O'NEILL ADVISORS, L.P.|919 THIRD AVENUE, 6TH FLOOR||NEW YORK NY 10022-3902|USA|||  ||FIZZA KHAN|212-466-7937|Partnership|Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters, Other|APPROVED|04/20/2005|0|1|0|0|0|0
New York Regional Office| 134195|801-64101|STONEWATER CAPITAL ASIA ADVISORS LLC|STONEWATER CAPITAL ASIA ADVISORS LLC|12 EAST 49TH STREET|36TH FLOOR|NEW YORK NY 10017|USA|||  ||JUDY HALABY|212-231-0054|Limited Liability Company|Other|APPROVED|04/15/2005|0|0|0|0|0|0
New York Regional Office| 134231|801-64151|AUDA PRIVATE EQUITY LLC|AUDA PRIVATE EQUITY LLC|745 FIFTH AVENUE, 29TH FLOOR||NEW YORK NY 10151|USA|||  ||ROBERT. J KIRBY|212-863-2328|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|04/12/2005|0|0|0|0|0|0
New York Regional Office| 134261|801-63947|RSW INVESTMENTS, LLC|RSW INVESTMENTS, LLC|47 MAPLE STREET|SUITE 304|SUMMIT NJ 07901|USA|||  ||ROBERT WAAS|908-273-4311|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|02/18/2005|0|0|0|0|0|0
New York Regional Office| 134366|801-63987|MORGAN STANLEY PRIVATE EQUITY ASIA, INC.|MORGAN STANLEY PRIVATE EQUITY ASIA, INC.|1585 BROADWAY|39TH FLOOR|NEW YORK NY 10036|USA|||  ||AGATHA T. RUDDY|212-762-6190|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/24/2005|0|0|1|0|0|0
New York Regional Office| 134390|801-65411|VALUE ARCHITECTS ASSET MANAGEMENT LLC|VALUE ARCHITECTS ASSET MANAGEMENT LLC|50 HARRISON STREET|SUITE 313|HOBOKEN NJ 07030|USA|50 HARRISON STREET|SUITE 313|HOBOKEN NJ 07030|USA|RICHARD H KONRAD|201-222-9930|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/24/2006|0|0|0|0|0|0
New York Regional Office| 134392|801-64039|GRESHAM INVESTMENT MANAGEMENT LLC|GRESHAM INVESTMENT MANAGEMENT LLC|67 IRVING PLACE, 12TH FL.||NEW YORK NY 10003|USA|||  ||JOHN HARTMANN|212 984-1469|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/13/2005|0|0|0|0|0|0
New York Regional Office| 134410|801-64013|THREE CHOPT CAPITAL MANAGEMENT LLC|THREE CHOPT CAPITAL MANAGEMENT LLC|767 FIFTH AVENUE, 6TH FLOOR||NEW YORK NY 10153|USA|||  ||DOUGLAS MIDDLETON ARTHUR|212-644-4171|Limited Liability Company|Portfolio management for individuals and/or small businesses, Other|APPROVED|03/03/2005|0|0|0|0|0|0
New York Regional Office| 134507|801-64021|FIRST POINT ADVISORS LLC|FIRST POINT ADVISORS LLC|230 PARK AVENUE SUITE 955||NEW YORK NY 10169|USA|||  ||DAVID G. KING, JR.|212-599-1453|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/28/2005|0|0|0|0|0|0
New York Regional Office| 134535|801-64056|CUMBERLAND ASSOCIATES LLC|CUMBERLAND ASSOCIATES LLC|1114 AVENUE OF THE AMERICAS, 38TH FLOOR||NEW YORK NY 10036|USA|||  ||TRACY TAORMINA|212-536-9755|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/22/2005|0|0|0|0|0|0
New York Regional Office| 134537|801-64470|ARCHSTONE MANAGEMENT COMPANY, LLC|ARCHSTONE MANAGEMENT COMPANY, LLC|360 MADISON AVENUE|20TH FLOOR|NEW YORK NY 10017|U.S.A.|||  ||DAVID R. PARKER|212-201-0511|Limited Liability Company|Selection of other advisers, Other|APPROVED|06/28/2005|0|0|0|0|0|0
New York Regional Office| 134556|801-64225|PROPHECY ASSET MANAGEMENT, INC|PROPHECY ASSET MANAGEMENT, INC|237 PARK AVENUE|9TH FLOOR|NEW YORK NY 10017|USA|||  ||JEFFREY R. SPOTTS|212-692-6390|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Other|APPROVED|06/07/2005|0|0|0|0|0|0
New York Regional Office| 134605|801-68603|MACE CAPITAL MANAGEMENT, LLC|MACE CAPITAL MANAGEMENT, LLC|1120 AVENUE OF THE AMERICAS|SUITE 4038|NEW YORK NY 10036|USA|||  ||STEVEN MACE|212-626-6632|Limited Liability Company|Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|12/13/2007|0|0|0|0|0|0
New York Regional Office| 134626|801-64054|GENESIS INVESTMENT ADVISORS, LLC|GENESIS INVESTMENT ADVISORS, LLC|275 MADISON AVENUE|SUITE 2301|NEW YORK NY 10016|USA|||  ||JOSE H. AVIZZANO|212 326 3135|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/10/2005|0|0|0|0|0|0
New York Regional Office| 134660|801-64360|STERLING STAMOS CAPITAL MANAGEMENT, L.P.|STERLING STAMOS CAPITAL MANAGEMENT, L.P.|450 PARK AVENUE|29TH FLOOR|NEW YORK NY 10022|USA|||  ||JARED KANOVER|212-287-2880|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|06/08/2005|0|1|1|0|0|0
New York Regional Office| 134770|801-64391|JADIS INVESTMENTS LLC|JADIS INVESTMENTS LLC|626 EAB PLAZA|6TH FLOOR|UNIONDALE NY 11556|USA|||  ||CORY MARTIN|516-724-3466|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED-120|06/28/2005|0|0|0|0|0|0
New York Regional Office| 134776|801-64368|HIGHBRIDGE CAPITAL MANAGEMENT, LLC|HIGHBRIDGE CAPITAL MANAGEMENT, LLC|9 WEST 57TH STREET|27TH FLOOR|NEW YORK NY 10019|USA|||  ||JOHN OLIVA|(212) 287-4900|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/06/2005|0|3|3|0|0|0
New York Regional Office| 134806|801-64390|JADIS FINANCIAL SERVICES, LLC|JADIS FINANCIAL SERVICES, LLC|626 EAB PLAZA|6TH FLOOR|UNIONDALE NY 11556|USA|||  ||CORY MARTIN|516-724-3466|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/28/2005|0|0|0|0|0|0
New York Regional Office| 134837|801-64736|YORK CAPITAL MANAGEMENT|JGD MANAGEMENT CORP.|767 FIFTH AVENUE|17TH FLOOR|NEW YORK NY 10153|USA|||  ||MARK D. SCHEIN|212-300-1372|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|09/29/2005|0|0|0|0|0|0
New York Regional Office| 134855|801-64227|TERRAPIN ASSET MANAGEMENT, LLC|TERRAPIN ASSET MANAGEMENT, LLC|540 MADISON AVENUE|17TH FLOOR|NEW YORK NY 10022|USA|||  ||JOHN R. FRAWLEY, JR.|212 710 4110|Limited Liability Company|Other|APPROVED|05/06/2005|0|0|0|0|0|0
New York Regional Office| 134867|801-64088|WESTBROOK ASSET MANAGEMENT, LLC|WESTBROOK ASSET MANAGEMENT, LLC|1055 FRANKLIN AVENUE|SUITE 300|GARDEN CITY NY 11530|USA|||  ||TERENCE P. CARMICHAEL|516-535-5784|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/25/2005|0|0|0|0|0|0
New York Regional Office| 134952|801-68000|DONNELLY STEEN & COMPANY|DONNELLY STEEN & COMPANY|ONE GREENTREE CENTRE, SUITE 201|10,000 LINCOLN DRIVE EAST|MARLTON NJ 08053|USA|||  ||MICHAEL DONNELLY|856-988-5491|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/06/2007|0|0|0|0|0|0
New York Regional Office| 135051|801-64260|BLACKROCK  KELSO CAPITAL ADVISORS LLC|BLACKROCK  KELSO CAPITAL ADVISORS LLC|40 EAST 52ND STREET|21ST FLOOR|NEW YORK NY 10022|USA|||  ||MICHAEL B. LAZAR|212.810.5860|Limited Liability Company|Other|APPROVED|05/19/2005|0|2|1|0|0|0
New York Regional Office| 135077|801-64337|BASEL ASSET MANAGEMENT, LLC|BASEL ASSET MANAGEMENT, LLC|ONE ROCKEFELLER PLAZA|SUITE 1505|NEW YORK NY 10020|USA|||  ||ROLAND EBERHARD|212-332-4180|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/23/2005|0|0|0|0|0|0
New York Regional Office| 135091|801-64403|INVESTMENT STRATEGY ADVISORS INC.|INVESTMENT STRATEGY ADVISORS INC.|54 LENOX ROAD||SUMMIT NJ 07901|USA|||  ||MICHAEL TCHEYAN|908-517-5549|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|06/21/2005|0|0|0|0|0|0
New York Regional Office| 135096|801-64433|RJR ASSOCIATES INC|RJR ASSOCIATES INC|101 SOUTH SALINA ST|SUITE 750|SYRACUSE NY 13202|USA|||  ||ROBERT J RYAN|315-476-8200|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/24/2005|0|0|0|0|0|0
New York Regional Office| 135110|801-64454|TRINITY FUNDS LLC|TRINITY FUNDS LLC|99 PARK AVENUE|8TH FLOOR|NEW YORK NY 10016|USA|||  ||CHENG HOCK LAU|212-293-2250|Limited Liability Company|Other|APPROVED|07/01/2005|0|0|0|0|0|0
New York Regional Office| 135129|801-64196|EAGLE STEWARD WEALTH MANAGEMENT LLC|EAGLE STEWARD WEALTH MANAGEMENT LLC|625 PANORAMA TRAIL BUILDING 3||ROCHESTER NY 14625|USA|||  ||WILLIAM L. TATRO, IV|585-218-9860|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/29/2005|0|0|0|0|0|0
New York Regional Office| 135284|801-64222|D.E. SHAW INVESTMENT MANAGEMENT, L.L.C.|D.E. SHAW INVESTMENT MANAGEMENT, L.L.C.|120 WEST FORTY-FIFTH STREET||NEW YORK NY 10036|USA|||  ||ROCHELLE ASSAEL ELIAS|212-478-0000|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/26/2005|0|0|0|0|0|0
New York Regional Office| 135334|801-64301|HALBIS CAPITAL MANAGEMENT (USA) INC.|HALBIS CAPITAL MANAGEMENT (USA) INC.|452 FIFTH AVENUE||NEW YORK NY 10018|USA|||  ||SALVATORE  IOCOLANO|212-525-2309|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/20/2005|0|0|0|0|0|0
New York Regional Office| 135358|801-64469|A.P. MANAGEMENT COMPANY, LLC|A.P. MANAGEMENT COMPANY, LLC|360 MADISON AVENUE|20TH FLOOR|NEW YORK NY 10017|U.S.A.|||  ||DAVID R. PARKER|212-201-0511|Limited Liability Company|Selection of other advisers, Other|APPROVED|06/28/2005|0|0|0|0|0|0
New York Regional Office| 135380|801-66572|GATEMORE CAPITAL MANAGEMENT, LLC|GATEMORE CAPITAL MANAGEMENT, LLC|355 LEXINGTON AVENUE|14TH FLOOR|NEW YORK NY 10017|USA|||  ||LIAD Y. MEIDAR|212-772-9900|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/07/2006|0|0|0|0|0|0
New York Regional Office| 135409|801-65246|PROXIMA ALFA INVESTMENTS (USA) LLC|PROXIMA ALFA INVESTMENTS (USA) LLC|623 FIFTH AVENUE, 14TH FLOOR||NEW YORK NY 10022|USA|||  ||WERNER GRASER|212-754-9757|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/20/2006|0|0|0|0|0|0
New York Regional Office| 135424|801-66026|GS GAMMA ADVISORS, LLC|GS GAMMA ADVISORS, LLC|135  EAST 57TH STREET||NEW YORK NY 10022|USA|||  ||GEORGE SYKES|212-381-4169|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/23/2006|0|0|0|0|0|0
New York Regional Office| 135425|801-64266|CHARTER ADVISERS, INC|CHARTER ADVISERS, INC.|450 SEVENTH AVENUE 45TH FLOOR||NEW YORK NY 10123|USA|||  ||PAUL ROSENBERG|(212) 244-3457|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|06/02/2005|0|0|0|0|0|0
New York Regional Office| 135431|801-65641|LINDEN ADVISORS LP|LINDEN ADVISORS LP|590 MADISON AVENUE|15TH FLOOR|NEW YORK NY 10022|USA|||  ||CRAIG JARVIS|646-840-3510|Partnership|Other|APPROVED|01/26/2006|0|0|0|0|0|0
New York Regional Office| 135468|801-64332|YORK CAPITAL MANAGEMENT|YORK ENHANCED STRATEGIES MANAGEMENT, LLC|767 FIFTH AVENUE|17TH FLOOR|NEW YORK NY 10153|USA|||  ||MARK D. SCHEIN|212-300-1372|Limited Liability Company|Portfolio management for investment companies|APPROVED|05/19/2005|0|0|0|0|0|0
New York Regional Office| 135516|801-64318|KARSCH CAPITAL MANAGEMENT, LP|KARSCH CAPITAL MANAGEMENT, LP|110 EAST 59TH STREET|22ND FLOOR|NEW YORK NY 10022|USA|||  ||BRIAN HOLMES|212-507-9754|Partnership|Other|APPROVED|05/20/2005|0|0|0|0|0|0
New York Regional Office| 135546|801-65212|CALYPSO CAPITAL MANAGEMENT, LP|CALYPSO CAPITAL MANAGEMENT, LP|135 EAST 57TH STREET|2OTH FLOOR|NEW YORK NY 10022|USA|||  ||SHAWN R. SINGH|(212) 371-4063|Other (specify)|Other|APPROVED|01/20/2006|0|0|0|0|0|0
New York Regional Office| 135564|801-64302|RCG HELM, L.L.C.|RCG HELM, L.L.C.|599 LEXINGTON AVENUE, 21ST FLOOR||NEW YORK NY 10022|USA|||  ||MARC BAUM|212-201-4804|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/06/2005|0|0|0|0|0|0
New York Regional Office| 135601|801-64305|WINTERGREEN ADVISERS, LLC|WINTERGREEN ADVISERS, LLC|333 ROUTE 46 WEST|SUITE 204|MOUNTAIN LAKES NJ 07046|USA|||  ||FRED PERLSTADT|973-263-2601|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/12/2005|0|0|0|0|0|0
New York Regional Office| 135603|801-64456|SYMPHONIC FINANCIAL ADVISORS LLC|SYMPHONIC FINANCIAL ADVISORS LLC|570 LEXINGTON AVENUE|9TH FLOOR|NEW YORK NY 10022|USA|||  ||BARBARA MATIN|212-702-3567|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/14/2005|0|0|0|0|0|0
New York Regional Office| 135649|801-65216|GREGOIRE CAPITAL, LLC|GREGOIRE CAPITAL, LLC|33 BLEEKER STREET|SUITE 204|MILLBURN NJ 07041|USA|||  ||JAMES A. GREGOIRE|973-376-0707|Limited Liability Company|Other|APPROVED|01/18/2006|0|0|0|0|0|0
New York Regional Office| 135657|801-65582|ANCHORAGE ADVISORS, L.L.C.|ANCHORAGE ADVISORS, L.L.C.|610 BROADWAY|6TH FLOOR|NEW YORK NY 10012|USA|||  ||ANNE-MARIE KIM, ESQ.|212.432.4650|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/27/2006|0|0|0|0|0|0
New York Regional Office| 135741|801-65364|BERENS CAPITAL, LLC|BERENS CAPITAL, LLC|ONE ROCKEFELLER PLAZA, 23RD FLOOR||NEW YORK NY 10020|USA|||  ||NANCY TJANDRA|212-698-2022|Limited Liability Company|Selection of other advisers|APPROVED|01/23/2006|0|0|0|0|0|0
New York Regional Office| 135746|801-65362|BERENS CAPITAL MANAGEMENT, LLC|BERENS CAPITAL MANAGEMENT, LLC|ONE ROCKEFELLER PLAZA|23 FLOOR|NEW YORK NY 10020|USA|||  ||NANCY TJANDRA|21-698-2022|Limited Liability Company|Selection of other advisers|APPROVED|01/23/2006|0|0|0|0|0|0
New York Regional Office| 135760|801-64706|SANSAR CAPITAL MANAGEMENT, L.L.C.|SANSAR CAPITAL MANAGEMENT, L.L.C.|135 EAST 57TH STREET|23RD FLOOR|NEW YORK NY 10022|USA|||  ||VINCENT GUACCI|212-399-8980|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/13/2005|0|0|0|0|0|0
New York Regional Office| 135768|801-66924|REYNOLDS CONSULTING SERVICES LLC|REYNOLDS CONSULTING SERVICES LLC|45 BROADWAY|31ST FLOOR|NEW YORK NY 10006|USA|||  ||THOMAS S. REYNOLDS|212-742-1616|Limited Liability Company|Pension consulting services|APPROVED|06/30/2006|0|0|0|0|0|0
New York Regional Office| 135781|801-64714|RYAN ALM ADVISERS, LLC|RYAN ALM ADVISERS, LLC|60 E 42ND ST|STE 2515|NEW YORK NY 10165|USA|||  ||RONALD RYAN|212-922-1009 X22|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|09/15/2005|0|0|0|0|0|0
New York Regional Office| 135805|801-65606|TITAN ADVISORS, LLC|TITAN ADVISORS, LLC|2 INTERNATIONAL DRIVE||RYE BROOK NY 10573|USA|||  ||DARREN ROSS|914-937-7600|Limited Liability Company|Other|APPROVED|01/26/2006|0|0|0|0|0|0
New York Regional Office| 135884|801-65693|TITAN CAPITAL GROUP III, LP|TITAN CAPITAL GROUP III, LP|405 LEXINGTON AVENEUE, 51ST FLOOR||NEW YORK NY 10174|USA|||  ||RUSSELL H. ABRAMS|(212) 750-5700|Other (specify)|Other|APPROVED|01/27/2006|0|0|0|0|0|0
New York Regional Office| 135943|801-65508|MIDSUMMER CAPITAL, LLC.|MIDSUMMER CAPITAL, LLC.|295 MADISON AVE.|38TH FLOOR|NEW YORK NY 10017|USA|||  ||KEVIN CONNIFF|212-624-5033|Limited Liability Company|Other|APPROVED|01/23/2006|0|0|0|0|0|0
New York Regional Office| 135950|801-64417|BENDER LANE ADVISORY, LLC|BENDER LANE ADVISORY, LLC|123 GREAT OAKS BLVD.||ALBANY NY 12203|USA|PO BOX 38016||ALBANY NY 12203-8016|USA|DANIEL RUTNIK|518-218-1218|Limited Liability Company|Financial planning services, Selection of other advisers|APPROVED|06/14/2005|0|0|0|0|0|0
New York Regional Office| 135952|801-64538|BLACKSTONE REAL ESTATE ADVISORS EUROPE L.P.|BLACKSTONE REAL ESTATE ADVISORS EUROPE L.P.|345 PARK AVENUE||NEW YORK NY 10154|USA|||  ||ROBERT L. FRIEDMAN|212-583-5268|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/27/2005|0|0|0|0|0|0
New York Regional Office| 135986|801-64502|ARISTEIA CAPITAL, LLC|ARISTEIA CAPITAL, LLC|136 MADISON AVENUE|THIRD FLOOR|NEW YORK NY 10016-6711|USA|||  ||ROBERT H. LYNCH, JR.|212-842-8900|Limited Liability Company|Other|APPROVED|07/13/2005|0|0|0|0|0|0
New York Regional Office| 136048|801-67389|MATRIX INVESTMENT RESEARCH LLC|MATRIX INVESTMENT RESEARCH LLC|16 EAST 40TH STREET||NEW YORK NY 10016|USA|||  ||DAN SCALZI|212-220-5120|Limited Liability Company|Portfolio management for individuals and/or small businesses, Security ratings or pricing services|APPROVED|01/19/2007|0|3|0|0|0|0
New York Regional Office| 136069|801-64611|NORMAN FIELDS, GOTTSCHO CAPITAL MANAGEMENT LLC|NORMAN FIELDS, GOTTSCHO CAPITAL MANAGEMENT LLC|31 WEST 52ND STREET|17TH FLOOR|NEW YORK NY 10019|USA|||  ||CHRISTOPHER M. GOTTSCHO|212-830-8919|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/22/2005|0|0|0|0|0|0
New York Regional Office| 136080|801-64370|ING PRIVATE WEALTH MANAGEMENT LLC|ING PRIVATE WEALTH MANAGEMENT LLC|230 PARK AVENUE, 14TH FLOOR||NEW YORK NY 10169|USA|||  ||GERARD KOSKE|212-309-8619|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|07/05/2005|0|22|1|0|0|0
New York Regional Office| 136108|801-64479|TWF MANAGEMENT COMPANY, LLC|TWF MANAGEMENT COMPANY, LLC|C/O TERRAPIN PARTNERS, LLC|540 MADISON AVENUE, 17TH FL|NEW YORK NY 10022|USA|||  ||JOHN R. FRAWLEY, JR|212-710-4110|Limited Liability Company|Other|APPROVED|07/01/2005|0|0|0|0|0|0
New York Regional Office| 136146|801-64458|RIVERBEND CAPITAL GROUP|RIVERBEND CAPITAL GROUP, LLC|10 WEST STREET|SUITE 18A|NEW YORK NY 10004-1072|USA|||  ||DEREK LEE|212-545-0729|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/24/2005|0|0|0|0|0|0
New York Regional Office| 136165|801-64981|MICROCAPITAL LLC|MICROCAPITAL LLC|623 FIFTH AVENUE|SUITE 2502|NEW YORK NY 10022|USA|||  ||JOHN IVANAC|212-692-6338|Limited Liability Company|Other|APPROVED|12/08/2005|0|0|0|0|0|0
New York Regional Office| 136167|801-64730|AMBER CAPITAL INVESTMENT MANAGEMENT|AMBER CAPITAL LP|153 EAST 53RD STREET|57TH FLOOR|NEW YORK NY 10022|USA|||  ||WAYNE LENNON|212-340-7353|Partnership|Other|APPROVED|09/19/2005|0|1|0|0|0|0
New York Regional Office| 136253|801-65332|CEDARVIEW CAPITAL MANAGEMENT, LP|CEDARVIEW CAPITAL MANAGEMENT, LP|ONE PENN PLAZA|45TH FLOOR|NEW YORK NY 10119|USA|||  ||JOSEPH SHEINMAN|212-375-6011|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/23/2006|0|0|0|0|0|0
New York Regional Office| 136254|801-64679|BARNEGAT FUND MANAGEMENT INC.|BARNEGAT FUND MANAGEMENT INC.|600 GRAND STREET|GROUND FLOOR|HOBOKEN NJ 07030|USA|||  ||ROBERT C. TREUE III|201-217-5625|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|09/08/2005|0|0|0|0|0|0
New York Regional Office| 136274|801-64609|PRUDENTIAL INTERNATIONAL INVESTMENTS ADVISERS|PRUDENTIAL INTERNATIONAL INVESTMENTS ADVISERS, LLC|100 MULBERRY STREET|GATEWAY CENTER THREE, 4TH FLOOR|NEWARK NJ 07102-4077|USA|||  ||TERESA M. G. GILBREATH|(973) 802-3381|Limited Liability Company|Selection of other advisers, Publication of periodicals or newsletters, Other|APPROVED|08/16/2005|0|0|0|0|0|0
New York Regional Office| 136299|801-64670|EXPLORER ALTERNATIVE MANAGEMENT, LLC|EXPLORER ALTERNATIVE MANAGEMENT, LLC|237 PARK AVENUE SUITE 900||NEW YORK NY 10017|USA|||  ||SETH PLATT|212-808-3951|Limited Liability Company|Other|APPROVED|09/07/2005|0|0|0|0|0|0
New York Regional Office| 136311|801-64596|GLOBAL SECURITIES ADVISORS, LLC|GLOBAL SECURITIES ADVISORS, LLC|405 LEXINGTON AVENUE|41ST FLOOR|NEW YORK NY 10174|USA|||  ||SARITA PANDEY|2129054923|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/08/2005|0|0|0|0|0|0
New York Regional Office| 136313|801-64621|OPEN FIELD CAPITAL LLC|OPEN FIELD CAPITAL LLC|780 3RD AVENUE, SUITE 301||NEW YORK NY 10017-2024|USA|||  ||MARC WEISS|212-622-7723|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/15/2005|0|0|0|0|0|0
New York Regional Office| 136346|801-64526|NATIONAL WEALTH MANAGEMENT, LLC|NATIONAL WEALTH MANAGEMENT, LLC|250 MOONACHIE RD.||MOONACHIE NJ 07074|USA|||  ||DAVID J. COTTAM|201-329-7880|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/29/2005|0|1|0|0|0|0
New York Regional Office| 136390|801-64589|PERSHING SQUARE HOLDINGS GP, LLC|PERSHING SQUARE HOLDINGS GP, LLC|888 SEVENTH AVENUE|29TH FLOOR|NEW YORK NY 10019|USA|||  ||HALIT COUSSIN|212-813-3700|Limited Liability Company|Other|APPROVED|08/19/2005|0|0|0|0|0|0
New York Regional Office| 136393|801-64523|TENOR OPPORTUNITY ASSOCIATES, LLC|TENOR OPPORTUNITY ASSOCIATES, LLC|1180 AVENUE OF THE AMERICAS|19TH FLOOR|NEW YORK NY 10036|USA|||  ||MATTHEW STARR|212 918-5302|Limited Liability Company|Other|APPROVED|07/15/2005|0|0|0|0|0|0
New York Regional Office| 136404|801-65179|RIVER RUN MANAGEMENT, L.L.C.|RIVER RUN MANAGEMENT, L.L.C.|152 WEST 57TH STREET|52ND FLOOR|NEW YORK NY 10019|USA|||  ||IAN WALLACE|212-974-7171|Limited Liability Company|Other|APPROVED|01/18/2006|0|0|0|0|0|0
New York Regional Office| 136454|801-64821|THE LONGCHAMP GROUP, INC.|THE LONGCHAMP GROUP, INC.|1330 AVENUE OF THE AMERICAS, 39TH FLOOR||NEW YORK NY 10019|USA|||  ||MICHAEL DUBIN|646-289-7297|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|11/04/2005|0|0|0|0|0|0
New York Regional Office| 136464|801-65846|MILLBROOK INVESTMENT MANAGEMENT COMPANY, LLC|MILLBROOK INVESTMENT MANAGEMENT COMPANY, LLC|152 WEST 57TH STREET|C/O JFI 56TH FLOOR|NEW YORK NY 10019|USA|||  ||PETER KEOGH|212 918-8901|Limited Liability Company|Other|APPROVED|01/24/2006|0|0|0|0|0|0
New York Regional Office| 136467|801-65688|WILLIAMSON MCAREE INVESTMENT PARTNERS LLC|WILLIAMSON MCAREE INVESTMENT PARTNERS LLC|767 THIRD AVENUE||NEW YORK NY 10017|USA|ONE DRUM ROAD||ROWAYTON CT 06853-1614|USA|EDWARD J. MCAREE|212-754-2030|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/27/2006|0|0|0|0|0|0
New York Regional Office| 136481|801-64574|PARADIGM FUNDS ADVISOR LLC|PARADIGM FUNDS ADVISOR LLC|9 ELK STREET||ALBANY NY 12207|USA|||  ||JOHN V. GULICK|518-431-3500|Limited Liability Company|Portfolio management for investment companies|APPROVED|08/19/2005|0|0|0|0|0|0
New York Regional Office| 136494|801-64969|RESTORATION CAPITAL MANAGEMENT LLC|RESTORATION CAPITAL MANAGEMENT LLC|909 THIRD AVENUE|30TH FLOOR|NEW YORK NY 10022|USA|||  ||MICHAEL RING|(212) 350-1630|Limited Liability Company|Other|APPROVED|12/09/2005|0|0|0|0|0|0
New York Regional Office| 136503|801-65549|EMF FINANCIAL PRODUCTS LLC|EMF FINANCIAL PRODUCTS LLC|675 THIRD AVENUE|SUITE 2800|NEW YORK NY 10017|USA|||  ||WHITNEY TINDALE|212-490-1990|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/27/2006|0|0|0|0|0|0
New York Regional Office| 136511|801-64558|ROSS ASSET MANAGEMENT LLC|ROSS ASSET MANAGEMENT LLC|1913 ATLANTIC AVENUE|SUITE F5|MANASQUAN NJ 08736|USA|||  ||EUGENE ROSS|732-223-1112|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|09/02/2005|0|0|0|0|0|0
New York Regional Office| 136519|801-65580|AGAMAS CAPITAL MANAGEMENT, LP|AGAMAS CAPITAL MANAGEMENT, LP|825 THIRD AVENUE|35TH FLOOR|NEW YORK NY 10022|USA|||  ||GEORGE ROECK|212-380-5739|Partnership|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/27/2006|0|0|0|0|0|0
New York Regional Office| 136535|801-64603|HEMISPHERE PARTNERS LLC|HEMISPHERE PARTNERS LLC|825 THIRD AVENUE|SUITE 240|NEW YORK NY 10022|USA|||  ||MITCHELL HELLER|212-520-8280|Limited Liability Company|Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|08/22/2005|0|0|0|0|0|0
New York Regional Office| 136572|801-67069|UNFCU FINANCIAL ADVISORS|UNFCU FINANCIAL SERVICES, LLC|24-01 44TH ROAD||LONG ISLAND CITY NY 11101-4605|USA|||  ||STEPHEN J. RYERSON|212-324-3901|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|08/08/2006|0|0|0|0|0|0
New York Regional Office| 136612|801-64720|FIDUCIARY MANAGEMENT GROUP, LLC|FIDUCIARY MANAGEMENT GROUP, LLC|304 PARK AVENUE SOUTH|11TH FLOOR|NEW YORK NY 10010|USA|||  ||IVAN THORNTON|212-590-2360|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|10/03/2005|0|0|0|0|0|0
New York Regional Office| 136650|801-65999|CROSS SHORE CAPITAL MANAGEMENT, LLC|CROSS SHORE CAPITAL MANAGEMENT, LLC|111 GREAT NECK ROAD|SUITE 210|GREAT NECK NY 11021|USA|||  ||NEIL KUTTNER|516-684-4044|Limited Liability Company|Selection of other advisers, Other|APPROVED|02/01/2006|0|0|0|0|0|0
New York Regional Office| 136656|801-64749|OAK HILL CAPITAL MANAGEMENT, LLC|OAK HILL CAPITAL MANAGEMENT, LLC|65 EAST 55TH STREET|32ND FLOOR|NEW YORK NY 10022|USA|||  ||ALLISON BERNBACH|212-527-8447|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|10/03/2005|0|0|0|0|0|0
New York Regional Office| 136683|801-64711|SOLARIS ADVISORS, LLC|SOLARIS ADVISORS, LLC|598 MADISON AVENUE||NEW YORK NY 10022|USA|||  ||STEPHEN BRENT WELLS|212-582-5029|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|09/13/2005|0|0|0|0|0|0
New York Regional Office| 136713|801-64816|CYRUS CAPITAL PARTNERS, L.P.|CYRUS CAPITAL PARTNERS, L.P.|399 PARK AVENUE|39TH FLOOR|NEW YORK NY 10022-4608|USA|||  ||ELIZABETH R. CROTTY|212-380-5821|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/04/2005|0|0|0|0|0|0
New York Regional Office| 136717|801-65298|IRONBOUND CAPITAL MANAGEMENT LP|IRONBOUND CAPITAL MANAGEMENT LP|902 CARNEGIE CENTER, SUITE 300||PRINCETON NJ 08540|USA|||  ||LINDA M. SCHILLING|609-951-5003|Other (specify)|Other|APPROVED|01/13/2006|0|0|0|0|0|0
New York Regional Office| 136732|801-65025|GALLEON MANAGEMENT, LP|GALLEON MANAGEMENT, LP|590 MADISON AVENUE 34TH FLOOR||NEW YORK NY 10022-2524|USA|||  ||GEORGE LAU|212-829-4034|Limited Liability Partnership|Other|APPROVED|01/03/2006|0|1|0|0|0|0
New York Regional Office| 136758|801-65441|THALES FUND MANAGEMENT, LLC|THALES FUND MANAGEMENT, LLC|140 BROADWAY, 45TH FLOOR||NEW YORK NY 10005|USA|||  ||ROGER INSLEY|212 509 3111|Limited Liability Company|Other|APPROVED|01/24/2006|0|0|0|0|0|0
New York Regional Office| 136762|801-65061|MUIRFIELD CAPITAL MANAGEMENT LLC|MUIRFIELD CAPITAL MANAGEMENT LLC|10 ROCKEFELLER PLAZA, 8TH FLOOR||NEW YORK NY 10020|USA|||  ||VINCENT DEGIAIMO|212 332-2500|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/03/2006|0|0|0|0|0|0
New York Regional Office| 136776|801-64663|401KID, INC.|401KID, INC.|224 W 35TH STREET|SUITE 410|NEW YORK NY 10001|USA|||  ||ARMAN ROUSTA|212-904-1656|Corporation|Financial planning services|APPROVED|08/26/2005|0|0|0|0|0|0
New York Regional Office| 136810|801-65691|SANDELMAN PARTNERS|SANDELMAN PARTNERS, LP|500 PARK AVENUE||NEW YORK NY 10022|USA|||  ||MICHAEL STRASHINSKY|212-299-7600|Partnership|Other|APPROVED|01/27/2006|0|0|0|0|0|0
New York Regional Office| 136827|801-65502|ARTESIAN CAPITAL MANAGEMENT|ARTESIAN CAPITAL MANAGEMENT (DELAWARE) LP|770 BROADWAY|LEVEL 2|NEW YORK NY 10003|USA|||  ||SUZANNE SMITH|646-495-6018|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/26/2006|0|0|0|0|0|0
New York Regional Office| 136895|801-64739|EMPORIA CAPITAL MANAGEMENT, LLC|EMPORIA CAPITAL MANAGEMENT, LLC|135 EAST 57TH STREET|21ST FLOOR|NEW YORK NY 10022|USA|||  ||KENNETH SMITH|215 701-9635|Limited Liability Company|Other|APPROVED|10/11/2005|0|2|0|0|0|0
New York Regional Office| 136932|801-65644|GLAZER CAPITAL, LLC.|GLAZER CAPITAL, LLC.|237 PARK AVENUE|SUITE 900|NEW YORK NY 10017|USA|||  ||MARGARET AYCOCK|212-808-7308|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/11/2006|0|0|0|0|0|0
New York Regional Office| 136940|801-66295|CENTRE ASSET MANAGEMENT, LLC|CENTRE ASSET MANAGEMENT, LLC|48 WALL STREET|SUITE 1100|NEW YORK NY 10005|USA|||  ||JAMES ABATE|212-918-4707|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/06/2006|0|0|0|0|0|0
New York Regional Office| 136979|801-64755|BLACKSTONE MANAGEMENT PARTNERS L.L.C.|BLACKSTONE MANAGEMENT PARTNERS L.L.C.|345 PARK AVENUE||NEW YORK NY 10154|USA|345 PARK AVENUE||NEW YORK NY 10154|U.S.A.|ROBERT L. FRIEDMAN|212-583-5268|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/07/2005|0|1|1|0|0|0
New York Regional Office| 136988|801-65614|VAN BIEMA VALUE PARTNERS, LLC|VAN BIEMA VALUE PARTNERS, LLC|1414 AVENUE OF THE AMERICAS, 9TH FL||NEW YORK NY 10019|USA|||  ||CURTIS LEE|212-508-4579|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|01/27/2006|0|0|0|0|0|0
New York Regional Office| 136991|801-64715|BLACKSTONE ASIA ADVISORS L.L.C.|BLACKSTONE ASIA ADVISORS L.L.C.|345 PARK AVENUE||NEW YORK NY 10154|USA|||  ||ROBERT L. FRIEDMAN|212-583-5268|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/21/2005|0|0|0|0|0|0
New York Regional Office| 137020|801-66193|SENTINEL SYMPHONY INVESTMENT ADVISORS, LLC|SENTINEL SYMPHONY INVESTMENT ADVISORS, LLC|68 CARMAN AVENUE||CEDARHURST NY 11516|USA|||  ||ABRAHAM PFEIFFER|516-791-3800|Limited Liability Company|Other|APPROVED|02/01/2006|0|0|0|0|0|0
New York Regional Office| 137023|801-66194|PENSO CAPITAL MARKETS, LLC|PENSO CAPITAL MARKETS, LLC|68 CARMAN AVENUE||CEDARHURST NY 11516|USA|||  ||ABRAHAM PFEIFFER|516-791-3800|Limited Liability Company|Other|APPROVED|02/01/2006|0|0|0|0|0|0
New York Regional Office| 137024|801-65243|GABELLI SECURITIES, INC|GABELLI SECURITIES, INC.|ONE CORPORATE CENTER||RYE NY 10580|USA|||  ||CHRISTOPHER MICHAILOFF|(914) 921-5000|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/19/2006|0|1|0|0|0|0
New York Regional Office| 137028|801-64710|CLEARBRIDGE ADVISORS, LLC|CLEARBRIDGE ADVISORS, LLC|620 8TH AVENUE||NEW YORK NY 10018|USA|||  ||BARBARA BROOKE MANNING|212-805-2076|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|09/30/2005|1|0|0|0|0|0
New York Regional Office| 137036|801-64940|ELCO MANAGEMENT COMPANY, LLC|ELCO MANAGEMENT CO., LLC|1325 AVENUE OF THE AMERICAS|26TH FLOOR|NEW YORK NY 10019|USA|||  ||JAMES H. ELLIOT|212-603-7585|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/08/2005|0|0|0|0|0|0
New York Regional Office| 137049|801-64890|DEL MAR ASSET MANAGEMENT, LP|DEL MAR ASSET MANAGEMENT, LP|711 FIFTH AVENUE||NEW YORK NY 10022|USA|||  ||MARC SIMONS|212-328-7140|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/18/2005|0|0|0|0|0|0
New York Regional Office| 137091|801-64795|S3 PARTNERS, LLC.|S3 PARTNERS, LLC.|590 MADISON AVENUE||NEW YORK NY 10022-2524|USA|||  ||HOWARD SUGARMAN|212-715-4300|Limited Liability Company|Other|APPROVED|11/16/2005|0|0|0|0|0|0
New York Regional Office| 137097|801-64915|STONEBRIDGE CAPITAL MANAGEMENT IX, L.L.C.|STONEBRIDGE CAPITAL MANAGEMENT IX, L.L.C.|33 CLINTON ROAD||WEST CALDWELL NJ 07006|USA|||  ||ROBERT A. HARCLERODE|9732449696|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|12/16/2005|0|0|0|0|0|0
New York Regional Office| 137120|801-64776|TRIVIUM CAPITAL MANAGEMENT, LLC|TRIVIUM CAPITAL MANAGEMENT, LLC|600 LEXINGTON AVENUE|23RD FLOOR|NEW YORK NY 10022|USA|||  ||KELLY IRELAND|212-715-3140|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/03/2005|0|0|0|0|0|0
New York Regional Office| 137135|801-66865|UA FUND II LLC|UA FUND II LLC|30 BROAD ST|31ST FL.|NEW YORK NY 10004|USA|||  ||STEPHANIE CALABRESE|(212) 612-9100|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/29/2006|0|0|0|0|0|0
New York Regional Office| 137136|801-65149|GORDON ASSET MANAGEMENT LLC|GORDON ASSET MANAGEMENT LLC|411 THEODORE FREMD AVENUE||RYE NY 10580|USA|||  ||DAVID L. GORDON|914-921-5504|Limited Liability Company|Other|APPROVED|01/13/2006|0|0|0|0|0|0
New York Regional Office| 137140|801-65566|ICP ASSET MANAGEMENT LLC|ICP ASSET MANAGEMENT LLC|360 MADISON AVENUE|10TH FLOOR|NEW YORK NY 10017|USA|||  ||THOMAS PRIORE|212-821-1924|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/26/2006|0|0|1|0|0|0
New York Regional Office| 137142|801-65265|PRINCIPLED ASSET ADMINISTRATION, L.L.C.|PRINCIPLED ASSET ADMINISTRATION, L.L.C.|666 FIFTH AVENUE, 37TH FLOOR||NEW YORK NY 10103-3799|USA|||  ||JANICK PRESSE|212-484-5030|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/20/2006|0|0|0|0|0|0
New York Regional Office| 137147|801-65045|LEVIN CAPITAL STRATEGIES, L.P.|LEVIN CAPITAL STRATEGIES, L.P.|595 MADISON AVENUE|17TH FLOOR|NEW YORK NY 10022-1907|USA|||  ||RAYMOND OTTUSCH|212-259-0856|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/20/2006|0|0|0|0|0|0
New York Regional Office| 137172|801-66068|HAWKSHAW CAPITAL MANAGEMENT, LLC|HAWKSHAW CAPITAL MANAGEMENT, LLC|400 MADISON AVENUE|14TH FLOOR|NEW YORK NY 10017|USA|||  ||PATRICK J. MITCHELL|212-207-3239|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/19/2006|0|0|0|0|0|0
New York Regional Office| 137177|801-65186|VAN ECK ABSOLUTE RETURN ADVISERS CORP.|VAN ECK ABSOLUTE RETURN ADVISERS CORPORATION|99 PARK AVENUE|8TH FLOOR|NEW YORK NY 10016|USA|||  ||JOSEPH MCBRIEN|212-293-2031|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|01/18/2006|0|0|0|0|0|0
New York Regional Office| 137194|801-65375|ARBITRAGE & TRADING MANAGEMENT COMPANY|ZOELLNER, ROBERT EMIL|100 UNION AVENUE||CRESSKILL NJ 07626|USA|||  ||TODD J. MASON|201-871-0866|Sole Proprietorship|Other|APPROVED|02/01/2006|0|3|0|0|0|0
New York Regional Office| 137207|801-65984|ADAPA CAPITAL MANAGEMENT, LLC|ADAPA CAPITAL MANAGEMENT, LLC|623 FIFTH AVENUE, 25TH FLOOR||NEW YORK NY 10022|USA|||  ||WARREN YEH|212-251-3060|Limited Liability Company|Other|APPROVED|01/23/2006|0|0|0|0|0|0
New York Regional Office| 137217|801-64727|THE BAY RIDGE GROUP ADVISORY SERVICES, INC.|THE BAY RIDGE GROUP ADVISORY SERVICES, INC.|1405 DAVIS AVENUE||ENDWELL NY 13760|USA|||  ||ROBERT M. SEDOR, JR.|607-754-7222|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|09/26/2005|0|0|0|0|0|0
New York Regional Office| 137242|801-65215|SCHOTTENFELD MANAGEMENT CORP.|SCHOTTENFELD MANAGEMENT CORP.|800 THIRD AVE., 10TH FLOOR||NEW YORK NY 10022|USA|||  ||ROBERT F. SEARING|(212) 300-2229|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/20/2006|0|0|0|0|0|0
New York Regional Office| 137243|801-64876|TALA INVESTMENTS, LP|TALA INVESTMENTS, LP|594 BROADWAY|SUITE 509|NEW YORK NY 10012|USA|||  ||BRANDI JANE WEDGEWORTH|2212-993-2011|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/14/2005|0|0|0|0|0|0
New York Regional Office| 137268|801-65560|HABERMAN MANAGEMENT CORP.|HABERMAN MANAGEMENT CORP.|900 THIRD AVENUE|27TH FLOOR|NEW YORK NY 10022|USA|||  ||ROSS L. HABERMAN|212-838-4791|Corporation|Other|APPROVED|01/26/2006|0|0|0|0|0|0
New York Regional Office| 137269|801-64806|FRIEDMAN SCHNAIER ASSET MANAGEMENT, LLC|FRIEDMAN SCHNAIER ASSET MANAGEMENT, LLC|80 BROAD STREET|33RD FLOOR|NEW YORK NY 10004|USA|||  ||MICHAEL A. ROSEN|(212) 422-5200|Limited Liability Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|11/03/2005|0|0|0|0|0|0
New York Regional Office| 137271|801-65493|ROCKVIEW MANAGEMENT, LLC|ROCKVIEW MANAGEMENT, LLC|900 THIRD AVENUE|11TH FLOOR|NEW YORK NY 10022|USA|||  ||PEYTON CARTER|212-821-8700|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/27/2006|0|1|1|0|0|0
New York Regional Office| 137275|801-65884|HELIOS ADVISORS LLC|HELIOS ADVISORS LLC|780 THIRD AVENUE, 10TH FLOOR||NEW YORK NY 10017|USA|||  ||AILI ARENG|212-883-9040|Limited Liability Company|Other|APPROVED|01/31/2006|0|0|0|0|0|0
New York Regional Office| 137281|801-64822|EDDYSTONE CAPITAL LLC|EDDYSTONE CAPITAL LLC|99 PARK AVENUE|8TH FLOOR|NEW YORK NY 10016|USA|||  ||TIMOTHY VOAKE|(212) 293-2232|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/18/2005|0|0|0|0|0|0
New York Regional Office| 137295|801-65189|TACONIC CAPITAL ADVISORS LP|TACONIC CAPITAL ADVISORS L.P.|450 PARK AVENUE, 9TH FLOOR||NEW YORK NY 10022|USA|||  ||ELIZABETH KEELEY|(212) 209-3119|Other (specify)|Other|APPROVED|01/18/2006|0|0|0|0|0|0
New York Regional Office| 137325|801-64823|OLIVER PRESS PARTNERS, LLC|OLIVER PRESS PARTNERS, LLC|152 WEST 57TH STREET|46TH FLOOR|NEW YORK NY 10019|USA|||  ||AUGUSTUS K. OLIVER|(212) 277-5654|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/10/2005|0|0|0|0|0|0
New York Regional Office| 137339|801-65235|ENSO CAPITAL MANAGEMENT LLC|ENSO CAPITAL MANAGEMENT LLC|540 MADISON AVENUE|SUITE 18A|NEW YORK NY 10022|USA|||  ||SALINA LOVE|212-829-3512|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/19/2006|0|0|0|0|0|0
New York Regional Office| 137350|801-65654|ADMIRAL ADVISORS, LLC|RCG STARBOARD ADVISORS, LLC|599 LEXINGTON AVE|21ST FLOOR|NEW YORK NY 10022|USA|||  ||MARC BAUM|212-201-4804|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/27/2006|0|0|0|0|0|0
New York Regional Office| 137354|801-64922|SIRE MANAGEMENT CORPORATION|SIRE MANAGEMENT CORPORATION|152 W. 57TH STREET|16TH FLOOR|NEW YORK NY 10019|USA|||  ||MARK R. EAKER|212-546-6240|Corporation|Other|APPROVED|12/02/2005|0|0|0|0|0|0
New York Regional Office| 137358|801-65655|RCG ASIA ADVISORS, LLC|RCG ASIA ADVISORS, LLC|599 LEXINGTON AVE|21ST FLOOR|NEW YORK NY 10022|USA|||  ||MARC BAUM|212-201-4804|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/01/2006|0|0|0|0|0|0
New York Regional Office| 137360|801-65496|DCM PARTNERS LLC|DCM PARTNERS LLC|909 THIRD AVENUE|30TH FLOOR|NEW YORK NY 10022-4731|USA|||  ||EDWARD KAPLAN|212 350-4542|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/23/2006|0|0|0|0|0|0
New York Regional Office| 137390|801-64911|VEST ASSURED, INC.|VEST ASSURED, INC.|119 NORTH PARK AVENUE|SUITE 302|ROCKVILLE CENTRE NY 11570|USA|||  ||MICHAEL T. PAGANO|516-678-1927|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/29/2005|0|0|0|0|0|0
New York Regional Office| 137407|801-65492|VICTOIRE FINANCE CAPITAL LLC|VICTOIRE FINANCE CAPITAL LLC|598 MADISON AVENUE|9TH FLOOR|NEW YORK NY 10022|USA|||  ||AREN TOPDJIAN|212-752-9880|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/23/2006|0|1|0|0|0|0
New York Regional Office| 137416|801-65310|KS MANAGEMENT CORP.|KS MANAGEMENT CORP.|11 WEST 42ND STREET|30TH FLOOR|NEW YORK NY 10036|USA|||  ||JACK SWAIN|212 764 3500|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/13/2006|0|0|0|0|0|0
New York Regional Office| 137441|801-65532|BULL PATH CAPITAL MANAGEMENT LLC|BULL PATH CAPITAL MANAGEMENT LLC|150 EAST 52ND STREET|31ST FLOOR|NEW YORK NY 10022|USA|||  ||RICHARD SPECTOR|212-520-2555|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/27/2006|0|0|0|0|0|0
New York Regional Office| 137447|801-64787|TERRAPIN ASSET MANAGEMENT, LLC|TERRAPIN OFFSHORE ASSET MANAGEMENT, LLC|540 MADISON AVENUE|17TH FLOOR|NEW YORK NY 10022|USA|||  ||JOHN R. FRAWLEY, JR.|212-710-4110|Limited Liability Company|Other|APPROVED|10/24/2005|0|0|0|0|0|0
New York Regional Office| 137454|801-65849|PLATINUM GROVE ASSET MANAGEMENT, L.P.|PLATINUM GROVE ASSET MANAGEMENT, L.P.|RECKSON EXECUTIVE PARK, BUILDING FOUR|1100 KING STREET|RYE BROOK NY 10573|USA|||  ||MICHAEL R. SCHWENK|914-690-2103|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/01/2006|0|0|0|0|0|0
New York Regional Office| 137463|801-64791|CITIGROUP INVESTMENT ADVISORY SERVICES INC.|CITIGROUP INVESTMENT ADVISORY SERVICES INC.|787 7TH AVENUE|15TH FLOOR|NEW YORK NY 10019|USA|||  ||ISRAEL GRAFSTEIN|212.783.4097|Corporation|Portfolio management for investment companies, Selection of other advisers|APPROVED|11/29/2005|0|8|0|0|0|0
New York Regional Office| 137486|801-65284|MAGNITUDE CAPITAL, LLC|MAGNITUDE CAPITAL, LLC|153 EAST 53RD STREET|59TH FLOOR|NEW YORK NY 10022|USA|||  ||RAY WATERHOUSE|(212) 319-4043|Limited Liability Company|Selection of other advisers, Other|APPROVED|01/13/2006|0|0|0|0|0|0
New York Regional Office| 137494|801-65981|ASIAN CENTURY QUEST CAPITAL LLC|ASIAN CENTURY QUEST CAPITAL LLC|152 WEST 57TH STREET|6TH FLOOR|NEW YORK NY 10019|USA|||  ||STEVE ZANG|212-328-9303|Limited Liability Company|Other|APPROVED|02/01/2006|0|0|0|0|0|0
New York Regional Office| 137519|801-65207|GSO CAPITAL PARTNERS LP|GSO CAPITAL PARTNERS LP|280 PARK AVENUE|11TH FLOOR|NEW YORK NY 10017|USA|||  ||GEORGE FAN|212.503.2184|Partnership|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/18/2006|0|0|0|0|0|0
New York Regional Office| 137534|801-65031|CLARUS CAPITAL MANAGEMENT|CLARUS CAPITAL GROUP MANAGEMENT LP|237 PARK AVENUE|SUITE 900|NEW YORK NY 10017|USA|||  ||EPHRAIM FIELDS|212-808-7330|Partnership|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/03/2006|0|0|0|0|0|0
New York Regional Office| 137542|801-65465|J.H. WHITNEY INVESTMENT MANAGEMENT, LLC|J.H. WHITNEY INVESTMENT MANAGEMENT, LLC|375 PARK AVENUE|SUITE 1307|NEW YORK NY 10152|USA|||  ||LAURA K. WAJS|212-835-1974|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/18/2006|0|0|0|0|0|0
New York Regional Office| 137555|801-65144|STADIA CAPITAL, LLC|STADIA CAPITAL, LLC|140 EAST 45TH STREET|31ST FLOOR|NEW YORK NY 10017|USA|||  ||JOHN ROGERS|212-872-3905|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/13/2006|0|0|0|0|0|0
New York Regional Office| 137562|801-65490|TREFLIE CAPITAL MANAGEMENT, LLC|TREFLIE CAPITAL MANAGEMENT, LLC|35 EZEKILLS HOLLOW||SAG HARBOR NY 11963|USA|||  ||J. VICTOR CAIN|(631) 725-2500|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/23/2006|0|0|0|0|0|0
New York Regional Office| 137563|801-64955|KYNIKOS ASSOCIATES LP|KYNIKOS ASSOCIATES LP|20 WEST 55TH STREET|8TH FLOOR|NEW YORK NY 10019-5373|USA|||  ||BRIAN NICHOLS|212-649-0250|Partnership|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|11/29/2005|0|0|0|0|0|0
New York Regional Office| 137578|801-67381|TSAI CAPITAL CORPORATION|TSAI CAPITAL CORPORATION|590 MADISON AVENUE, 21ST FLOOR||NEW YORK NY 10022|USA|||  ||CHRISTOPHER TSAI|212-521-4251|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|01/03/2007|0|0|0|0|0|0
New York Regional Office| 137607|801-65895|VERITY ADVISORS, LLC|VERITY ADVISORS, LLC|106 ALLEN RD||BASKING RIDGE NJ 07920|USA|||  ||JOHN O'ROURKE|908-647-1260|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/24/2006|0|0|0|0|0|0
New York Regional Office| 137646|801-65503|LONGBOW CAPITAL PARTNERS, L.P.|LONGBOW CAPITAL PARTNERS, L.P.|598 MADISON AVENUE||NEW YORK NY 10022|USA|||  ||DOUGLAS C. SNYDER|212 245 3700|Other (specify)|Other|APPROVED|01/23/2006|0|0|0|0|0|0
New York Regional Office| 137666|801-65552|ROYAL CAPITAL MANAGEMENT, LLC|ROYAL CAPITAL MANAGEMENT, LLC|623 FIFTH AVENUE, 24TH FLOOR||NEW YORK NY 10022|USA|||  ||DANIEL MANDELBAUM|212-920-3402|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/27/2006|0|0|0|0|0|0
New York Regional Office| 137682|801-64829|LARCH LANE ADVISORS LLC|LARCH LANE ADVISORS LLC|800 WESTCHESTER AVENUE, S-618||RYE BROOK NY 10573|USA|||  ||MICHAEL TODD WILLIAMS|914-798-7600|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|10/19/2005|0|0|0|0|0|0
New York Regional Office| 137692|801-64851|HORIZON GLOBAL ADVISERS LLC|HORIZON GLOBAL ADVISERS LLC|470 PARK AVENUE SOUTH|4TH FLOOR SOUTH|NEW YORK NY 10016|USA|||  ||KEVIN QUIGLEY|646 495 7338|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|11/04/2005|0|0|0|0|0|0
New York Regional Office| 137698|801-65319|ATLANTIC INVESTMENT MANAGEMENT, INC|ATLANTIC INVESTMENT MANAGEMENT, INC|666 FIFTH AVENUE, 34TH FLOOR||NEW YORK NY 10103|USA|||  ||BRUCE BERGER|212-484-5059|Corporation|Other|APPROVED|01/23/2006|0|0|0|0|0|0
New York Regional Office| 137727|801-65426|NEW PROVIDENCE ASSET MANAGEMENT L.P.|NEW PROVIDENCE ASSET MANAGEMENT L.P.|650 FIFTH AVENUE|16TH FLOOR|NEW YORK NY 10019|USA|||  ||STEPHEN MILLER|646-292-1202|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|01/31/2006|0|0|0|0|0|0
New York Regional Office| 137728|801-64958|KINGS POINT CAPITAL MANAGEMENT|SALZMAN CAPITAL MANAGEMENT L.L.C.|1055 FRANKLIN AVENUE|SUITE 300|GARDEN CITY NY 11530|USA|||  ||ROSEMARIE HUGEL|516-535-5775|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/02/2005|0|0|0|0|0|0
New York Regional Office| 137746|801-65087|WATERFALL ASSET MANAGEMENT, LLC|WATERFALL ASSET MANAGEMENT, LLC|1185 AVENUE OF THE AMERICAS, 18TH FLOOR||NEW YORK NY 10036|USA|||  ||BOBBY LIU|212-730-2000|Limited Liability Company|Other|APPROVED|01/09/2006|0|0|0|0|0|0
New York Regional Office| 137750|801-65250|SEVEN BRIDGES MANAGEMENT, L.P.|SEVEN BRIDGES MANAGEMENT, L.P.|1 ROCKEFELLER PLAZA|20TH FLOOR|NEW YORK NY 10020|USA|||  ||BRUCE A. FALBAUM|212-455-6236|Other (specify)|Other|APPROVED|01/31/2006|0|0|0|0|0|0
New York Regional Office| 137755|801-65544|FH INTERNATIONAL ASSET MANAGEMENT, LLC|FH INTERNATIONAL ASSET MANAGEMENT, LLC|550 MAMARONECK AVENUE|SUITE 407|HARRISON NY 10528-1614|USA|||  ||LAURIE SALANITRE|914-630-3490|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/30/2006|0|0|0|0|0|0
New York Regional Office| 137758|801-65759|TRICADIA CAPITAL MANAGEMENT, LLC|TRICADIA CAPITAL MANAGEMENT, LLC|767 THIRD AVENUE|11TH FLOOR|NEW YORK NY 10017|USA|||  ||JAMES MCKEE|646-388-5900|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/27/2006|0|0|0|0|0|0
New York Regional Office| 137772|801-64986|VECTORS RESEARCH MANAGEMENT LLC|VECTORS RESEARCH MANAGEMENT LLC|520 BROADWAY|8TH FLOOR|NEW YORK NY 10012-4436|USA|||  ||ANDREW DAVIDSON|212-431-0856|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/15/2005|0|0|0|0|0|0
New York Regional Office| 137783|801-65679|PROTEGE PARTNERS, LLC|PROTEGE PARTNERS, LLC|25 WEST 53RD STREET|15TH FLOOR|NEW YORK NY 10019|USA|||  ||JESSICA A. DAVIS|212.784.6303|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/27/2006|0|0|0|0|0|0
New York Regional Office| 137788|801-65629|R.G. NIEDERHOFFER CAPITAL MANAGEMENT, INC.|R.G. NIEDERHOFFER CAPITAL MANAGEMENT, INC.|1700 BROADWAY|FLOOR 39|NEW YORK NY 10019|USA|||  ||RONALD B. GRABER|212-245-0400|Corporation|Other|APPROVED|01/27/2006|0|1|0|0|0|0
New York Regional Office| 137790|801-64942|INVESTCORP INVESTMENT ADVISERS LLC|INVESTCORP INVESTMENT ADVISERS LLC|280 PARK AVENUE|39TH FLOOR|NEW YORK NY 10017|USA|||  ||BRIAN MURPHY|917-332-5719|Limited Liability Company|Other|APPROVED|11/25/2005|0|0|0|0|0|0
New York Regional Office| 137796|801-65198|THOMAS H. LEE CAPITAL MANAGEMENT, LLC|THOMAS H. LEE CAPITAL MANAGEMENT, LLC|767 5TH AVENUE|6TH FLOOR|NEW YORK NY 10153|USA|||  ||JOSEPH B. ROTBERG|212-888-1500|Limited Liability Company|Selection of other advisers, Other|APPROVED|01/18/2006|0|0|0|0|0|0
New York Regional Office| 137798|801-65764|HUNTER GLOBAL INVESTORS|HUNTER GLOBAL INVESTORS L.P.|485 MADISON AVENUE|22ND FLOOR|NEW YORK NY 10022-5811|USA|||  ||BRIAN H. FORTUNE|212-453-8988|Other (specify)|Other|APPROVED|01/24/2006|0|0|0|0|0|0
New York Regional Office| 137799|801-65815|ARGONAUT MANAGEMENT, L.P.|ARGONAUT MANAGEMENT, L.P.|546 FIFTH AVENUE|17TH FLOOR|NEW YORK NY 10036|USA|||  ||BRIAN KESSLER|(212) 317-2012|Partnership|Other|APPROVED|01/30/2006|0|0|0|0|0|0
New York Regional Office| 137812|801-65023|VICIS CAPITAL, LLC|VICIS CAPITAL, LLC|445 PARK AVENUE|16TH FLOOR|NEW YORK NY 10022|USA|||  ||KEITH HUGHES|212-909-4600|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/03/2006|0|0|0|0|0|0
New York Regional Office| 137813|801-65113|METROPOLITAN REAL ESTATE EQUITY MANAGEMENT, LLC|METROPOLITAN REAL ESTATE EQUITY MANAGEMENT, LLC|135 EAST 57TH STREET|16TH FLOOR|NEW YORK NY 10022|USA|||  ||FELIPE DORREGARAY|212-812-4923|Limited Liability Company|Selection of other advisers|APPROVED|01/06/2006|0|0|0|0|0|0
New York Regional Office| 137825|801-65137|GREYLOCK CAPITAL MANAGEMENT, LLC|GREYLOCK CAPITAL MANAGEMENT, LLC|99 PARK AVENUE|SUITE 1110|NEW YORK NY 10016-1501|USA|||  ||THOMAS ELWOOD|212-808-1822|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/01/2006|0|0|0|0|0|0
New York Regional Office| 137827|801-64954|MCGINN, SMITH ADVISORS LLC|MCGINN, SMITH ADVISORS LLC|99 PINE STREET||ALBANY NY 12207|USA|||  ||DAVID L. SMITH|518-449-5131|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/03/2006|0|1|0|0|0|0
New York Regional Office| 137838|801-65413|ONECAPITAL MANAGEMENT PARTNERS, LLC|ONECAPITAL MANAGEMENT PARTNERS, LLC|153 EAST 53RD STREET 59TH FLOOR||NEW YORK NY 10022|USA|||  ||JEFFREY MAGEE|212-813-2517|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/24/2006|0|0|0|0|0|0
New York Regional Office| 137842|801-65550|GATES CAPITAL MANAGEMENT, INC.|GATES CAPITAL MANAGEMENT, INC.|1177 AVENUE OF THE AMERICAS|32ND FLOOR|NEW YORK NY 10036|USA|||  ||MARC P. LUONGO|212-626-0250|Corporation|Other|APPROVED|01/26/2006|0|0|0|0|0|0
New York Regional Office| 137887|801-66149|CORSAIR CAPITAL LLC|CORSAIR CAPITAL LLC|717 FIFTH AVENUE|24TH FLOOR|NEW YORK NY 10022|USA|||  ||AMY SOEDA|212-224-9425|Limited Liability Company|Other|APPROVED|02/08/2006|0|0|0|0|0|0
New York Regional Office| 137894|801-64917|TAPESTRY ASSET MANAGEMENT L.P.|TAPESTRY ASSET MANAGEMENT L.P.|125 VILLAGE BLVD|SUITE 270|PRINCETON NJ 08540|USA|||  ||KAREN M. JUDGE|609.613.4238|Partnership|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|12/02/2005|0|0|0|0|0|0
New York Regional Office| 137895|801-65611|CANTILLON CAPITAL MANAGEMENT LLC|CANTILLON CAPITAL MANAGEMENT LLC|40 WEST 57TH STREET, 24TH FLOOR||NEW YORK NY 10019|USA|||  ||JAMES R OBRIEN|212-603-3310|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/24/2006|0|0|0|0|0|0
New York Regional Office| 137909|801-65049|LONGACRE FUND MANAGEMENT, LLC|LONGACRE FUND MANAGEMENT, LLC|810 SEVENTH AVENUE|33RD FLOOR|NEW YORK NY 10019|USA|||  ||HOWARD ZAUDERER|(212) 259-4325|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/03/2006|0|0|0|0|0|0
New York Regional Office| 137927|801-65088|THIRD POINT LLC|THIRD POINT LLC|390 PARK AVENUE|18TH FLOOR|NEW YORK NY 10022|USA|||  ||WILLIAM|212 224 7400|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/12/2006|0|0|0|0|0|0
New York Regional Office| 137970|801-65868|COLONY INVESTMENT MANAGEMENT, LLC|COLONY INVESTMENT MANAGEMENT, LLC|660 MADISON AVENUE|SUITE 1615|NEW YORK NY 10021|USA|||  ||STEVE SHABET|212-230-3343|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/01/2006|0|0|0|0|0|0
New York Regional Office| 137972|801-65617|SCIENS HEDGE FUND MANAGEMENT LLC|SCIENS HEDGE FUND MANAGEMENT LLC|667 MADISON AVENUE||NEW YORK NY 10065|USA|||  ||CHRISTOPHER P. MEYERING|212-471-6100|Limited Liability Company|Other|APPROVED|01/27/2006|0|0|0|0|0|0
New York Regional Office| 137980|801-66042|PRAESIDIUM INVESTMENT MANAGEMENT COMPANY, LLC|PRAESIDIUM INVESTMENT MANAGEMENT COMPANY, LLC|747 THIRD AVENUE|35TH FLOOR|NEW YORK NY 10017|USA|||  ||JOHN SCOTT|212-821-1495|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/27/2006|0|0|0|0|0|0
New York Regional Office| 137981|801-65295|RMF INVESTMENT MANAGEMENT (USA) CORP.|RMF INVESTMENT MANAGEMENT (USA) CORP.|ONE ROCKEFELLER PLAZA|16TH FLOOR|NEW YORK NY 10020|USA|||  ||LESLIE OSBORN|646-452-9665|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/23/2006|0|0|0|0|0|0
New York Regional Office| 137987|801-65132|ALEXANDRA INVESTMENT MANAGEMENT, LLC|ALEXANDRA INVESTMENT MANAGEMENT, LLC|767 THIRD AVENUE|39TH FLOOR|NEW YORK NY 10017|USA|||  ||MARK A. POLEMENI, ESQ.|212-301-1849|Limited Liability Company|Other|APPROVED|01/13/2006|0|0|0|0|0|0
New York Regional Office| 138011|801-65993|KAMUNTING STREET CAPITAL MANAGEMENT, L.P.|KAMUNTING STREET CAPITAL MANAGEMENT, L.P.|140 EAST 45TH STREET|15TH FLOOR|NEW YORK NY 10017-3144|USA|||  ||GEORGE MARINOPOULOS|212 490 4350|Partnership|Other|APPROVED|01/27/2006|0|0|0|0|0|0
New York Regional Office| 138014|801-65157|LAURUS CAPITAL MANAGEMENT, LLC|LAURUS CAPITAL MANAGEMENT, LLC|335 MADISON AVENUE, 10TH FLOOR||NEW YORK NY 10017|USA|||  ||JASON BAN|212-541-5800 X216|Limited Liability Company|Other|APPROVED|01/10/2006|0|0|1|0|0|0
New York Regional Office| 138023|801-65666|DIMAIO AHMAD CAPITAL LLC|DIMAIO AHMAD CAPITAL LLC|277 PARK AVENUE|48TH FLOOR|NEW YORK NY 10172|USA|||  ||JAMES GANGE|212 328 7950|Limited Liability Company|Other|APPROVED|01/25/2006|0|1|1|0|0|0
New York Regional Office| 138031|801-65134|GOOD HOPE ADVISERS, LLC|GOOD HOPE ADVISERS, LLC|1345 AVENUE OF THE AMERICAS||NEW YORK NY 10105|USA|C/O ARNHOLD AND S. BLEICHROEDER ADVISERS, LLC|1345 AVENUE OF THE AMERICAS, 43RD FLOOR|NEW YORK NY 10105|USA|MARK GOLDSTEIN|212-698-3101|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/13/2006|0|1|0|0|0|0
New York Regional Office| 138038|801-65721|PARDUS CAPITAL MANAGEMENT L.P.|PARDUS CAPITAL MANAGEMENT L.P.|590 MADISON AVENUE|25TH FLOOR, SUITE 25E|NEW YORK NY 10022|USA|||  ||TIMOTHY BASS|212.381.7352|Partnership|Other|APPROVED|01/23/2006|0|0|0|0|0|0
New York Regional Office| 138082|801-65372|CHEYNE CAPITAL LLC|CHEYNE CAPITAL LLC|135 EAST 57TH STREET, 20TH FLOOR||NEW YORK NY 10022|USA|||  ||CYNTHIA LANG|212 371 4116|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/01/2006|0|0|0|0|0|0
New York Regional Office| 138083|801-65631|TRG MANAGEMENT LP|TRG MANAGEMENT LP|280 PARK AVENUE|27TH FLOOR|NEW YORK NY 10017|USA|||  ||MICHELE KRIEGER|212-984-2918|Partnership|Other|APPROVED|01/25/2006|0|0|0|0|0|0
New York Regional Office| 138103|801-65574|TYKHE CAPITAL LLC|TYKHE CAPITAL LLC|330 MADISON AVENUE|35TH FLOOR|NEW YORK NY 10017|USA|||  ||ANNA L. KIM|212-342-8028|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/27/2006|0|0|0|0|0|0
New York Regional Office| 138121|801-65169|RALPH PARKS INVESTMENT GROUP LLC|RALPH PARKS INVESTMENT GROUP LLC|MEADOWGATE OFFICE PARK|101 SULLY'S TRAIL BLDG 10|PITTSFORD NY 14534|USA|||  ||GINA M GRIFFO|585-248-5700|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/18/2006|0|0|0|0|0|0
New York Regional Office| 138130|801-65501|LITMUS CAPITAL MANAGEMENT LLC|LITMUS CAPITAL MANAGEMENT LLC|1325 AVENUE OF THE AMERICAS|28TH FLOOR|NEW YORK NY 10019|USA|||  ||ANTHONY CORDONE|212-786-6117|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/23/2006|0|0|0|0|0|0
New York Regional Office| 138139|801-65962|CASTLESTONE MANAGEMENT LLC|CASTLESTONE MANAGEMENT LLC|610 5TH AVENUE, SUITE 602||NEW YORK NY 10020|USA|||  ||JANE LINNEY|44 7788 415759|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|04/12/2006|0|0|0|0|0|0
New York Regional Office| 138142|801-65531|LANDMARK VALUE INVESTMENTS|LANDMARK ADVISORS, LLC|408 W. 14TH STREET, 2ND FLOOR||NEW YORK NY 10014|USA|||  ||BRANDON BENTLEY|212-243-1600|Limited Liability Company|Other|APPROVED|01/27/2006|0|0|0|0|0|0
New York Regional Office| 138148|801-64964|MONTGOMERY CAPITAL ADVISORS LLC|MONTGOMERY CAPITAL ADVISORS LLC|1560 BROADWAY|10TH FLOOR|NEW YORK NY 10036|USA|||  ||MARK J. MONTGOMERY|212 201-7911|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|11/29/2005|0|0|0|0|0|0
New York Regional Office| 138163|801-65607|SPINNER ASSET MANAGEMENT, LLC|SPINNER ASSET MANAGEMENT, LLC|450 PARK AVENUE, 14TH FLOOR||NEW YORK NY 10022|USA|||  ||STEVEN C. DELUCA|650-372-2703|Limited Liability Company|Other|APPROVED|02/01/2006|0|2|0|0|0|0
New York Regional Office| 138194|801-65358|LAMPE, CONWAY & CO. LLC|LAMPE, CONWAY & CO. LLC|680 FIFTH AVENUE - SUITE 1202||NEW YORK NY 10019-5429|USA|||  ||ERIC SCHAEFFER|212 581 8989|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/19/2006|0|0|0|0|0|0
New York Regional Office| 138195|801-65915|CASTALIA ADVISORS LLC|CASTALIA ADVISORS LLC|11 APPLE TREE LANE||POUND RIDGE NY 10576-2338|USA|||  ||JAY CHARLES GOODGAL|+1 (914) 764-8155|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/21/2006|0|0|0|0|0|0
New York Regional Office| 138200|801-65201|HOMEFIELD CAPITAL, L.P.|HOMEFIELD CAPITAL, L.P.|375 PARK AVENUE|SUITE 1905|NEW YORK NY 10152|USA|||  ||WILLIAM VERNON|212-909-1650|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/20/2006|0|0|0|0|0|0
New York Regional Office| 138208|801-64992|BLACKSTONE REAL ESTATE ADVISORS V L.P.|BLACKSTONE REAL ESTATE ADVISORS V L.P.|345 PARK AVENUE||NEW YORK NY 10154|USA|||  ||ROBERT L. FRIEDMAN|212-583-5268|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/12/2005|0|0|0|0|0|0
New York Regional Office| 138248|801-65862|FOXHILL CAPITAL PARTNERS, LLC|FOXHILL CAPITAL PARTNERS, LLC|502 CARNEGIE CENTER|STE 104|PRINCETON NJ 08540|USA|||  ||CHARLES MURPHY|609-720-1700|Limited Liability Company|Other|APPROVED|01/30/2006|0|0|0|0|0|0
New York Regional Office| 138260|801-65457|MORRIS ASSOCIATES LLC|MORRIS ASSOCIATES LLC|400 MADISON AVENUE|SUITE 10B|NEW YORK NY 10017|U.S.A.|||  ||KAREN MORRIS|914-793-0023|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/25/2006|0|0|0|0|0|0
New York Regional Office| 138271|801-66628|LYFORD GROUP INTERNATIONAL LTD.|LYFORD GROUP INTERNATIONAL LTD.|375 PARK AVENUE|SUITE 3302|NEW YORK NY 10152|USA|||  ||JOSEPH BUCCI|212 500-1600|Corporation|Other|APPROVED|04/20/2006|0|0|0|0|0|0
New York Regional Office| 138284|801-65281|ORTELIUS CAPITAL PARTNERS|ORTELIUS CAPITAL PARTNERS, LLC|450 PARK AVENUE|SUITE 2104|NEW YORK NY 10022|USA|||  ||PAUL KNOLLMEYER|917-595-5009|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/21/2006|0|0|0|0|0|0
New York Regional Office| 138290|801-65538|HOUQUA CAPITAL, LLC|HOUQUA CAPITAL, LLC|641 LEXINGTON AVENUE|SUITE 1400|NEW YORK NY 10022|USA|||  ||DOUGLAS M. OSROW|212-508-7057|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/18/2006|0|0|0|0|0|0
New York Regional Office| 138295|801-65486|SELECT OFFSHORE ADVISORS, LLC|SELECT OFFSHORE ADVISORS, LLC|380 LAFAYETTE STREET, 6TH FLOOR||NEW YORK NY 10003|USA|||  ||JAMES R. BERMAN|212-475-8335|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/24/2006|0|0|0|0|0|0
New York Regional Office| 138296|801-65495|AVESTA CAPITAL ADVISORS LLC|AVESTA CAPITAL ADVISORS LLC|120 WEST 45TH STREET||NEW YORK NY 10036|USA|||  ||WENDELL L. FOWLER|212-332-8868|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/24/2006|0|0|0|0|0|0
New York Regional Office| 138306|801-65608|TIG ADVISORS LLC|TIG ADVISORS LLC|535 MADISON AVENUE|36TH FLOOR|NEW YORK NY 10022|USA|||  ||MICHAEL FASTERT|212-396-8698|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/27/2006|0|0|0|0|0|0
New York Regional Office| 138307|801-65274|ALPINE CAPITAL MANAGEMENT, LLC|ALPINE CAPITAL MANAGEMENT, LLC|400 MADISON AVENUE, 8TH FLOOR||NEW YORK NY 10017|USA|||  ||RAMY S. IBRAHIM|212.317.2400 EXT. 112|Limited Liability Company|Other|APPROVED|01/20/2006|0|0|0|0|0|0
New York Regional Office| 138309|801-65521|BROWNSTONE ASSET MANAGEMENT, L.P.|BROWNSTONE ASSET MANAGEMENT, L.P.|655 THIRD AVENUE|23RD FLOOR|NEW YORK NY 10017|USA|||  ||DAVID ZORNITSKY|212-905-0561|Other (specify)|Other|APPROVED|01/26/2006|0|0|0|0|0|0
New York Regional Office| 138318|801-66090|OCTAGON ASSET MANAGEMENT, LLC|OCTAGON ASSET MANAGEMENT, LLC|267 FIFTH AVENUE|SUITE 800|NEW YORK NY 10016-7503|USA|||  ||J. ERICSON HEYKE|212-683-8811|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/27/2006|0|0|0|0|0|0
New York Regional Office| 138323|801-65335|CURA CAPITAL MANAGMENT|CURA CAPITAL MANAGMENT, LLC|1270 AVE OF THE AMERICAS, SUITE 2701||NEW YORK NY 10020|USA|||  ||PATRICK MORONEY|(212) 554-8980|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/23/2006|0|0|0|0|0|0
New York Regional Office| 138336|801-65178|TIF FUND MANAGEMENT LLC|TIF FUND MANAGEMENT LLC|4 WOODBINE AVENUE||GREENWOOD LAKE NY 10925-0038|USA|P.O. BOX 38||GREENWOOD LAKE NY 10925-0038|UNITED STATES|JAMES S. MOORE|845-477-0200|Limited Liability Company|Selection of other advisers, Other|APPROVED|02/01/2006|0|0|0|0|0|0
New York Regional Office| 138338|801-65027|MITTLEMAN INVESTMENT MANAGEMENT, LLC|MITTLEMAN INVESTMENT MANAGEMENT, LLC|575 MADISON AVENUE|10TH FLOOR|NEW YORK NY 10022|USA|||  ||CHRISTOPHER P. MITTLEMAN|212-605-0559|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/16/2005|0|0|0|0|0|0
New York Regional Office| 138339|801-65651|STONE TOWER DEBT ADVISORS LLC|STONE TOWER DEBT ADVISORS LLC|152 W. 57TH ST||NEW YORK NY 10019-3386|USA|||  ||MARIAN L. BRANCACCIO|212-258-0947|Limited Liability Company|Other|APPROVED|01/25/2006|0|0|0|0|0|0
New York Regional Office| 138340|801-65653|STONE TOWER FUND MANAGEMENT LLC|STONE TOWER FUND MANAGEMENT LLC|152 W. 57TH ST||NEW YORK NY 10019-3386|USA|||  ||MARIAN L. BRANCACCIO|212-258-0947|Limited Liability Company|Other|APPROVED|01/25/2006|0|0|0|0|0|0
New York Regional Office| 138342|801-66046|PROMETHEAN ASSET MANAGEMENT LLC|PROMETHEAN ASSET MANAGEMENT LLC|55 FIFTH AVENUE|17TH FLOOR|NEW YORK NY 10003-4301|USA|||  ||STEFAN ROSEN|(212) 702-5200|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/27/2006|0|0|0|0|0|0
New York Regional Office| 138398|801-66063|RED OAK CAPITAL PARTNERS, LLC|RED OAK CAPITAL PARTNERS, LLC|145 4TH AVENUE|SUITE 15A|NEW YORK NY 10003|USA|||  ||DAVID SANDBERG|(212) 614-8952|Limited Liability Company|Other|APPROVED|02/02/2006|0|0|0|0|0|0
New York Regional Office| 138399|801-66022|S SQUARED TECHNOLOGY PARTNERS, L.P.|S SQUARED TECHNOLOGY PARTNERS, L.P.|515 MADISON AVENUE|SUITE 4200|NEW YORK NY 10022|USA|||  ||SEYMOUR L. GOLDBLATT|212-421-2155|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/06/2006|0|1|0|0|0|0
New York Regional Office| 138400|801-66276|PELION INVESTMENT ADVISORS, INC.|PELION INVESTMENT ADVISORS, INC.|650 5TH AVENUE|17TH FLOOR|NEW YORK NY 10019|USA|||  ||HILARY GUY BERGMAN|917-639-5453|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|03/31/2006|0|0|0|0|0|0
New York Regional Office| 138437|801-65540|LILY POND CAPITAL MANAGEMENT LLC|LILY POND CAPITAL MANAGEMENT LLC|450 PARK AVENUE|SUITE 203|NEW YORK NY 10022|USA|||  ||GLEN CARNES|646-572-4603|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/06/2006|0|0|0|0|0|0
New York Regional Office| 138439|801-65706|TITAN LEGACY FUND ADVISORS, LLC|TITAN LEGACY FUND ADVISORS, LLC|2 INTERNATIONAL DRIVE||RYE BROOK NY 10573|USA|||  ||DARREN ROSS|914-937-7600|Limited Liability Company|Other|APPROVED|01/27/2006|0|0|0|0|0|0
New York Regional Office| 138447|801-65757|DUNBAR CAPITAL INVESTORS, LLC|DUNBAR CAPITAL INVESTORS, LLC|405 LEXINGTON AVENUE|45TH FLOOR|NEW YORK NY 10174|USA|||  ||PETER W. WILSON|(212) 871-7100|Limited Liability Company|Other|APPROVED|01/27/2006|0|0|0|0|0|0
New York Regional Office| 138453|801-65422|SIDUS INVESTMENT MANAGEMENT, LLC|SIDUS INVESTMENT MANAGEMENT, LLC|767 THIRD AVENUE|15TH FLOOR|NEW YORK NY 10017|USA|||  ||PETER OSHIRO|212-751-6644|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/23/2006|0|0|0|0|0|0
New York Regional Office| 138469|801-65578|HIGHLAND FINANCIAL HOLDINGS GROUP, LLC|HIGHLAND FINANCIAL HOLDINGS GROUP, LLC|51 MADISON AVENUE|SUITE 2000|NEW YORK NY 10010|USA|||  ||SUSAN V. LYNSKEY|212-400-8500|Limited Liability Company|Other|APPROVED|01/27/2006|0|0|0|0|0|0
New York Regional Office| 138475|801-65883|HULL CAPITAL MANAGEMENT LLC|HULL CAPITAL MANAGEMENT LLC|350 MADISON AVENUE||NEW YORK NY 10017|USA|||  ||LILLIE E. FENNER|212-333-4800|Limited Liability Company|Other|APPROVED|01/24/2006|0|0|0|0|0|0
New York Regional Office| 138480|801-65425|TEMUJIN FUND MANAGEMENT, LLC|TEMUJIN FUND MANAGEMENT, LLC|140 BROADWAY|45TH FLOOR|NY NY 10005|USA|||  ||ROGER INSLEY|212 509 3111|Limited Liability Company|Other|APPROVED|01/24/2006|0|0|0|0|0|0
New York Regional Office| 138482|801-65238|CENTRECOURT ASSET MANAGEMENT LLC|CENTRECOURT ASSET MANAGEMENT LLC|350 MADISON AVENUE|8TH FLOOR|NY NY 10017|USA|||  ||KEITH D. WELLNER|646-758-6755|Limited Liability Company|Other|APPROVED|01/20/2006|0|0|0|0|0|0
New York Regional Office| 138502|801-65798|NEXSTAR CAPITAL PARTNERS, LLC|NEXSTAR CAPITAL PARTNERS, LLC|780 THIRD AVENUE|5TH FLOOR|NEW YORK NY 10017|USA|||  ||ROBERT M. TAYLOR|(212) 994-7001|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/27/2006|0|0|0|0|0|0
New York Regional Office| 138526|801-65437|NORTHSTAR CAPITAL FUNDS, LLC|NORTHSTAR CAPITAL FUNDS, LLC|845 THIRD AVENUE|17TH FLOOR|NEW YORK NY 10022|USA|||  ||LEE PERETZMAN|212-527-8340|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/01/2006|0|1|0|0|0|0
New York Regional Office| 138529|801-65918|CHEYNE CAPITAL MANAGEMENT, LLC|CHEYNE CAPITAL MANAGEMENT, LLC|135 E. 57TH ST. 20TH FLOOR||NEW YORK NY 10022|USA|||  ||SHAWN R. SINGH|212-371-4063|Limited Liability Company|Other|APPROVED|01/31/2006|0|0|0|0|0|0
New York Regional Office| 138534|801-65600|PAR-FOUR INVESTMENT MANAGEMENT, L.L.C.|PAR-FOUR INVESTMENT MANAGEMENT, L.L.C.|50 TICE BOULEVARD|3RD FLOOR|WOODCLIFFE LAKE NJ 07677|USA|||  ||EDWARD F. LABRENZ JR.|201-573-7512|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/23/2006|0|0|0|0|0|0
New York Regional Office| 138539|801-66100|LITESPEED MANAGEMENT, L.L.C.|LITESPEED MANAGEMENT, L.L.C.|237 PARK AVENUE|SUITE 900|NEW YORK NY 10017|USA|||  ||LAURA KLEBER|212-808-7426|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/26/2006|0|0|0|0|0|0
New York Regional Office| 138541|801-65368|BRENNER WEST CAPITAL ADVISORS, LLC|BRENNER WEST CAPITAL ADVISORS, LLC|110 EAST 42ND STREET|SUITE 1419|NEW YORK NY 10017|USA|||  ||BRAD SAKARIA|212-801-1255|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/23/2006|0|0|0|0|0|0
New York Regional Office| 138549|801-66307|ELM RIDGE CAPITAL MANAGEMENT, LLC; ELM RIDGE MANAGEMENT, LLC|ELM RIDGE CAPITAL MANAGEMENT, LLC|3 WEST MAIN STREET|3RD FLOOR|IRVINGTON NY 10533|USA|||  ||STEPHEN L. COHEN|914-250-1000|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/23/2006|0|0|0|0|0|0
New York Regional Office| 138602|801-65333|MSRESS III MANAGER, L.L.C.|MSRESS III MANAGER, L.L.C.|1585 BROADWAY|37TH FLOOR, REAL ESTATE FUNDS|NEW YORK NY 10036|USA|||  ||AGATHA T. RUDDY|212-762-6190|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/26/2006|0|0|1|0|0|0
New York Regional Office| 138604|801-65878|ORION CAPITAL MANAGEMENT L.L.C.|ORION CAPITAL MANAGEMENT L.L.C.|590 MADISON AVENUE|5TH FLOOR|NEW YORK NY 10022|USA|263 TRESSER BOULEVARD|9TH FLOOR|STAMFORD CT 06901|USA|J. DAVID DUEBENDORFER|203-564-1558|Limited Liability Company|Portfolio management for individuals and/or small businesses, Other|APPROVED|01/30/2006|0|0|0|0|0|0
New York Regional Office| 138608|801-65595|KENMAR INVESTMENT ADVISER LLC|KENMAR INVESTMENT ADVISER LLC|900 KING STREET|SUITE 100|RYE BROOK NY 10573|USA|||  ||LAWRENCE S. BLOCK|914-307-7020|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|01/23/2006|0|0|0|0|0|0
New York Regional Office| 138611|801-65598|KENMAR GLOBAL INVESTMENT MANAGEMENT LLC|KENMAR GLOBAL INVESTMENT MANAGEMENT LLC|900 KING STREET|SUITE 100|RYE BROOK NY 10573|UNITED STATES|||  ||LAWRENCE S. BLOCK|914-307-7020|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/23/2006|0|0|0|0|0|0
New York Regional Office| 138613|801-65306|CRITICAL MATH ADVISORS LLC|CRITICAL MATH ADVISORS LLC|29 EMMONS DRIVE|SUITE A-20|PRINCETON NJ 08540|USA|||  ||DEREK BILCIK|609-734-9290|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/23/2006|0|0|0|0|0|0
New York Regional Office| 138656|801-65543|JET CAPITAL INVESTORS, LP|JET CAPITAL INVESTORS, LP|667 MADISON AVE 9TH FL||NEW YORK NY 10021|USA|||  ||GABRIEL OLIVERI|212-372-2510|Partnership|Other|APPROVED|01/26/2006|0|0|0|0|0|0
New York Regional Office| 138659|801-66030|PAULSON MANAGEMENT LLC|PAULSON MANAGEMENT LLC|590 MADISON AVENUE, 29TH FLOOR||NEW YORK NY 10022|USA|||  ||STUART L. MERZER|212-956-2221|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/27/2006|0|0|0|0|0|0
New York Regional Office| 138672|801-68189|LONG ISLAND WEALTH MANAGEMENT, INC.|LONG ISLAND WEALTH MANAGEMENT, INC.|626 REX CORP PLAZA||UNIONDALE NY 11556|USA|||  ||JEFFREY MYERS|516-522-2846|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|08/20/2007|0|0|0|0|0|0
New York Regional Office| 138681|801-65347|TRUE NORTH PARTNERS LLC|TRUE NORTH PARTNERS LLC|2 EXECUTIVE BOULEVARD, SUITE 308||SUFFERN NY 10901-4164|USA|||  ||CHRISTOPHER WRENN|845-369-9582|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|01/31/2006|0|0|0|0|0|0
New York Regional Office| 138683|801-66137|IZARA CAPITAL MANAGEMENT, LLC|IZARA CAPITAL MANAGEMENT, LLC|747 THIRD AVENUE|10TH FLOOR|NEW YORK NY 10017|USA|||  ||JOHN RANIOLO|212-702-7230|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/26/2006|0|0|0|0|0|0
New York Regional Office| 138686|801-65354|LATIGO PARTNERS, L.P.|LATIGO PARTNERS, L.P.|590 MADISON AVENUE 9TH FLOOR||NEW YORK NY 10022|USA|||  ||PAUL D. MALEK|212-754-1624|Partnership|Other|APPROVED|01/26/2006|0|0|0|0|0|0
New York Regional Office| 138688|801-65226|1861 CAPITAL MANAGEMENT LLC|1861 CAPITAL MANAGEMENT LLC|630 5TH AVE|27TH FLOOR|NEW YORK NY 10111|USA|||  ||JOHN J. LEE|212-332-8111|Limited Liability Company|Other|APPROVED|01/20/2006|0|0|0|0|0|0
New York Regional Office| 138692|801-66397|SKY BRIDGE CAPITAL, LLC|SKY BRIDGE CAPITAL, LLC|527 MADISON AVE.|16TH FLOOR|NEW YORK NY 10022|USA|||  ||ARLENE BROWNSTEIN|212-485-3111|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/04/2006|0|1|0|0|0|0
New York Regional Office| 138694|801-65371|SAGUENAY CAPITAL, LLC|SAGUENAY CAPITAL, LLC|2 MAHATTANVILLE RD.|SUITE 403|PURCHASE NY 10577-2118|USA|||  ||GORDON CALDER|914-729-2420|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/27/2006|0|0|0|0|0|0
New York Regional Office| 138702|801-65117|GALTERA N.A., INC.|GALTERA N.A., INC.|7 EAST 20TH STREET|SUITE 11-R|NEW YORK NY 10003-1106|USA|||  ||SUSAN HAUGERUD|212-598-1837|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/12/2006|0|0|0|0|0|0
New York Regional Office| 138704|801-65116|GALTERE LTD.|GALTERE LTD.|7 EAST 20TH STREET|SUITE 11-R|NEW YORK NY 10003-1106|USA|||  ||SUSAN HAUGERUD|212-598-1837|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/12/2006|0|0|0|0|0|0
New York Regional Office| 138715|801-65669|GREYWOLF CAPITAL MANAGEMENT LP|GREYWOLF CAPITAL MANAGEMENT LP|4 MANHATTANVILLE ROAD|SUITE 201|PURCHASE NY 10577-2119|USA|||  ||DAVE RAY|914-249-7883|Other (specify)|Other|APPROVED|01/27/2006|0|0|0|0|0|0
New York Regional Office| 138717|801-65790|PHOENIX INVESTMENT ADVISER LLC|PHOENIX INVESTMENT ADVISER LLC|420 LEXINGTON AVENUE|SUITE 2225|NEW YORK NY 10170-2200|USA|||  ||ROBERT YOUREE|212-632-8422|Limited Liability Company|Other|APPROVED|01/24/2006|0|0|0|0|0|0
New York Regional Office| 138730|801-65628|LOGOS CAPITAL MANAGEMENT, LLC|LOGOS CAPITAL MANAGEMENT, LLC|666 FIFTH AVENUE, SUITE 3703||NEW YORK NY 10103|USA|||  ||PETER G. SASAKI|(212) 231-4944|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/23/2006|0|0|0|0|0|0
New York Regional Office| 138739|801-65748|MANHASSET CAPITAL MANAGEMENT, LLC|MANHASSET CAPITAL MANAGEMENT, LLC|150 EAST 58TH STREET|20TH FLOOR|NEW YORK NY 10155|USA|||  ||CHRISTOPHER THORSHEIM|646-825-4603|Limited Liability Company|Other|APPROVED|01/26/2006|0|0|0|0|0|0
New York Regional Office| 138740|801-65936|ARIS CAPITAL MANAGEMENT, LLC|ARIS CAPITAL MANAGEMENT, LLC|152 WEST 57TH STREET|19TH FLOOR|NEW YORK NY 10019|USA|||  ||APOSTOLOS PERISTERIS|646-747-0101|Limited Liability Partnership|Other|APPROVED|01/24/2006|0|0|0|0|0|0
New York Regional Office| 138757|801-66324|TEEWINOT CAPITAL ADVISERS, L.L.C.|TEEWINOT CAPITAL ADVISERS, L.L.C.|101 PARK AVENUE|48TH FLOOR|NEW YORK NY 10178|USA|||  ||MICHAEL J. MORIARTY|212-984-2360|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/08/2006|0|0|0|0|0|0
New York Regional Office| 138769|801-66005|ADVANCED PORTFOLIO MANAGEMENT, LLC|ADVANCED PORTFOLIO MANAGEMENT, LLC|375 PARK AVENUE|SUITE 1904|NEW YORK NY 10152|USA|||  ||ROBERT E. KIERNAN III|212 838 4700|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/23/2006|0|0|0|0|0|0
New York Regional Office| 138792|801-66033|ARKLOW CAPITAL, LLC|ARKLOW CAPITAL, LLC|237 PARK AVENUE, SUITE 900||NEW YORK NY 10017|USA|||  ||BRIAN O'DONOGHUE|212-808-3781|Limited Liability Company|Other|APPROVED|01/23/2006|0|0|0|0|0|0
New York Regional Office| 138802|801-65571|ORE HILL PARTNERS LLC|ORE HILL PARTNERS LLC|650 FIFTH AVENUE|9TH FLOOR|NEW YORK NY 10019|USA|||  ||STEVEN J. SANDS|212-389-2359|Limited Liability Company|Other|APPROVED|01/20/2006|0|0|0|0|0|0
New York Regional Office| 138814|801-65477|CAPSTONE CAPITAL MANAGEMENT, INC.|CAPSTONE CAPITAL MANAGEMENT, INC.|1350 AVENUE OF THE AMERICAS|24TH FLOOR|NEW YORK NY 10019|USA|||  ||JOSEPH F. INGRASSIA|212-755-3636|Corporation|Other|APPROVED|05/31/2006|0|0|0|0|0|0
New York Regional Office| 138819|801-65380|PS MANAGEMENT, INC.|PS MANAGEMENT, INC.|88 PINE STREET, 31ST FLOOR|WALL STREET PLAZA|NEW YORK NY 10005|USA|||  ||SUSAN LEONG|212-495-5889|Corporation|Selection of other advisers, Other|APPROVED|01/19/2006|0|0|0|0|0|0
New York Regional Office| 138822|801-65854|EPIC ASSET MANAGEMENT, LLC|EPIC ASSET MANAGEMENT, LLC|ONE BRIDGE PLAZA|SUITE 265|FORT LEE NJ 07024|USA|||  ||JUDITH OTTENSOSER|201-592-3290|Limited Liability Company|Other|APPROVED|01/30/2006|0|0|0|0|0|0
New York Regional Office| 138838|801-65167|PARA ADVISORS LLC|PARA ADVISORS LLC|520 MADISON AVE 8TH FLOOR||NEW YORK NY 10022|USA|||  ||LEIGH WAXMAN|212-355-6688|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/13/2006|0|1|0|0|0|0
New York Regional Office| 138869|801-65704|DURHAM ASSET MANAGEMENT L.L.C.|DURHAM ASSET MANAGEMENT L.L.C.|680 FIFTH AVENUE|22ND FLOOR|NEW YORK NY 10019|USA|||  ||STEPHANIE NEIDERFER|212-204-8600|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/27/2006|0|0|0|0|0|0
New York Regional Office| 138882|801-65686|CONSTELLAR CAPITAL LLC|CONSTELLAR CAPITAL LLC|400 MADISON AVENUE|SUITE 15C|NEW YORK NY 10017|USA|||  ||JEFFREY L. PAUKER|212-888-8310|Limited Liability Company|Other|APPROVED|01/27/2006|0|0|0|0|0|0
New York Regional Office| 138893|801-65579|COMBINATORICS CAPITAL, LLC|COMBINATORICS CAPITAL, LLC|152 WEST 57TH STREET, 26TH FLOOR||NEW YORK NY 10019|USA|||  ||JUNAID RUBBANI|212-754-9754|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/27/2006|0|0|0|0|0|0
New York Regional Office| 138901|801-65726|ECKERT CORPORATION|ECKERT CORPORATION|100 UNION AVENUE||CRESSKILL NJ 07626|USA|||  ||TODD J. MASON|201-871-0866|Corporation|Other|APPROVED|01/30/2006|0|3|0|0|0|0
New York Regional Office| 138917|801-65546|SEDNA CAPITAL MANAGEMENT LLC|SEDNA CAPITAL MANAGEMENT LLC|200 PARK AVENUE|33TH FLOOR|NEW YORK NY 10166|USA|||  ||PAUL YOOK|212-808-3580|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/27/2006|0|0|0|0|0|0
New York Regional Office| 138918|801-65656|RESOLUTION PARTNERS LLC|RESOLUTION PARTNERS LLC|909 THIRD AVENUE|30TH FLOOR|NEW YORK NY 10022|USA|||  ||PATRICK DE SAN|212 350-1950|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/26/2006|0|0|0|0|0|0
New York Regional Office| 138920|801-65683|EMERGING SOVEREIGN GROUP, LLC|EMERGING SOVEREIGN GROUP, LLC|101 PARK AVENUE, 48TH FLOOR||NEW YORK NY 10178|USA|||  ||DENNIS WILSON|212-984-5759|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/27/2006|0|0|0|0|0|0
New York Regional Office| 138924|801-65263|ALSTRA CAPITAL MANAGEMENT, LLC|ALSTRA CAPITAL MANAGEMENT, LLC|1633 BROADWAY|39TH FLOOR|NEW YORK NY 10019|USA|||  ||CHRISTOPHER PODARAS|212 621 8060|Limited Liability Company|Other|APPROVED|02/07/2006|0|0|0|0|0|0
New York Regional Office| 138930|801-65330|NEWBROOK CAPITAL ADVISORS LP|NEWBROOK CAPITAL ADVISORS LP|505 FIFTH AVENUE|16TH FLOOR|NEW YORK NY 10017|USA|||  ||CHRIS REED|212.916.8965|Partnership|Portfolio management for individuals and/or small businesses, Other|APPROVED|01/19/2006|0|0|0|0|0|0
New York Regional Office| 138941|801-65396|GK CAPITAL, LLC|ONEX CREDIT PARTNERS, LLC|910 SYLVAN AVENUE|SUITE 100|ENGLEWOOD CLIFFS NJ 07632|USA|||  ||STEVEN GUTMAN|(201) 541-2121|Limited Liability Company|Other|APPROVED|01/30/2006|0|0|0|0|0|0
New York Regional Office| 138960|801-65397|STONE HARBOR INVESTMENT PARTNERS LP|STONE HARBOR INVESTMENT PARTNERS LP|31 WEST 52ND STREET|16TH FLOOR|NEW YORK NY 10019|USA|||  ||JEFFREY SCOTT|212.548.1022|Other (specify)|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/26/2006|0|0|0|0|0|0
New York Regional Office| 138994|801-65872|WASHBURNE CAPITAL MANAGEMENT LLC|WASHBURNE CAPITAL MANAGEMENT LLC|230 PARK AVENUE|SUITE 925|NEW YORK NY 10169|USA|||  ||SETH WASHBURNE|2128080500|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/15/2006|0|1|0|0|0|0
New York Regional Office| 139005|801-65969|BROADSTREET CAPITAL PARTNERS, LP|BROADSTREET CAPITAL PARTNERS, LP|712 FIFTH AVENUE||NEW YORK NY 10019|USA|||  ||PHILLIP SHEFTER|212-499-4289|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|01/30/2006|0|0|0|0|0|0
New York Regional Office| 139006|801-65664|EVERCORE ASSET MANAGEMENT, LLC|EVERCORE ASSET MANAGEMENT, LLC|55 EAST 52ND STREET|36TH FLOOR|NEW YORK NY 10055|USA|55 EAST 52ND STREET|36TH FLOOR|NEW YORK NY 10055|USA|MARGOT NONES|212-822-7571|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/26/2006|0|0|0|0|0|0
New York Regional Office| 139011|801-65612|KINETICS ADVISERS, LLC|KINETICS ADVISERS, LLC|16 NEW BROADWAY||SLEEPY HOLLOW NY 10591|USA|||  ||ANDREW M. FISHMAN|646-495-7347|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/23/2006|0|0|0|0|0|0
New York Regional Office| 139032|801-65732|MTB ASSET MANAGEMENT LLC|MTB ASSET MANAGEMENT LLC|237 PARK AVENUE SUITE 900||NEW YORK NY 10017|USA|||  ||TRISTAN BARR|212-692-6373|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/24/2006|0|0|0|0|0|0
New York Regional Office| 139046|801-66248|RBC ALTERNATIVE ASSET MANAGEMENT INC.|RBC ALTERNATIVE ASSET MANAGEMENT INC.|165 BROADWAY|4TH FLOOR|NEW YORK NY 10006-1404|USA|||  ||FRANCIS GIORGIO|212-858-6053|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/24/2006|0|0|0|0|0|0
New York Regional Office| 139073|801-66598|DELLACAMERA CAPITAL MANAGEMENT, LLC|DELLACAMERA CAPITAL MANAGEMENT, LLC|200 PARK AVENUE|SUITE 3300|NEW YORK NY 10166|USA|||  ||ANDREW KURTZ|212-808-3590|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|05/05/2006|0|0|0|0|0|0
New York Regional Office| 139076|801-67168|GRADIENT PARTNERS L.P.|GRADIENT PARTNERS L.P.|10 NEW KING STREET SUITE 214||WHITE PLAINS NY 10604|USA|||  ||ROBERT E. SHEA|(914) 368-5814|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/05/2006|0|0|0|0|0|0
New York Regional Office| 139081|801-65809|GARGOYLE INVESTMENT ADVISOR L.L.C.|GARGOYLE INVESTMENT ADVISOR L.L.C.|285 GRAND AVENUE, BUILDING 1, 1ST FLOOR||ENGLEWOOD NJ 07631|USA|||  ||JOSHUA B. PARKER|201-227-2205|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/30/2006|0|1|0|0|0|0
New York Regional Office| 139094|801-65959|WIC ADVISORS, LLC|WIC ADVISORS, LLC|41 MADISON AVENUE|SUITE 2802|NEW YORK NY 10010|USA|||  ||MATTHEW HEMBERGER|212-584-2367|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/01/2006|0|0|0|0|0|0
New York Regional Office| 139113|801-66085|HIGHLINE CAPITAL MANAGEMENT, L.L.C.|HIGHLINE CAPITAL MANAGEMENT, L.L.C.|ONE ROCKEFELLER PLAZA 30TH FLOOR||NEW YORK NY 10020|USA|||  ||MICHAEL KLARMAN|212-332-2250|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/30/2006|0|0|0|0|0|0
New York Regional Office| 139114|801-65828|PICKWICK CAPITAL ADVISORS LLC|PICKWICK CAPITAL ADVISORS LLC|445 HAMILTON AVENUE|SUITE 1102|WHITE PLAINS NY 10601|USA|||  ||VALERI V. PAVLOV|(914) 220-5880|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/24/2006|0|0|0|0|0|0
New York Regional Office| 139119|801-66419|VISION CAPITAL ADVISORS, LLC|VISION CAPITAL ADVISORS, LLC|20 W 55TH ST.|5TH FLOOR|NEW YORK NY 10019|USA|||  ||LISA SNOW|212-849-8248|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/20/2006|0|0|0|0|0|0
New York Regional Office| 139132|801-66334|COTTON HALL ASSET MANAGEMENT, LP|COTTON HALL ASSET MANAGEMENT, LP|711 FIFTH AVE|16TH FLOOR|NEW YORK NY 10022|USA|||  ||JACOB BURGIDA|212-313-6705|Partnership|Other|APPROVED|03/14/2006|0|0|0|0|0|0
New York Regional Office| 139137|801-66097|GREENWAY TRADING LLC|GREENWAY TRADING LLC|7 NORTH BROAD STREET #204||RIDGEWOOD NJ 07450-3801|USA|||  ||AIMAN SALEM|(201) 447-2300|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|01/27/2006|0|1|0|0|0|0
New York Regional Office| 139143|801-65917|MERRION INVESTMENT MANAGEMENT CO, LLC|MERRION INVESTMENT MANAGEMENT CO, LLC|210 ELMER STREET||WESTFIELD NJ 07090-2128|USA|||  ||DAVID ERB|908-654-0033|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/27/2006|0|0|0|0|0|0
New York Regional Office| 139149|801-65945|SAPPHIRE MANAGEMENT L.P.|SAPPHIRE MANAGEMENT L.P.|527 MADISON AVE|7TH FLOOR|NEW YORK NY 10022|USA|||  ||MATTHEW BUTEN|212-419-3948|Partnership|Portfolio management for individuals and/or small businesses|APPROVED|03/31/2006|0|0|0|0|0|0
New York Regional Office| 139177|801-66901|M.D. SASS TAX ADVANTAGED BOND STRATEGIES, L.L.C.|M.D. SASS TAX ADVANTAGED BOND STRATEGIES, L.L.C.|1185 AVENUE OF THE AMERICAS||NEW YORK NY 10036|USA|||  ||SUSAN GARRISON HICKEY|212-730-2000|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/20/2006|0|0|0|0|0|0
New York Regional Office| 139186|801-68602|NEON LIBERTY CAPITAL MANAGEMENT, LLC|NEON LIBERTY CAPITAL MANAGEMENT, LLC|230 PARK AVENUE|SUITE 865|NEW YORK NY 10169|USA|||  ||JOSEPH ZEV SHIFFMAN|646.467.9781|Limited Liability Company|Other|APPROVED|01/02/2008|0|2|0|0|0|0
New York Regional Office| 139223|801-66034|NORTHLIGHT FINANCIAL LLC|NORTHLIGHT FINANCIAL LLC|1330 AVENUE OF THE AMERICAS|34TH FLOOR|NEW YORK NY 10019|USA|||  ||MICHAEL H. JAHRMARKT|212 247 0800|Limited Liability Company|Other|APPROVED|03/02/2006|0|0|0|0|0|0
New York Regional Office| 139265|801-66453|WATERSTONE WEALTH ADVISORS, LLC|WATERSTONE WEALTH ADVISORS, LLC|1715 AMWELL ROAD|2ND FLOOR|SOMERSET NJ 08873|USA|||  ||JOHN C. MOYNIHAN|732-873-0433|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|04/04/2006|0|0|0|0|0|0
New York Regional Office| 139322|801-66928|DRAWBRIDGE LONG DATED VALUE ADVISORS LLC|DRAWBRIDGE LONG DATED VALUE ADVISORS LLC|1345 AVENUE OF THE AMERICAS|46TH FLOOR|NEW YORK NY 10105|USA|||  ||MICHAEL J. COHN|212-479-5294|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/23/2006|0|0|0|0|0|0
New York Regional Office| 139342|801-66181|MOHICAN FINANCIAL MANAGEMENT, LLC|MOHICAN FINANCIAL MANAGEMENT, LLC|21 RAILROAD AVE., SUITE 35||COOPERSTOWN NY 13326|USA|||  ||CHARLES HAGE|607-547-1357|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/01/2006|0|0|0|0|0|0
New York Regional Office| 139366|801-66147|MAXIM FINANCIAL ADVISORS LLC|MAXIM FINANCIAL ADVISORS LLC|405 LEXINGTON AVE.,|2ND FLOOR|NEW YORK NY 10174|USA|||  ||GERARD MCCARTHY|212-895-3500|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|01/26/2006|1|9|0|0|0|0
New York Regional Office| 139367|801-66141|SEQUENCE CAPITAL LLC|SEQUENCE CAPITAL LLC|320 PARK AVE|21ST|NEW YORK NY 10022|USA|||  ||ANURAG SANYAL|212-390-3462|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/14/2006|0|0|0|0|0|0
New York Regional Office| 139371|801-66113|OWL CREEK ASSET MANAGEMENT, L.P.|OWL CREEK ASSET MANAGEMENT, L.P.|640 FIFTH AVENUE, 20TH FLOOR||NEW YORK NY 10019-6102|USA|||  ||DANIEL J. SAPADIN|212-688-2550|Partnership|Other|APPROVED|01/26/2006|0|0|0|0|0|0
New York Regional Office| 139372|801-66272|RIDGEWAY CONGER ADVISORY SERVICES|RIDGEWAY CONGER ADVISORY SERVICES, INC|2123 MAIN STREET||NEW WOODSTOCK NY 13122|USA|P.O. BOX 156||NEW WOODSTOCK NY 13122|USA|RICHARD GARBER|315-662-7450|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/28/2006|0|0|0|0|0|0
New York Regional Office| 139415|801-66372|FULTON STREET MANAGEMENT, LLC|FULTON STREET MANAGEMENT, LLC|40 FULTON STREET|21ST FLOOR|NEW YORK NY 10038|USA|||  ||RICHARD DIVER|212-584-8999|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/06/2006|0|0|0|0|0|0
New York Regional Office| 139454|801-66158|NORTH RIVER CAPITAL LLC|NORTH RIVER CAPITAL MANAGEMENT L.P.|750 LEXINGTON AVENUE|16TH FLOOR|NEW YORK NY 10022|USA|||  ||EDWARD DAVIS|212-488-5509|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/01/2006|0|0|0|0|0|0
New York Regional Office| 139597|801-66234|SANDGRAIN ADVISORS INC.|SANDGRAIN ADVISORS INC.|1050 FRANKLIN AVENUE|SUITE 300|GARDEN CITY NY 11530|USA|||  ||PETER D. GRASSEL|516-750-7800|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/17/2006|0|0|0|0|0|0
New York Regional Office| 139608|801-66447|PROVIDENCE CAPITAL PARTNERS, LLC|PROVIDENCE CAPITAL PARTNERS, LLC|115 EAST 69TH STREET||NEW YORK NY 10021|USA|||  ||L. G. SCHAFRAN|212 888 3200|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/29/2006|0|0|0|0|0|0
New York Regional Office| 139625|801-66246|NUVERSE OFFSHORE ADVISORS LLC|NUVERSE OFFSHORE ADVISORS LLC|645 FIFTH AVENUE||NEW YORK NY 10022-5910|USA|||  ||GREGORY G. DONALD|212-507-9123|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/17/2006|0|0|0|0|0|0
New York Regional Office| 139684|801-66567|WISDOMTREE ASSET MANAGEMENT, INC.|WISDOMTREE ASSET MANAGEMENT, INC.|380 MADISON AVENUE|21ST FLOOR|NEW YORK NY 10017|USA|||  ||RICHARD MORRIS|212 801 2080|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/03/2006|0|0|0|0|0|0
New York Regional Office| 139708|801-66326|STRUCTURED INVESTMENT MANAGEMENT|STRUCTURED INVESTMENT MANAGEMENT, INC.|245 PARK AVENUE, 39TH FLOOR||NEW YORK NY 10167|USA|||  ||RAMESH K. MENON|212-672-1980|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies|APPROVED|03/13/2006|0|0|0|0|0|0
New York Regional Office| 139733|801-66473|MODERN ASSET MANAGEMENT LLC|MODERN ASSET MANAGEMENT LLC|5 EAST 59TH STREET, 3RD FLOOR||NEW YORK NY 10022-7164|USA|||  ||KEVIN P. ANDERSON|212-323-2807|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/24/2006|0|0|0|0|0|0
New York Regional Office| 139742|801-66381|NINEPEAKS CAPITAL MANAGEMENT LP|NINEPEAKS CAPITAL MANAGEMENT LP|880 THIRD AVENUE|8TH FLOOR|NEW YORK NY 10022|USA|||  ||PATRICIA FALLON|(212) 890-3340|Partnership|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|03/13/2006|0|0|0|0|0|0
New York Regional Office| 139868|801-66581|HOWARD SINGER ASSOCIATES, LLC|HOWARD SINGER ASSOCIATES, LLC|740 HIGHWAY 34||MATAWAN NJ 07747|USA|||  ||HOWARD SINGER|732-583-1214|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/11/2006|0|0|0|0|0|0
New York Regional Office| 139895|801-66886|CATALYST CAPITAL ADVISORS LLC|CATALYST CAPITAL ADVISORS LLC|5 ABBINGTON DRIVE||LLOYD HARBOR NY 11743|USA|||  ||JERRY SZILAGYI|(631) 549-1859|Limited Liability Company|Portfolio management for investment companies|APPROVED|06/09/2006|0|0|0|0|0|0
New York Regional Office| 139896|801-68673|RICHARDS CAPITAL MANAGEMENT LLC|RICHARDS CAPITAL MANAGEMENT LLC|21 WEST 86TH ST., SUITE 501||NEW YORK NY 10024|USA|||  ||LAURENCE RICHARDS|212-877-4999|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/17/2008|0|0|0|0|0|0
New York Regional Office| 140006|801-66421|AG ASSET MANAGEMENT LLC|AG ASSET MANAGEMENT LLC|245 PARK AVENUE|42ND FLOOR|NEW YORK NY 10167|USA|||  ||KRISTIN MARIANI|212-407-9448|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|03/31/2006|0|0|0|0|0|0
New York Regional Office| 140041|801-66757|HARDING ADVISORY LLC|HARDING ADVISORY LLC|TWO WORLD FINANCIAL CENTER, 36TH FLOOR|225 LIBERTY STREET|NEW YORK NY 10281|USA|||  ||WING CHAU|212-220-9750|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/05/2006|0|0|0|0|0|0
New York Regional Office| 140062|801-66858|CK ADVISORS, LLC|CK ADVISORS, LLC|10 ROCKEFELLER PLAZA|16TH FLOOR|NEW YORK NY 10020-1903|USA|||  ||DANIEL K. CANTOR|212.713.7668|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/08/2006|0|0|0|0|0|0
New York Regional Office| 140121|801-66868|CCMP CAPITAL|CCMP CAPITAL ADVISORS, LLC|245 PARK AVENUE, 16TH FLOOR||NEW YORK NY 10167|USA|||  ||RICHARD G. JANSEN|212-600-9637|Limited Liability Company|Other|APPROVED|06/20/2006|0|0|3|0|0|0
New York Regional Office| 140190|801-66512|IC ADVISORY SERVICES, INC.|IC ADVISORY SERVICES, INC.|1420 ROUTE 206 NORTH|SUITE 210|BEDMINSTER NJ 07921|USA|1420 ROUTE 206 NORTH, SUITE 210|P.O. BOX 770|BEDMINSTER NJ 07921|USA|DOUGLAS WRIGHT|908-707-4422|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|04/13/2006|0|1|0|0|0|0
New York Regional Office| 140216|801-67473|GREENHILL VENTURE PARTNERS, LLC|GREENHILL VENTURE PARTNERS, LLC|300 PARK AVENUE||NEW YORK NY 10022|USA|||  ||HAROLD J. RODRIGUEZ, JR.|212-389-1516|Limited Liability Company|Other|APPROVED|01/25/2007|0|0|0|0|0|0
New York Regional Office| 140220|801-66607|SMC FIXED INCOME MANAGEMENT, LP|SMC FIXED INCOME MANAGEMENT, LP|5 VAUGHN DRIVE||PRINCETON NJ 08540|USA|||  ||GEORGE GREGORIO|609-228-1500|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/04/2006|0|0|0|0|0|0
New York Regional Office| 140234|801-66800|STARR INVESTMENT ADVISORS, LLC|STARR INVESTMENT ADVISORS, LLC|850 THIRD AVENUE|15TH FLOOR|NEW YORK NY 10022|USA|||  ||RONALD M. STARR|(212) 759-6556|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|06/02/2006|0|0|0|0|0|0
New York Regional Office| 140238|801-67259|ORACLE FINANCIAL SERVICES, LLC|ORACLE FINANCIAL SERVICES, LLC|100 GRAND ST, 4TH FLOOR||NEW YORK NY 10013|USA|||  ||JASON EOANIDIS, CPA|212-856-9594|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|11/03/2006|0|0|0|0|0|0
New York Regional Office| 140240|801-66578|FIBONACCI CAPITAL LLC|FIBONACCI CAPITAL LLC|61 LISMORE ROAD||LAWRENCE NY 11559|USA|||  ||JUDAH FRANKEL|516-239-7924|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|05/16/2006|0|0|0|0|0|0
New York Regional Office| 140359|801-66716|ONE EAST CAPITAL ADVISORS, LP|ONE EAST CAPITAL ADVISORS, LP|1 EAST 57TH STREET, 10TH FL||NEW YORK NY 10022|UNITED STATES|||  ||AMIT MALHOTRA|212-230-4509|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/16/2006|0|0|0|0|0|0
New York Regional Office| 140432|801-66785|LEGG MASON PARTNERS FUND ADVISOR, LLC|LEGG MASON PARTNERS FUND ADVISOR, LLC|620 EIGHTH AVENUE - 49TH FLOOR||NEW YORK NY 10018|USA|||  ||C/O THOMAS C. MANDIA|203-703-7038|Limited Liability Company|Portfolio management for investment companies|APPROVED|05/23/2006|0|0|0|0|0|0
New York Regional Office| 140443|801-66922|AC INVESTMENT MANAGEMENT LLC|AC INVESTMENT MANAGEMENT, LLC|1120 AVENUE OF THE AMERICAS, SUITE 1513||NEW YORK NY 10036|USA|||  ||HANS KUMAR|212-626-6591|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/22/2006|0|0|0|0|0|0
New York Regional Office| 140452|801-66736|J.J. BURNS & COMPANY|JAMES J. BURNS & COMPANY, LLC|1895 WALT WHITMAN ROAD||MELVILLE NY 11747|USA|||  ||JAMES J. BURNS|631-390-0500|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/15/2006|0|0|0|0|0|0
New York Regional Office| 140466|801-66850|HR BENEFIT ADVISORS, LTD.|HR BENEFIT ADVISORS, LTD.|4 COMMERCIAL STREET|SUITE 100|ROCHESTER NY 14614|USA|||  ||MICHAEL COLAO|585.777.4114|Corporation|Pension consulting services|APPROVED|06/14/2006|0|0|0|0|0|0
New York Regional Office| 140485|801-66692|OPPENHEIMER ALTERNATIVE INVESTMENT MANAGEMENT, LLC|OPPENHEIMER ALTERNATIVE INVESTMENT MANAGEMENT, LLC|200 PARK AVENUE, 24TH FLOOR||NEW YORK NY 10166|USA|||  ||DEBORAH KABACK|212-667-4395|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/06/2006|0|2|0|0|0|0
New York Regional Office| 140495|801-66914|VAULT PARTNERS, LLC|VAULT PARTNERS, LLC|720 FIFTH AVENUE|15TH FLOOR|NEW YORK NY 10019|USA|||  ||BENJAMIN SONTHEIMER|212-993-5880|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/26/2006|0|0|0|0|0|0
New York Regional Office| 140519|801-66703|ADVISORY WEALTH MANAGEMENT SERVICES, LLC|ADVISORY WEALTH MANAGEMENT SERVICES, LLC|46 ESTE PLACE||BLOOMFIELD NJ 07003|USA|||  ||CAROLYN STANZIALE|973-801-9501|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|05/05/2006|0|0|0|0|0|0
New York Regional Office| 140552|801-66744|HUDSON VALLEY INVESTMENT ADVISORS, LLC|HUDSON VALLEY INVESTMENT ADVISORS, LLC|97 WEST MAIN STREET||GOSHEN NY 10924|USA|||  ||MICHAEL M RUNDLE|845-294-6127|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/16/2006|0|0|0|0|0|0
New York Regional Office| 140701|801-66798|CARAVEL MANAGEMENT LLC|CARAVEL MANAGEMENT LLC|888 SEVENTH AVE. 37TH FLOOR||NEW YORK NY 10106|USA|||  ||MARIA SOLOVIEVA|212-994-9814|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/25/2006|0|0|0|0|0|0
New York Regional Office| 140745|801-66859|STRATEGIC WEALTH MANAGEMENT LLC|STRATEGIC WEALTH MANAGEMENT LLC|555 PLEASANTVILLE RD.|NORTH BUILDING|BRIARCLIFF MANOR NY 10510|USA|||  ||ANTHONY D'ARIA|646-220-3327|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|06/16/2006|0|0|0|0|0|0
New York Regional Office| 140771|801-66971|ARGENIS CAPITAL ADVISORS, LLC|ARGENIS CAPITAL ADVISORS, LLC|767 THIRD AVENUE|17TH FLOOR|NEW YORK NY 10017|USA|||  ||KEVIN MAHONEY|212 888 5293|Limited Liability Company|Other|APPROVED|07/03/2006|0|0|0|0|0|0
New York Regional Office| 140783|801-66828|FORTRESS FUND IV GP L.P.|FORTRESS FUND IV GP L.P.|1345 AVENUE OF THE AMERICAS||NEW YORK NY 10105|USA|||  ||MICHAEL J. COHN|212-479-5294|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/19/2006|0|1|0|0|0|0
New York Regional Office| 140790|801-69445|THE MUTUAL FUND STORE|TMFS-ROCHESTER, LLC|1910 MONROE AVE.||ROCHESTER NY 14618|USA|||  ||JEFFREY MCNINCH|585-244-3000|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/31/2008|0|0|0|0|0|0
New York Regional Office| 140868|801-68933|JJ INVESTMENT COMPANY|JJ INVESTMENT COMPANY|6 ELGAR STREET||EAST NORTHPORT NY 11731|USA|||  ||JEANNINE R. WEINBERG|631-704-3586|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|03/12/2008|0|0|0|0|0|0
New York Regional Office| 140873|801-66975|CASTLETON PARTNERS, LLC|CASTLETON PARTNERS, LLC|230 PARK AVENUE|SUITE 455|NEW YORK NY 10169-1525|USA|||  ||JOHN S. TAMAGNI|212-832-9700|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/14/2006|0|1|0|0|0|0
New York Regional Office| 141005|801-68538|HUDSON FAIRFAX GROUP, LLC|HUDSON FAIRFAX GROUP, LLC|845 THIRD AVENUE, 6TH FLOOR||NEW YORK NY 10022|USA|||  ||MICHAEL PURVES|646-290-5220|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|11/09/2007|0|0|0|0|0|0
New York Regional Office| 141029|801-67008|GOLDBERG LINDSAY & CO. LLC|GOLDBERG LINDSAY & CO. LLC|630 FIFTH AVENUE|30TH FLOOR|NEW YORK NY 10111|USA|||  ||ROBERT J.S. RORISTON|212-651-1100|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/21/2006|0|0|0|0|0|0
New York Regional Office| 141057|801-66936|CLEARBROOK PARTNERS LLC|CLEARBROOK PARTNERS LLC|47 HULFISH STREET|SUITE 210|PRINCETON NJ 08542|USA|||  ||CHARLES MORTEN|609-986-1003|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/05/2006|0|0|0|0|0|0
New York Regional Office| 141062|801-66977|U.S. WEALTH GROUP, LLC|U.S. WEALTH GROUP, LLC|7600 JERICHO TURNPIKE|SUITE 303|WOODBURY NY 11797|USA|||  ||ROBERT J. SANTARPIA, JR.|516-682-9800|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/14/2006|0|0|0|0|0|0
New York Regional Office| 141090|801-67359|GOLDSMITH & HARRIS ASSET MANAGEMENT, LLC|GOLDSMITH & HARRIS ASSET MANAGEMENT, LLC|80 PINE STREET||NEW YORK NY 10005-1702|USA|||  ||ARMAND B. ERPF|212-514-5515|Limited Liability Company|Other|APPROVED|01/05/2007|0|1|0|0|0|0
New York Regional Office| 141194|801-67017|BLACKSTONE KAILIX ADVISORS L.L.C.|BLACKSTONE KAILIX ADVISORS L.L.C.|345 PARK AVENUE||NEW YORK NY 10154|USA|||  ||ROBERT L. FRIEDMAN|212-583-5268|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/19/2006|0|0|0|0|0|0
New York Regional Office| 141198|801-67016|BLACKSTONE L/S ADVISORS L.L.C.|BLACKSTONE L/S ADVISORS L.L.C.|345 PARK AVENUE||NEW YORK NY 10154|USA|||  ||ROBERT L. FRIEDMAN|212-583-5268|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/19/2006|0|0|0|0|0|0
New York Regional Office| 141213|801-67466|SEQA CAPITAL ADVISORS, LP|SEQA CAPITAL ADVISORS, LP|245 PARK AVENUE, 24TH FLOOR||NEW YORK NY 10167|USA|PO BOX 459||NEW YORK NY 10150|USA|ANDREW F. VAN HISE|212-302-8877|Partnership|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/01/2007|0|0|0|0|0|0
New York Regional Office| 141220|801-67003|HAYES ASSET MANAGEMENT, LLC|HAYES ASSET MANAGEMENT, LLC|400 ANDREWS STREET, SUITE 600||ROCHESTER NY 14604|USA|||  ||CHRISTOPHER HAYES|585-730-6951|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/19/2006|0|0|1|0|0|0
New York Regional Office| 141333|801-67050|YORKVILLE CAPITAL MANAGEMENT LLC|YORKVILLE CAPITAL MANAGEMENT LLC|575 MADISON AVENUE|10TH FLOOR|NEW YORK NY 10022|USA|||  ||DARREN R. SCHURINGA|212-317-8128|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|08/03/2006|0|0|0|0|0|0
New York Regional Office| 141392|801-67166|X-SHARES ADVISORS LLC|XSHARES ADVISORS LLC|420 LEXINGTON AVENUE|SUITE 2550|NEW YORK NY 10170|USA|||  ||RICHARD BERENGER|646-467-8615|Limited Liability Company|Portfolio management for investment companies, Other|APPROVED|10/05/2006|0|5|3|0|0|0
New York Regional Office| 141491|801-67093|HALCYON ASSET-BACKED ADVISORS L.P.|HALCYON ASSET-BACKED ADVISORS L.P.|477 MADISON AVENUE|8TH FLOOR|NEW YORK NY 10022|USA|||  ||NANCY I. FOX|212-303-9404|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/07/2006|0|0|0|0|0|0
New York Regional Office| 141515|801-67248|DR ADVISORY SERVICES, LLC|DR ADVISORY SERVICES, LLC|6 WEMBLEY COURT||ALBANY NY 12205|USA|||  ||JEFFREY BENNETT|518-464-4080|Limited Liability Company|Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|10/17/2006|0|0|0|0|0|0
New York Regional Office| 141516|801-67131|AXIOM INVESTMENT MANAGEMENT LLC|AXIOM INVESTMENT MANAGEMENT LLC|780 THIRD AVENUE|43RD FLOOR|NEW YORK NY 10017|USA|||  ||MARK D. MARTINO|212-521-3800|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/24/2006|0|5|0|0|0|0
New York Regional Office| 141577|801-67221|THE TOKARZ GROUP ADVISERS LLC|THE TOKARZ GROUP ADVISERS LLC|287 BOWMAN AVENUE|2ND FLOOR|PURCHASE NY 10577|USA|||  ||JACLYN SHAPIRO|9147010311|Limited Liability Company|Portfolio management for investment companies, Other|APPROVED|10/31/2006|0|0|0|0|0|0
New York Regional Office| 141616|801-67152|HALCYON LOAN INVESTORS L.P.|HALCYON LOAN INVESTORS L.P.|477 MADISON AVENUE, 8TH FLOOR||NEW YORK NY 10022|USA|||  ||NANCY I. FOX|212-303-9404|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/05/2006|0|0|0|0|0|0
New York Regional Office| 141661|801-67143|PINNACLE CAPITAL MANAGEMENT, LLC|PINNACLE CAPITAL MANAGEMENT, LLC|507 PLUM STREET||SYRACUSE NY 13204|USA|||  ||STEPHEN JULIUS FAUER|315.234.9716|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/14/2006|0|0|0|0|0|0
New York Regional Office| 141785|801-67187|ASHCAR ADVISORS LLC|ASHCAR ADVISORS LLC|129 GLEN ALPIN RD||MORRISTOWN NJ 07960|USA|||  ||SPENCER MARSH|9732676610|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|09/19/2006|0|0|0|0|0|0
New York Regional Office| 141805|801-67480|CENTRAL PARK ADVISERS, LLC|CENTRAL PARK ADVISERS, LLC|12 EAST 49 STREET, 14TH FLOOR||NEW YORK NY 10017|USA|||  ||MICHAEL MASCIS|212-317-9200|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Selection of other advisers|APPROVED|02/07/2007|0|0|0|0|0|0
New York Regional Office| 141854|801-67779|WL ROSS & CO. LLC|WL ROSS & CO. LLC|1166 AVENUE OF THE AMERICAS, 27TH FLOOR||NEW YORK NY 10036|USA|||  ||CARMINE E. ANGONE|212-278-9834|Limited Liability Company|Other|APPROVED|04/25/2007|0|0|0|0|0|0
New York Regional Office| 141938|801-67663|BRIGADIER CAPITAL MANAGEMENT LLC|BRIGADIER CAPITAL MANAGEMENT LLC|135 EAST 57TH STREET|21ST FLOOR|NEW YORK NY 10022|USA|||  ||KEN SMITH|215 701-9635|Limited Liability Company|Other|APPROVED|04/19/2007|0|2|0|0|0|0
New York Regional Office| 142047|801-67286|MSREF REAL ESTATE ADVISOR, INC.|MSREF REAL ESTATE ADVISOR, INC.|1585 BROADWAY, 37TH FLOOR||NEW YORK NY 10036|USA|||  ||AGATHA T. RUDDY|212-762-6190|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/05/2006|0|0|1|0|0|0
New York Regional Office| 142083|801-67501|INSANA CAPITAL PARTNERS LP|INSANA CAPITAL PARTNERS LP|2200 FLETCHER AVENUE|7TH FLOOR|FORT LEE NJ 07024|USA|||  ||KENNETH BIBKO|201-592-7008|Other (specify)|Publication of periodicals or newsletters, Other|APPROVED|01/23/2007|0|0|0|0|0|0
New York Regional Office| 142117|801-67722|TRANSPARENT VALUE ADVISORS, LLC|TRANSPARENT VALUE ADVISORS, LLC|100 WALL STREET|8TH FLOOR|NEW YORK NY 10005|USA|||  ||ELISSA SHOSHANA SWIFT|2129085087|Limited Liability Company|Other|APPROVED|04/18/2007|0|0|0|0|0|0
New York Regional Office| 142136|801-67440|RIDGEWOOD ENERGY CORPORATION|RIDGEWOOD ENERGY CORPORATION|947 LINWOOD AVENUE||RIDGEWOOD NJ 07450|USA|||  ||MARIA E HAGGERTY|(201) 447-9000|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/21/2007|0|1|1|0|0|0
New York Regional Office| 142214|801-67465|SAMALIN INVESTMENT COUNSEL, LLC|SAMALIN INVESTMENT COUNSEL, LLC|100 SOUTH BEDFORD ROAD||MT. KISCO NY 10549|USA|||  ||ANDREW SAMALIN|914-666-6600|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/15/2007|0|0|0|0|0|0
New York Regional Office| 142250|801-68764|GRATIO CAPITAL|SHERWOOD ADVISORS, LLC|155 WATER STREET||BROOKLYN NY 11201|USA|||  ||YARON BEN-ZVI|212-731-0825|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/01/2008|0|0|0|0|0|0
New York Regional Office| 142260|801-67396|SWISS RE PORTFOLIO ADVISORS CORPORATION|SWISS RE PORTFOLIO ADVISORS CORPORATION|55 EAST 52ND STREET||NEW YORK NY 10055|USA|||  ||MICHAEL T. MCGUIRE|212-407-7352|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|01/12/2007|0|1|0|0|0|0
New York Regional Office| 142333|801-67287|LEGG MASON GLOBAL ASSET ALLOCATION, LLC|LEGG MASON GLOBAL ASSET ALLOCATION, LLC|620 EIGHTH AVENUE||NEW YORK NY 10018|USA|||  ||RICHARD DANIEL LEVIN|203-703-7048|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|11/17/2006|0|0|0|0|0|0
New York Regional Office| 142380|801-67345|EDGE WEALTH MANAGEMENT, LLC|EDGE WEALTH MANAGEMENT, LLC|675 THIRD AVENUE|SUITE 2800|NEW YORK NY 10017|USA|||  ||MATTHEW WEINBERG|212-682-0133|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|12/04/2006|0|0|0|0|0|0
New York Regional Office| 142411|801-67448|RIDGEWOOD CAPITAL MANAGEMENT, LLC|RIDGEWOOD CAPITAL MANAGEMENT, LLC|947 LINWOOD AVENUE||RIDGEWOOD NJ 07450|USA|||  ||MARIA E HAGGERTY|(201) 447-9000|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/20/2007|0|1|1|0|0|0
New York Regional Office| 142414|801-67284|REIK & CO., LLC|REIK & CO., LLC|15 WEST 53RD STREET|SUITE 12B|NEW YORK NY 10019|USA|||  ||WILLIAM J. REIK, JR.|212-262-4441|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/21/2006|0|0|0|0|0|0
New York Regional Office| 142463|801-67314|METLIFE INVESTMENT ADVISORS COMPANY, LLC|METLIFE INVESTMENT ADVISORS COMPANY, LLC|200 PARK AVENUE||NEW YORK NY 10166|USA|1 METLIFE PLAZA|27-01 QUEENS PLAZA NORTH|LONG ISLAND CITY NY 11101|USA|JEFFREY P. HALPERIN|212-578-7531|Limited Liability Company|Portfolio management for investment companies|APPROVED|11/29/2006|0|0|0|0|0|0
New York Regional Office| 142475|801-67343|OPUS SELECT STRATEGIES, LLC|OPUS SELECT STRATEGIES, LLC|81 MAIN ST.|SUITE 100|WHITE PLAINS NY 10601|USA|||  ||CAROL PEREIRA|650.543.2968|Limited Liability Company|Other|APPROVED|12/08/2006|0|0|0|0|0|0
New York Regional Office| 142489|801-68431|STONE TOWER EQUITY PARTNERS LLC|STONE TOWER EQUITY PARTNERS LLC|152 WEST 57TH STREET||NEW YORK NY 10019-3386|USA|||  ||MARIAN BRANCACCIO|212-258-0947|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/02/2007|0|0|0|0|0|0
New York Regional Office| 142502|801-67762|CONSTELLATION WEALTH ADVISORS LLC|CONSTELLATION WEALTH ADVISORS LLC|52 VANDERBILT AVENUE- 8TH FLOOR||NEW YORK NY 10017-3808|USA|||  ||PHILIP T FRANK|212 697-0500|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|04/09/2007|0|0|0|0|0|0
New York Regional Office| 142558|801-67569|MANAGED ACCOUNT ADVISORS LLC|MANAGED ACCOUNT ADVISORS LLC|101 HUDSON STREET|9TH FLOOR|JERSEY CITY NJ 07302|USA|ATTN:  MARLA MOSKOWITZ-HESSE|222 BROADWAY, 16TH FLOOR|NEW YORK NY 10038|USA|MARLA MOSKOWITZ-HESSE|212-670-0314|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/27/2007|0|0|1|0|0|0
New York Regional Office| 142560|801-68257|MARKETFIELD ASSET MANAGEMENT LLC|MARKETFIELD ASSET MANAGEMENT LLC|292 MADISON AVENUE|14TH FLOOR|NEW YORK NY 10017|USA|||  ||MICHAEL ARONSTEIN|212-514-2353|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|08/29/2007|0|11|0|0|0|0
New York Regional Office| 142633|801-67401|SPEARS ABACUS ADVISORS LLC|SPEARS ABACUS ADVISORS LLC|147 EAST 48TH STREET||NEW YORK NY 10017|USA|||  ||KATHRYN PAYNE BELLER|212-230-9842|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/03/2007|0|0|0|0|0|0
New York Regional Office| 142638|801-67375|DYNAMIC TRADING MANAGEMENT, LLC.|DYNAMIC TRADING MANAGEMENT, LLC.|245 MAIN STREET 4TH FLOOR||WHITE PLAINS NY 10601|USA|||  ||TIMOTHY BRADLEY|914 220 9404|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|12/11/2006|0|0|0|0|0|0
New York Regional Office| 142661|801-67494|CENTRAL PARK PARA MANAGEMENT, LLC|CENTRAL PARK PARA MANAGEMENT, LLC|12 EAST 49TH STREET, 14TH FL||NEW YORK NY 10017|USA|||  ||MICHAEL MASCIS|212-317-9200|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Selection of other advisers|APPROVED|02/21/2007|0|0|0|0|0|0
New York Regional Office| 142714|801-67506|LUTHER FOREST WEALTH ADVISORS, L.L.C.|LUTHER FOREST WEALTH ADVISORS, L.L.C.|2715 ROUTE 9|SUITE 101|MALTA NY 12020|USA|||  ||TIMOTHY W. PEHL|518-899-5490X2|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/09/2007|0|0|0|0|0|0
New York Regional Office| 142718|801-67403|WASHINGTON CORNER CAPITAL MANAGEMENT, LP|WASHINGTON CORNER CAPITAL MANAGEMENT, LP|200 PARK AVENUE|SUITE 200|FLORHAM PARK NJ 07932|USA|||  ||ED BANKS|973-822-0123|Partnership|Other|APPROVED|01/18/2007|0|0|0|0|0|0
New York Regional Office| 142766|801-67809|CANARAS CAPITAL MANAGEMENT, LLC|CANARAS CAPITAL MANAGEMENT, LLC|1995 BROADWAY|SUITE 600|NEW YORK NY 10023-5882|USA|||  ||DAVID MCCLEAN|212-372-7451|Limited Liability Company|Portfolio management for individuals and/or small businesses, Other|APPROVED|04/19/2007|0|0|0|0|0|0
New York Regional Office| 142814|801-67515|MITSUI & CO. ALTERNATIVE INVESTMENT CORPORATION|MITSUI & CO. ALTERNATIVE INVESTMENT CORPORATION|780 THIRD AVENUE|SUITE 2801|NEW YORK NY 10017|USA|||  ||ATSUSHI KATAYAMA|212-223-6511|Corporation|Other|APPROVED|01/31/2007|0|0|0|0|0|0
New York Regional Office| 142824|801-67678|MORGAN STANLEY INFRASTRUCTURE INC.|MORGAN STANLEY INFRASTRUCTURE INC.|1585 BROADWAY|ANNE VALENTINE ANDREWS 39TH FLOOR|NEW YORK NY 10036|USA|||  ||AGATHA T. RUDDY|212-762-6190|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/04/2007|0|0|1|0|0|0
New York Regional Office| 142834|801-67443|GS INVESTMENT STRATEGIES, LLC|GS INVESTMENT STRATEGIES, LLC|ONE NEW YORK PLAZA||NEW YORK NY 10004|USA|||  ||JOHN MAURICE O'CONNELL|212-902-5887|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/18/2007|0|0|0|0|0|0
New York Regional Office| 142870|801-68774|PASSIVE CAPITAL MANAGEMENT, LLC|PASSIVE CAPITAL MANAGEMENT, LLC|TWO CLINTON SQUARE|SUITE 215|SYRACUSE NY 13202-1025|USA|||  ||SCOTT REINHARDT|315.478.3130|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/06/2008|0|0|0|0|0|0
New York Regional Office| 142878|801-67841|CIRCLE WEALTH MANAGEMENT, LLC|CIRCLE WEALTH MANAGEMENT, LLC|47 MAPLE STREET|SUITE 201|SUMMIT NJ 07901|USA|||  ||KRISTEN BREAULT|908-206-1306|Limited Liability Company|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|04/24/2007|0|0|0|0|0|0
New York Regional Office| 142897|801-67835|SHULMAN DEMEO ASSET MANAGEMENT, LLC|SHULMAN DEMEO ASSET MANAGEMENT, LLC|3000 MARCUS AVENUE|SUITE 3W1|LAKE SUCCESS NY 11042|USA|||  ||JASON SHULMAN|516.708.9955|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|04/26/2007|0|0|0|0|0|0
New York Regional Office| 142910|801-67860|PINNACLE INVESTMENTS, LLC|PINNACLE INVESTMENTS, LLC|5710 COMMONS PARK||E. SYRACUSE NY 13057|USA|||  ||DAN RAITE|3152511101|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|05/18/2007|0|0|0|0|0|0
New York Regional Office| 142919|801-67508|RCL ADVISORS, LLC|RCL ADVISORS, LLC|40 WALL STREET|63RD FLOOR|NEW YORK NY 10005|USA|||  ||WILLIAM JOSEPH CAFERO|212-452-5900|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/31/2007|0|0|0|0|0|0
New York Regional Office| 142922|801-67500|BLACKSTONE STRATEGIC ALLIANCE ADVISORS L.L.C.|BLACKSTONE STRATEGIC ALLIANCE ADVISORS L.L.C.|345 PARK AVENUE||NEW YORK NY 10154|USA|||  ||ROBERT L. FRIEDMAN|212-583-5268|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/22/2007|0|0|0|0|0|0
New York Regional Office| 142924|801-67552|TRINITY CAPITAL PARTNERS|TERENCE MICHAEL GATT|59 STATE ST.|SUITE A-10|TULLY NY 13159|USA|||  ||TERENCE GATT|315-510-6799|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters, Market timing services|APPROVED|03/05/2007|0|0|0|0|0|0
New York Regional Office| 142932|801-67577|QUANTELLIGENT SOLUTIONS,LLC|QUANTELLIGENT SOLUTIONS,LLC|203 MAIN STREET|#331|FLEMINGTON NJ 08822|USA|4 HONEYSUCKLE WAY||FLEMINGTON NJ 08822|USA|JANINE FOREMAN|908-237-0523|Limited Liability Company|Pension consulting services, Other|APPROVED|02/27/2007|0|0|0|0|0|0
New York Regional Office| 142949|801-67698|LIBERTY STREET ADVISORS, INC.|LIBERTY STREET ADVISORS, INC.|125 MAIDEN LANE|6TH FLOOR|NEW YORK NY 10038|USA|||  ||ANDREW NOWACK|212-240-9721|Corporation|Portfolio management for investment companies|APPROVED|03/23/2007|0|0|0|0|0|0
New York Regional Office| 142979|801-67509|BLACKSTONE REAL ESTATE ADVISORS VI L.P.|BLACKSTONE REAL ESTATE ADVISORS VI L.P.|345 PARK AVENUE||NEW YORK NY 10154|USA|||  ||ROBERT L. FRIEDMAN|212-583-5268|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/24/2007|0|0|0|0|0|0
New York Regional Office| 142982|801-67595|BC ADVISORS, LLC|BC ADVISORS, LLC|102 GAITHER DRIVE|SUITE 5|MT. LAUREL NJ 08054|USA|||  ||LINDA S. POSTORIVO|856-793-5000|Limited Liability Company|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|03/06/2007|0|0|0|0|0|0
New York Regional Office| 142994|801-67560|INSIGHT VENTURE MANAGEMENT, LLC|INSIGHT VENTURE MANAGEMENT, LLC|680 FIFTH AVENUE|8TH FLOOR|NEW YORK NY 10019|USA|||  ||BLAIR FLICKER|212-230-9278|Limited Liability Company|Other|APPROVED|02/08/2007|0|0|2|0|0|0
New York Regional Office| 143030|801-67561|VISTA RESEARCH AND MANAGEMENT, LLC|VISTA RESEARCH AND MANAGEMENT, LLC|45 AGNEW FARM DRIVE||ARMONK NY 10504|USA|||  ||GEORGE W. DENNINGHOFF|949-525-4863|Limited Liability Company|Portfolio management for investment companies, Selection of other advisers|APPROVED|03/02/2007|0|0|0|0|0|0
New York Regional Office| 143040|801-67702|HARBOR VIEW GROWTH EQUITY MANAGEMENT LLC|HARBOR VIEW GROWTH EQUITY MANAGEMENT LLC|43 CHESTNUT HILL DRIVE||UPPER BROOKVILLE NY 11771|USA|||  ||RUDOLPH CARRYL|516-759-2708|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/20/2007|0|1|0|0|0|0
New York Regional Office| 143047|801-67533|BLUE SPRUCE GLOBAL ADVISORS, LLC|BLUE SPRUCE GLOBAL ADVISORS, LLC|609 WHITE PINE ROAD||FRANKLIN LAKES NJ 07417|USA|||  ||RAKESH BHARGAVA|201-897-0085|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/08/2007|0|0|1|0|0|0
New York Regional Office| 143108|801-67623|CARLEON CAPITAL PARTNERS LLC|CARLEON CAPITAL PARTNERS LLC|280 PARK AVE.|23RD FLOOR EAST|NEW YORK NY 10017|USA|||  ||JOSEPH KOPILAK|212-488-5470|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|03/20/2007|0|0|0|0|0|0
New York Regional Office| 143124|801-67550|BRYDEN-ABRAMS INVESTMENT MANAGEMENT LLC|BRYDEN-ABRAMS INVESTMENT MANAGEMENT LLC|200 PARK AVE.|SUITE 2100|NEW YORK NY 10166|USA|834 FIFTH AVENUE|APARTMENT 2B|NEW YORK NY 10065|USA|STEFAN D. ABRAMS|212-850-1127|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|02/08/2007|0|0|0|0|0|0
New York Regional Office| 143149|801-67622|PENNANTPARK INVESTMENT ADVISERS, LLC|PENNANTPARK INVESTMENT ADVISERS, LLC|590 MADISON AVENUE|15TH FLOOR|NEW YORK NY 10022|USA|||  ||ARTHUR H. PENN|212-905-1010|Limited Liability Company|Portfolio management for investment companies|APPROVED|03/13/2007|0|0|0|0|0|0
New York Regional Office| 143158|801-67593|APOLLO MANAGEMENT, L.P.|APOLLO MANAGEMENT, L.P.|9 WEST 57TH STREET|SUITE 4100|NEW YORK NY 10019|USA|||  ||JOHN J. SUYDAM|212.515.3237|Partnership|Other|APPROVED|03/06/2007|0|0|0|0|0|0
New York Regional Office| 143161|801-67592|APOLLO CAPITAL MANAGEMENT, L.P.|APOLLO CAPITAL MANAGEMENT, L.P.|9 WEST 57TH STREET|SUITE 4100|NEW YORK NY 10019|USA|||  ||JOHN J. SUYDAM|212.525.3237|Partnership|Other|APPROVED|03/13/2007|0|0|0|0|0|0
New York Regional Office| 143250|801-67800|AMERICAN INDEPENDENCE CAPITAL MANAGEMENT, LLC|AMERICAN INDEPENDENCE CAPITAL MANAGEMENT, LLC|335 MADISON AVENUE, MEZZANINE||NEW YORK NY 10017|USA|||  ||THERESA DONOVAN|646-747-3475|Limited Liability Company|Portfolio management for investment companies|APPROVED|05/11/2007|0|0|0|0|0|0
New York Regional Office| 143251|801-67794|AMERICAN INDEPENDENCE FINANCIAL COUNSELORS, LLC|AMERICAN INDEPENDENCE FINANCIAL COUNSELORS, LLC|335 MADISON AVENUE, MEZZANINE||NEW YORK NY 10017|USA|||  ||THERESA DONOVAN|646-747-3475|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/11/2007|0|0|0|0|0|0
New York Regional Office| 143261|801-68372|CHESTER CAPITAL MANAGEMENT, LLC|CHESTER CAPITAL MANAGEMENT, LLC|14 RIDGEDALE AVENUE|SUITE 130|CEDAR KNOLLS NJ 07927|USA|||  ||ERIC I. SWERDLIN|973-984-8200|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/18/2007|0|0|0|0|0|0
New York Regional Office| 143265|801-67603|PARADIGM CAPITAL MANAGEMENT GROWTH ADVISORS, INC.|PARADIGM CAPITAL MANAGEMENT GROWTH ADVISORS, INC.|9 ELK STREET||ALBANY NY 12207|USA|||  ||JOHN V. GULICK|518-431-3500|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/08/2007|0|0|0|0|0|0
New York Regional Office| 143315|801-67705|CONCORD EQUITY GROUP ADVISORS, LLC|CONCORD EQUITY GROUP ADVISORS, LLC|100 MATAWAN ROAD||MATAWAN NJ 07747|USA|||  ||ALAN GAVORNIK|732-335-0800|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|05/01/2007|0|1|0|0|0|0
New York Regional Office| 143332|801-67843|ANK CAPITAL, LLC|ANK CAPITAL, LLC|181 EAST 65TH STREET|SUITE 20C|NEW YORK NY 10021|USA|||  ||SHAHRZAD KHAYAMI|212-535-5510|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|04/24/2007|0|0|0|0|0|0
New York Regional Office| 143356|801-68018|EVA ADVISERS LLC|EVA ADVISERS LLC|120 FIFTH AVENUE|SUITE 600|NEW YORK NY 10011|USA|||  ||AL EHRBAR|646-467-6750|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|06/27/2007|0|0|0|0|0|0
New York Regional Office| 143358|801-67733|MARLTON CAPITAL MANAGEMENT|MARLTON CAPITAL MANAGEMENT|702 JONATHAN LANE||MARLTON NJ 08053|USA|||  ||PAT SINGKAMANAND|(856) 630-6317|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/06/2007|0|0|0|0|0|0
New York Regional Office| 143393|801-67629|THRASHER CAPITAL MANAGEMENT|THRASHER CAPITAL MANAGEMENT, LLC|419 LAFAYETTE ST. 3RD FLOOR||NEW YORK NY 10003|USA|||  ||KHALID JONES|917-609-5407|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/23/2007|0|0|0|0|0|0
New York Regional Office| 143414|801-67718|BLUE WATER CAPITAL MANAGEMENT, LLC|BLUE WATER CAPITAL MANAGEMENT, LLC|1001 JAMES STREET||SYRACUSE NY 13203|USA|1001 JAMES STREET||SYRACUSE NY 13203|USA|R. BRUCE BACHMAN|315-438-8690|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/09/2007|0|0|0|0|0|0
New York Regional Office| 143422|801-67661|AKSIA LLC|AKSIA LLC|599 LEXINGTON AVE|FLOOR 46|NEW YORK NY 10022-7641|USA|||  ||MARIE NENTWICH|(212) 710-5719|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters, Security ratings or pricing services, Other|APPROVED|03/22/2007|0|0|0|0|0|0
New York Regional Office| 143431|801-67806|NATIXIS ALTERNATIVE INVESTMENTS (US) INC.|NATIXIS ALTERNATIVE INVESTMENTS (US) INC.|142 W. 57TH STREET 4TH FLOOR||NEW YORK NY 10019|USA|||  ||ALPA RANA|646-233-4863|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/08/2007|0|4|0|0|0|0
New York Regional Office| 143479|801-67700|MORGAN STANLEY PRIVATE EQUITY ASIA III, INC.|MORGAN STANLEY PRIVATE EQUITY ASIA III, INC.|1585 BROADWAY, 39TH FLOOR|ATTN: PRATISH PATEL|NEW YORK NY 10036|USA|||  ||AGATHA RUDDY|212-762-6190|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/13/2007|0|0|1|0|0|0
New York Regional Office| 143484|801-67737|PENDO, LLC|PENDO, LLC|470 PARK AVENUE SOUTH|4TH FLOOR SOUTH|NEW YORK NY 10016|USA|||  ||TINA LARSSON|646-495-7330|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/18/2007|0|0|0|0|0|0
New York Regional Office| 143486|801-68857|ROCK MAPLE SERVICES, LLC|ROCK MAPLE SERVICES, LLC|711 FIFTH AVENUE|5TH FLOOR|NEW YORK NY 10022|USA|||  ||TATJANA VANJAK|(212) 813-2728|Limited Liability Company|Selection of other advisers|APPROVED|02/29/2008|0|0|0|0|0|0
New York Regional Office| 143519|801-68060|SATOVSKY ASSET MANAGEMENT LLC|SATOVSKY ASSET MANAGEMENT LLC|232 MADISON AVENUE|SUITE 500|NEW YORK NY 10016|USA|||  ||JONATHAN SATOVSKY|212-584-1900|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/25/2007|0|0|0|0|0|0
New York Regional Office| 143588|801-67966|VERIS WEALTH PARTNERS, LLC|VERIS WEALTH PARTNERS, LLC|90 BROAD STREET|24TH FLOOR|NEW YORK NY 10004|USA|||  ||STEVE FAHRER|(212) 349-4172|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|06/08/2007|0|0|0|0|0|0
New York Regional Office| 143598|801-67735|PERELLA WEINBERG PARTNERS CAPITAL MANAGEMENT LP|PERELLA WEINBERG PARTNERS CAPITAL MANAGEMENT LP|767 FIFTH AVENUE||NEW YORK NY 10153|USA|||  ||AJAY MEHRA|(212) 287-3365|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|04/18/2007|0|0|0|0|0|0
New York Regional Office| 143611|801-67863|ALTARIS CAPITAL PARTNERS, LLC|ALTARIS CAPITAL PARTNERS, LLC|600 LEXINGTON AVENUE|11TH FLOOR|NEW YORK NY 10022|USA|||  ||JOHN MOORE|212-931-0248|Limited Liability Company|Other|APPROVED|05/07/2007|1|4|3|0|0|0
New York Regional Office| 143621|801-67864|AHP II GP, L.P.|AHP II GP, L.P.|600 LEXINGTON AVENUE|11TH FLOOR|NEW YORK NY 10022|USA|||  ||JOHN MOORE|212-931-0248|Partnership|Other|APPROVED|05/07/2007|1|4|3|0|0|0
New York Regional Office| 143657|801-67964|CANTOR ADVISORS, L.P.|CANTOR ADVISORS, L.P.|499 PARK AVENUE||NEW YORK NY 10022|USA|||  ||ANDREW WELS|212-829-4763|Partnership|Selection of other advisers, Other|APPROVED|06/06/2007|0|0|0|0|0|0
New York Regional Office| 143680|801-67792|SAGE 360 ADVISORS LLC|SAGE 360 ADVISORS LLC|16 THE SAGE ESTATE|SUITE 140|ALBANY NY 12204|USA|||  ||KATHLEEN C. PEER|518 465-3530|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/24/2007|0|0|0|0|0|0
New York Regional Office| 143804|801-67861|HARCOURT ALTERNATIVE INVESTMENTS (US) LLC|HARCOURT ALTERNATIVE INVESTMENTS (US) LLC|712 FIFTH AVENUE|28TH FLOOR|NEW YORK NY 10019|USA|||  ||MARCEL HERBST|212-371-4340|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|05/16/2007|0|0|0|0|0|0
New York Regional Office| 143832|801-67866|OPCO DISTRESSED ADVISORS, LLC|OPCO DISTRESSED ADVISORS, LLC|125 BROAD ST.||NEW YORK NY 10004|USA|||  ||DEBORAH KABACK|212-667-4395|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/21/2007|1|2|0|0|0|0
New York Regional Office| 143882|801-68254|12TH AVENUE MANAGEMENT, L.P.|12TH AVENUE MANAGEMENT, L.P.|535 MADISON AVENUE, 15TH FL||NEW YORK NY 10022|USA|||  ||SONIA GARDNER|212-878-7519|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/09/2007|0|0|0|0|0|0
New York Regional Office| 143885|801-68210|CLAWSON ADVISORY SERVICES|ONE WOODWARD ADVISORS LLC|400 EAST 85TH STREET|10 - C|NEW YORK NY 10028|USA|||  ||DENNIS CLAWSON|212-794-5225|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|08/14/2007|0|0|0|0|0|0
New York Regional Office| 143892|801-68302|BEEKMAN WEALTH ADVISORY, LLC|BEEKMAN WEALTH ADVISORY, LLC|12 BEEKMAN PLACE|12D|NEW YORK NY 10022|USA|||  ||ELIZABETH P. ANDERSON|212-319-2766|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|09/11/2007|0|0|0|0|0|0
New York Regional Office| 143936|801-67962|SPA ETF, INC.|SPA ETFS INC.|TOWER 49, 12 EAST 49TH STREET||NEW YORK NY 10017|USA|||  ||MATTHEW BROWN|(646) 233 1683|Corporation|Portfolio management for investment companies|APPROVED|06/08/2007|0|0|0|0|0|0
New York Regional Office| 143956|801-68223|VERTICAL CAPITAL, LLC|VERTICAL CAPITAL, LLC|437 MADISON AVENUE, 39TH FLOOR||NEW YORK NY 10022|USA|||  ||AJAY AHUJA|(212) 786-5300|Limited Liability Company|Other|APPROVED|08/10/2007|0|0|0|0|0|0
New York Regional Office| 143993|801-68071|ZACHARIA WAXLER CPA P.C.|ZACHARIA WAXLER CPA P.C.|2131 62ND STREET||BROOKLYN NY 11204|USA|||  ||ZACHARIA WAXLER|718-840-9933|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|06/26/2007|0|0|0|0|0|0
New York Regional Office| 143998|801-67935|TOTAL FINANCIAL ADVISORS, LLC|TOTAL FINANCIAL ADVISORS, LLC|24 UNION AVENUE||BETHPAGE NY 11714|USA|||  ||JAMES PIANGOZZA|516-579-2700|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|05/29/2007|0|0|0|0|0|0
New York Regional Office| 144059|801-67952|SUMMIT ROCK ADVISORS, LLC|SUMMIT ROCK ADVISORS, LLC|9 WEST 57TH STREET|12TH FLOOR|NEW YORK NY 10019|USA|||  ||MILES DOHERTY|212-993-7140|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|05/29/2007|0|0|0|0|0|0
New York Regional Office| 144082|801-68344|LUMINA FUND MANAGEMENT LLC|LUMINA FUND MANAGEMENT LLC|48 WALL STREET|SUITE 1100|NEW YORK NY 10005|USA|||  ||DIEGO GIURLEO|212-918-4645|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/12/2007|0|0|0|0|0|0
New York Regional Office| 144083|801-67973|CLERESTORY CAPITAL ADVISORS, LLC|CLERESTORY CAPITAL ADVISORS, LLC|11 EAST 44TH STREET|SUITE 1603|NEW YORK NY 10017|USA|||  ||THOMAS B. BROWN|212.584.2022|Limited Liability Company|Other|APPROVED|06/04/2007|0|0|0|0|0|0
New York Regional Office| 144087|801-67919|GLENROCK CAPITAL ADVISERS, LLC|GLENROCK CAPITAL ADVISERS, LLC|126 EAST 56TH STREET||NEW YORK NY 10022-3690|USA|||  ||LAWRENCE G. GRAEV|212-994-0660|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|06/04/2007|0|0|0|0|0|0
New York Regional Office| 144155|801-67953|SOLUS ALTERNATIVE ASSET MANAGEMENT LP|SOLUS ALTERNATIVE ASSET MANAGEMENT LP|430 PARK AVENUE, 9TH FLOOR||NEW YORK NY 10022|USA|||  ||COLETTE KLISIVITCH|212.284.4314|Other (specify)|Other|APPROVED|05/30/2007|0|0|0|0|0|0
New York Regional Office| 144234|801-67989|THE BARON FINANCIAL GROUP LLC|THE BARON FINANCIAL GROUP LLC|16-00 ROUTE 208 SOUTH||FAIR LAWN NJ 07410|USA|||  ||JAMES SHAGAWAT|201-791-6408|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/14/2007|0|0|0|0|0|0
New York Regional Office| 144285|801-68112|COHEN MUNICIPAL CAPITAL MANAGEMENT, LLC|COHEN MUNICIPAL CAPITAL MANAGEMENT, LLC|135 EAST 57TH STREET|21ST FLOOR|NEW YORK NY 10022|USA|||  ||KENNETH SMITH|215 701-9635|Limited Liability Company|Other|APPROVED|07/26/2007|0|2|0|0|0|0
New York Regional Office| 144289|801-68053|WISLAR WEALTH MANAGEMENT, LLC|WISLAR WEALTH MANAGEMENT, LLC|344 NASSAU STREET||PRINCETON NJ 08540|USA|||  ||GEORGE WISLAR|609-921-8004|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|06/25/2007|0|0|0|0|0|0
New York Regional Office| 144368|801-14146|KAHN BROTHERS ADVISORS LLC|KAHN BROTHERS ADVISORS LLC|555 MADISON AVE||NEW YORK NY 10022|USA|||  ||KAHN, THOMAS GRAHAM|212-980-5050|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/17/1978|0|0|0|0|0|0
New York Regional Office| 144369|801-68213|VALENS INVESTMENT ADVISERS, L.P.|VALENS INVESTMENT ADVISERS, L.P.|335 MADISON AVENUE, 10TH FLOOR||NEW YORK NY 10017|USA|||  ||JASON BAN|212-541-5800 X216|Partnership|Other|APPROVED|08/16/2007|0|0|1|0|0|0
New York Regional Office| 144383|801-68096|OLD LANE, LP|OLD LANE, LP|500 PARK AVENUE|2ND FLOOR|NEW YORK NY 10022|USA|||  ||IRSHAD KARIM|(212) 572-3280|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/25/2007|0|1|0|0|0|0
New York Regional Office| 144442|801-68323|NEWPORT CAPITAL GROUP, LLC|NEWPORT CAPITAL GROUP, LLC|12 BROAD STREET, 5TH FLOOR||RED BANK NJ 07701|USA|||  ||DOMENIC DIPIERO|732-741-8400|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|09/18/2007|0|0|0|0|0|0
New York Regional Office| 144474|801-68155|OFFIT CAPITAL ADVISORS|OFFIT CAPITAL ADVISORS LLC|485 LEXINGTON AVENUE|24TH FLOOR|NEW YORK NY 10017|USA|||  ||PAUL J. BOSCACCI|(212) 588-3276|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/01/2007|0|0|0|0|0|0
New York Regional Office| 144495|801-68205|BNY JAYWALK LLC|BNY JAYWALK LLC|1633 BROADWAY|48TH FLOOR|NEW YORK NY 10019|USA|||  ||POPP, THOMAS|212-259-5547|Limited Liability Company|Selection of other advisers, Publication of periodicals or newsletters, Security ratings or pricing services, Market timing services, Other|APPROVED|08/16/2007|0|3|0|0|0|0
New York Regional Office| 144537|801-68243|GSO DEBT FUNDS MANAGEMENT LLC|GSO DEBT FUNDS MANAGEMENT LLC|280 PARK AVENUE|11TH FLOOR|NEW YORK NY 10017|USA|||  ||GEORGE FAN|212-503-2184|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/21/2007|0|0|0|0|0|0
New York Regional Office| 144581|801-68182|MALTI TRADING, LLC|MALTI TRADING, LLC|575 MADISON AVENUE, 22ND FLOOR||NEW YORK NY 10022|USA|||  ||AVIGDOR MORE|212-688-3415|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/03/2007|0|0|0|0|0|0
New York Regional Office| 144638|801-68310|KVAM INTERNATIONAL LTD.|KVAM INTERNATIONAL LTD.|489 FIFTH AVENUE||NEW YORK NY 10017|USA|||  ||PATRICIA BURGESS|916-934-0417 EXT 102|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/14/2007|0|0|0|0|0|0
New York Regional Office| 144739|801-68269|HGK ALTERNATIVE INVESTMENTS I, LLC|HGK ALTERNATIVE INVESTMENTS I, LLC|525 WASHINGTON BLVD, SUITE 2000||JERSEY CITY NJ 07310|USA|||  ||JOANN CONRY|201-659-3700|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/28/2007|0|0|0|0|0|0
New York Regional Office| 144790|801-68220|INDEXIQ ADVISORS LLC|INDEXIQ ADVISORS LLC|800 WESTCHESTER AVENUE|SUITE N-611|RYE BROOK NY 10573|USA|||  ||ADAM S. PATTI|914-697-4946|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies|APPROVED|08/09/2007|0|0|0|0|0|0
New York Regional Office| 144814|801-68253|CURLEY INVESTMENT SERVICES INC.|CURLEY,JAMES, FRANCIS|46 BELLEVUE AVENUE||RUMSON NJ 07760|USA|||  ||JAMES F. CURLEY|732 492 9557|Corporation|Selection of other advisers|APPROVED|08/15/2007|0|0|0|0|0|0
New York Regional Office| 144818|801-68261|REX CAPITAL ADVISORS, LLC|REX CAPITAL ADVISORS, LLC|2 WORLD FINANCIAL CENTER|SUITE L206/207|NEW YORK NY 10281|USA|261 SPRINGFIELD AVENUE|SUITE 204|BERKELEY HEIGHTS NJ 07922|USA|RICHARD P. DIEGNAN|646-233-4728|Limited Liability Company|Portfolio management for investment companies, Other|APPROVED|08/17/2007|0|0|0|0|0|0
New York Regional Office| 144822|801-68237|SHAREKS, LLC|SHAREKS, LLC|14 WALL STREET|20TH FLOOR|NEW YORK NY 10005|USA|||  ||DAVID SHAREK|212-618-1328|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Publication of periodicals or newsletters|APPROVED|08/10/2007|0|0|0|0|0|0
New York Regional Office| 144827|801-68383|FAXTOR, INC.|FAXTOR, INC.|500 FIFTH AVENUE, SUITE 3530||NEW YORK NY 10110|USA|||  ||BOB GIJSBERTUS MARINUS ROSMAN|212-575-1988|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|10/23/2007|0|0|0|0|0|0
New York Regional Office| 144862|801-68334|ARQUE ADVISORS, LLC|ARQUE ADVISORS, LLC|30 WALL STREET|12TH FLOOR|NEW YORK NY 10005|USA|||  ||DAVID BULLOCK|914-316-8800|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|09/24/2007|0|0|0|0|0|0
New York Regional Office| 144970|801-68371|FOCUSSHARES, LLC|FOCUSSHARES, LLC|210 SUMMIT AVENUE, SUITE C-11||MONTVALE NJ 07645|USA|||  ||ERIK LIIK|201-930-8500|Limited Liability Company|Portfolio management for investment companies|APPROVED|10/29/2007|0|0|0|0|0|0
New York Regional Office| 144971|801-68717|GENESIS ASSET MANAGEMENT, LLC|GENESIS ASSET MANAGEMENT, LLC|41 W. 57TH ST., THIRD FLOOR||NEW YORK NY 10019|USA|||  ||MICHAEL W. WILLIAMS|212-698-0806|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|01/14/2008|0|0|0|0|0|0
New York Regional Office| 144973|801-68457|TOKUM CAPITAL MANAGEMENT, LP|TOKUM CAPITAL MANAGEMENT, LP|900 THIRD AVENUE, 11TH FLOOR||NEW YORK NY 10022|USA|||  ||MICHAEL SULLIVAN|212-616-4431|Other (specify)|Other|APPROVED|10/24/2007|0|0|0|0|0|0
New York Regional Office| 144990|801-68347|PARADIGM CONSULTING, INC.|PARADIGM CONSULTING, INC.|2717 GENESEE STREET|SECOND FLOOR|UTICA NY 13501|USA|||  ||JANICE WILLIAMS|315-797-8400|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|09/19/2007|0|0|0|0|0|0
New York Regional Office| 144996|801-68321|WALTHAUSEN & CO., LLC|WALTHAUSEN & CO., LLC|9 EXECUTIVE PARK DRIVE||CLIFTON PARK NY 12065|USA|||  ||MARK L. HODGE|518-371-3450|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/07/2007|0|0|0|0|0|0
New York Regional Office| 145039|801-68324|STONEBRIDGE CAPITAL MANAGEMENT VIII, LLC|STONEBRIDGE CAPITAL MANAGEMENT VIII, LLC|33 CLINTON ROAD||WEST CALDWELL NJ 07006|USA|||  ||ROBERT A. HARCLERODE|973-244-9696|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|09/13/2007|0|0|0|0|0|0
New York Regional Office| 145103|801-68823|STELAC ADVISORY SERVICES LLC|STELAC ADVISORY SERVICES LLC|598 MADISON AVENUE, FLOOR 5||NEW YORK NY 10022-1610|USA|||  ||CHARLES DE VIEL CASTEL|212 920-3895|Limited Liability Company|Financial planning services|APPROVED|02/12/2008|0|0|0|0|0|0
New York Regional Office| 145159|801-68388|R.M.SINCERBEAUX CAPITAL MANAGEMENT, LLC.|R.M.SINCERBEAUX CAPITAL MANAGEMENT, LLC.|1120 6TH AVENUE, SUITE 4103||NEW YORK NY 10036|USA|||  ||RICHARD M.SINCERBEAUX|212-626-6544|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|10/15/2007|0|0|0|0|0|0
New York Regional Office| 145183|801-68418|TROPHY POINT ASSET MANAGEMENT LLC|TROPHY POINT ASSET MANAGEMENT LLC|1 GATEWAY CENTER, 9TH FLOOR||NEWARK NJ 07102|USA|||  ||MAUREEN O'BRIEN|212-994-3779|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|10/15/2007|0|1|0|0|0|0
New York Regional Office| 145206|801-68462|JUNO MOTHER EARTH ASSET MANAGEMENT, LLC|JUNO MOTHER EARTH ASSET MANAGEMENT, LLC|527 MADISON AVENUE, 6TH FLOOR||NEW YORK NY 10022|USA|||  ||EUGENIO VERZILI|212-893-1166|Limited Liability Company|Other|APPROVED|11/02/2007|0|4|0|0|0|0
New York Regional Office| 145218|801-68869|MIZUHO ALTERNATIVE INVESTMENTS, LLC|MIZUHO ALTERNATIVE INVESTMENTS, LLC|1251 AVENUE OF THE AMERICAS, 29TH FLOOR||NEW YORK NY 10020|USA|||  ||SATOSHI IWANAGA|212-282-3871|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/26/2008|0|0|0|0|0|0
New York Regional Office| 145228|801-68463|PARTNERS GROUP|PARTNERS GROUP (USA) INC.|450 LEXINGTON AVENUE|39TH FLOOR|NEW YORK NY 10017|USA|||  ||BROOKS LINDBERG|212-763-4713|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/23/2007|0|0|0|0|0|0
New York Regional Office| 145243|801-68496|VERMILLION ASSET MANAGEMENT, LLC|VERMILLION ASSET MANAGEMENT, LLC|267 FIFTH AVENUE|7TH FLOOR|NEW YORK NY 10016|USA|||  ||CHRISTOPHER ZUECH|212-683-8816|Limited Liability Company|Other|APPROVED|11/20/2007|0|0|0|0|0|0
New York Regional Office| 145262|801-68406|SCURLYDOG CAPITAL, LLC|SCURLYDOG CAPITAL, LLC|740 RIVER ROAD||FAIR HAVEN NJ 07704|USA|||  ||DENNIS T. SCURLETIS|732-530-0082|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Market timing services|APPROVED|10/04/2007|0|0|0|0|0|0
New York Regional Office| 145314|801-68640|OLD GREENWICH CAPITAL PARTNERS|OLD GREENWICH CAPITAL PARTNERS, LLC|237 PARK AVENUE, 9TH FLOOR||NEW YORK NY 10017|USA|||  ||JANET EDWARDS|212-808-7440|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/02/2008|0|0|0|0|0|0
New York Regional Office| 145330|801-68434|SOUND ASSET MANAGEMENT GROUP, LLC|SOUND ASSET MANAGEMENT GROUP, LLC|8754 BAY 16TH STREET|SUITE A|BROOKLYN NY 11214|USA|||  ||JOSEPH MAIORANO|718-331-3700|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/18/2007|0|0|0|0|0|0
New York Regional Office| 145355|801-68467|CORNELL POCHILY INVESTMENT ADVISORS, INC.|CORNELL POCHILY INVESTMENT ADVISORS, INC.|2415 NORTH TRIPHAMMER ROAD|SUITE 1|ITHACA NY 14850|USA|||  ||EZRA CORNELL|607-391-7080|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|10/24/2007|0|0|0|0|0|0
New York Regional Office| 145370|801-68702|VANDERBILT AVENUE ASSET MANAGEMENT LLC|VANDERBILT AVENUE ASSET MANAGEMENT LLC|200 PARK AVENUE||NEW YORK NY 10166|USA|||  ||F. HAGEB|(212) 973-2262|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/01/2008|0|0|0|0|0|0
New York Regional Office| 145396|801-68926|LASAIR CAPITAL LLC|LASAIR CAPITAL LLC|330 MADISON AVENUE|6TH FLOOR|NEW YORK NY 10017|USA|||  ||MATTHEW H. GILMAN|212-883-6661|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED-120|03/12/2008|0|0|0|0|0|0
New York Regional Office| 145441|801-68645|GLG INC.|GLG INC.|390 PARK AVENUE|20TH FLOOR|NEW YORK NY 10022-4608|USA|||  ||GEORGE CHANG|212-224-7200|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/17/2008|0|6|1|0|0|0
New York Regional Office| 145452|801-68479|AMERISRAEL CAPITAL MANAGEMENT, LLC|AMERISRAEL CAPITAL MANAGEMENT, LLC|207 EAST 83RD ST.|SUITE 3|NEW YORK NY 10028|USA|||  ||JAMIA JASPER|212-327-1345|Limited Liability Company|Portfolio management for investment companies|APPROVED|10/26/2007|0|0|0|0|0|0
New York Regional Office| 145455|801-68511|MOODY'S EVALUATIONS INC.|MOODY'S EVALUATIONS INC.|7 WORLD TRADE CENTER AT|250 GREENWICH ST.|NEW YORK NY 10007|USA|||  ||GUS HARRIS|212-553-0300|Corporation|Security ratings or pricing services|APPROVED|12/07/2007|0|0|0|0|0|0
New York Regional Office| 145480|801-68501|AGILITY ASSET MANAGEMENT, LLC|AGILITY ASSET MANAGEMENT, LLC|598 MADISON AVENUE|14TH FLOOR|NEW YORK NY 10022|USA|||  ||HARRY W. SEGALAS|212-888-0060|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/25/2007|0|0|0|0|0|0
New York Regional Office| 145521|801-68599|HOLLOW BROOK ASSOCIATES LLC|HOLLOW BROOK ASSOCIATES LLC|551 MADISON AVENUE|8TH  FLOOR|NEW YORK NY 10022|USA|||  ||PHILLIP RICHTER|212-364-1840|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|01/08/2008|0|0|0|0|0|0
New York Regional Office| 145525|801-68521|LINCOLN PARK ASSET MANAGEMENT LLC|LINCOLN PARK ASSET MANAGEMENT LLC|444 MADISON AVENUE|41ST FLOOR|NEW YORK NY 10022|USA|||  ||MARTY LIFGREN|212 616 8010|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|12/10/2007|0|0|0|0|0|0
New York Regional Office| 145580|801-68522|THE BOSTON COMPANY ASSET MANAGEMENT NY, LLC|THE BOSTON COMPANY ASSET MANAGEMENT NY, LLC|200 PARK AVENUE||NEW YORK NY 10166|USA|||  ||JENNIFER CASSEDY|(617) 722-3553|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/16/2007|0|0|0|0|0|0
New York Regional Office| 145625|801-68523|ALDEBARAN INVESTMENTS LLC|ALDEBARAN INVESTMENTS LLC|500 PARK AVENUE|5TH FLOOR|NEW YORK NY 10022|USA|||  ||SCOTT RESSLER|212.994.7959|Limited Liability Company|Other|APPROVED|11/21/2007|0|1|0|0|0|0
New York Regional Office| 145774|801-68598|HEPWORTH EQUITY PARTNERS, LLC|HEPWORTH EQUITY PARTNERS, LLC|14 WALL ST,  20TH FLOOR||NEW YORK NY 10005|USA|||  ||MICHAEL HEPWORTH|212-618-1588|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/05/2007|0|0|0|0|0|0
New York Regional Office| 145807|801-69184|CONFIDENTIAL PLANNING I, LLC|CONFIDENTIAL PLANNING I, LLC|507 PLUM ST, STE 120||SYRACUSE NY 13204|USA|||  ||ERIC KROUSE|315-234-1016|Limited Liability Company|Other|APPROVED|06/19/2008|0|0|0|0|0|0
New York Regional Office| 145877|801-68683|VERO CAPITAL MANAGEMENT, LLC|VERO CAPITAL MANAGEMENT, LLC|220 FIFTH AVENUE, 19TH FLOOR||NEW YORK NY 10001|USA|||  ||JOEL THOMAS KOERNER|212-991-1343|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/07/2008|0|0|0|0|0|0
New York Regional Office| 145911|801-68694|NATSOURCE ASSET MANAGEMENT LLC|NATSOURCE ASSET MANAGEMENT LLC|100 WILLIAM STREET|SUITE 2005|NEW YORK NY 10038|USA|||  ||ALAN KIRSHENBAUM|212-806-0103|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/24/2008|0|0|1|0|0|0
New York Regional Office| 145920|801-68732|FRONTFOUR CAPITAL GROUP LLC|FRONTFOUR CAPITAL GROUP LLC|230 PARK AVENUE, SUITE 714||NEW YORK NY 10169-0005|USA|||  ||ANDREW STOTLAND|212-499-2540|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/16/2008|0|0|0|0|0|0
New York Regional Office| 145953|801-68767|MARINER MUNICIPAL MANAGERS LLC|MARINER MUNICIPAL MANAGERS LLC|125 VILLAGE BLVD.|2ND FLOOR|PRINCETON NJ 08540|USA|||  ||BRIAN D. STEWART|609-750-8360|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/16/2008|0|0|0|0|0|0
New York Regional Office| 145961|801-68660|SENSUS INVESTMENT MANAGEMENT|OPES WEALTH ADVISORS LLC|THE CHANIN BUILDING|380 LEXINGTON AVENUE 17TH FLOOR|NEW YORK NY 10168|USA|||  ||STEPHANIE TRAVIS|212-203-4168|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|01/03/2008|0|0|0|0|0|0
New York Regional Office| 145995|801-69043|PARETO NEW YORK LLC|PARETO NEW YORK LLC|200 PARK AVENUE, 54TH FLOOR||NEW YORK NY 10166|USA|||  ||BRIAN NEWTON|+44 20 7163 1057|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|04/28/2008|0|0|0|0|0|0
New York Regional Office| 146011|801-68678|QUOTIENT INVESTORS, LLC|QUOTIENT INVESTORS, LLC|12 EAST 41ST STREET, SUITE 1101||NEW YORK NY 10017|USA|||  ||WILLIAM YOST|212 685-4648|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/04/2008|0|0|0|0|0|0
New York Regional Office| 146012|801-68679|HERON FINANCIAL GROUP, LLC|HERON FINANCIAL GROUP, LLC|670 WEST END AVENUE|14TH FLOOR|NEW YORK NY 10025|USA|||  ||DAVID EDWARDS|212-595-9482|Limited Liability Company|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|01/14/2008|0|0|0|0|0|0
New York Regional Office| 146029|801-68743|SEIX INVESTMENT ADVISORS LLC|SEIX INVESTMENT ADVISORS LLC|10 MOUNTAINVIEW ROAD|SUITE C-200|UPPER SADDLE RIVER NJ 07458|USA|||  ||ROBIN J. SHULMAN|201-391-0300|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/25/2008|0|0|0|0|0|0
New York Regional Office| 146032|801-68676|FIFTH STREET MANAGEMENT LLC|FIFTH STREET MANAGEMENT LLC|445 HAMILTON AVENUE|SUITE 1206|WHITE PLAINS NY 10601|USA|||  ||WILLIAM H. CRAIG|914-286-6855|Limited Liability Company|Portfolio management for investment companies|APPROVED|12/20/2007|0|0|0|0|0|0
New York Regional Office| 146043|801-68749|BLACKSTONE REAL ESTATE SPECIAL SITUATIONS ADVISORS L.L.C.|BLACKSTONE REAL ESTATE SPECIAL SITUATIONS ADVISORS L.L.C.|345 PARK AVENUE||NEW YORK NY 10154|USA|||  ||ROBERT L. FRIEDMAN|212-583-5268|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/15/2008|0|0|0|0|0|0
New York Regional Office| 146050|801-68690|LEE, VICTOR|LEE, VICTOR|630 FIRST AVENUE, 6H||NEW YORK NY 10016|USA|||  ||VICTOR LEE|2125596013|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED-120|01/08/2008|0|0|0|0|0|0
New York Regional Office| 146069|801-68735|VALHALLA INVESTMENT MANAGEMENT, LLC|VALHALLA INVESTMENT MANAGEMENT, LLC|33 HUDSON ST|SUITE 1903 EAST TOWER|JERSEY CITY NJ 07302|USA|||  ||MICHAEL HOOTEN|201-433-0723|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|01/22/2008|0|0|0|0|0|0
New York Regional Office| 146077|801-68706|REACHCAPITAL MANAGEMENT, LP|REACHCAPITAL MANAGEMENT, LP|500 MAMARONECK AVENUE|SUITE 501|HARRISON NY 10528|USA|||  ||STEVEN MECCA|914-899-3665|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/22/2008|0|0|0|0|0|0
New York Regional Office| 146083|801-68705|REACHCAPITAL PW MANAGEMENT, L.P.|REACHCAPITAL PW MANAGEMENT, L.P.|500 MAMARONECK AVENUE|SUITE 501|HARRISON NY 10528|USA|||  ||STEVEN MECCA|914-899-3665|Partnership|Portfolio management for investment companies|APPROVED|01/28/2008|0|0|0|0|0|0
New York Regional Office| 146105|801-68721|INTERNATIONAL VALUE ADVISERS, LLC|INTERNATIONAL VALUE ADVISERS, LLC|645 MADISON AVENUE|12TH FLOOR|NEW YORK NY 10022|USA|||  ||MICHAEL W. MALAFRONTE|212-584-3574|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/22/2008|0|0|0|0|0|0
New York Regional Office| 146106|801-68710|SOLAR CAPITAL PARTNERS, LLC|SOLAR CAPITAL PARTNERS, LLC|500 PARK AVENUE, 5TH FLOOR||NEW YORK NY 10022|USA|||  ||MICHAEL S. GROSS|(212) 993-1670|Limited Liability Company|Other|APPROVED|01/31/2008|0|0|0|0|0|0
New York Regional Office| 146130|801-68787|WEALTH WISE STRATEGIES, INC.|WEALTH WISE STRATEGIES, INC.|812 STATE ROAD|SUITE 220|PRINCETON NJ 08540|USA|||  ||ELIZABETH ARMSTRONG MCNEILLY|(609) 902-2461|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/06/2008|0|0|0|0|0|0
New York Regional Office| 146145|801-68755|VERTICAL CDO MANAGEMENT ACQUISITION-E, LLC|VERTICAL CDO MANAGEMENT ACQUISITION-E, LLC|437 MADISON AVENUE|39TH FLOOR|NEW YORK NY 10022|USA|||  ||AJAY AHUJA|212-786-5300|Limited Liability Company|Other|APPROVED|02/01/2008|0|0|0|0|0|0
New York Regional Office| 146161|801-68753|TEN-SIXTY ASSET MANAGEMENT, LLC|TEN-SIXTY ASSET MANAGEMENT, LLC|575 LEXINGTON AVENUE|SUITE 400|NEW YORK NY 10022|USA|||  ||MICHAEL J. KELLY|212-572-9627|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/07/2008|0|0|0|0|0|0
New York Regional Office| 146180|801-68999|CANTILEVER GROUP, LLC|CANTILEVER GROUP, LLC|47 WEST RIVER ROAD|SUITE C|RUMSON NJ 07760|USA|||  ||THOMAS F.X. O'MARA|732 784-2761|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|04/02/2008|0|0|0|0|0|0
New York Regional Office| 146185|801-68906|BROOKFIELD PRIVATE EQUITY ADVISORS LLC|BROOKFIELD PRIVATE EQUITY ADVISORS LLC|THREE WORLD FINANCIAL CENTER|200 VESEY ST, 10TH FLR|NEW YORK NY 10281-1010|USA|||  ||JOSIELYNE PACIFICO|212-549-8415|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/04/2008|0|0|0|0|0|0
New York Regional Office| 146197|801-69155|JAVELIN INVESTMENT MANAGEMENT, LLC|JAVELIN INVESTMENT MANAGEMENT, LLC|338 THE GREAT ROAD||PRINCETON NJ 08540|USA|||  ||BRINTON W. FRITH|610-529-3836|Limited Liability Company|Portfolio management for investment companies|APPROVED-120|06/03/2008|0|1|0|0|0|0
New York Regional Office| 146215|801-69227|COMMERCIAL INDUSTRIAL FINANCE CORP|COMMERCIAL INDUSTRIAL FINANCE CORP|250 PARK AVENUE||NEW YORK NY 10177|USA|||  ||CYNTHIA P. LEVINE|212-624-1487|Corporation|Other|APPROVED|07/31/2008|0|0|0|0|0|0
New York Regional Office| 146248|801-68800|CONGRESSIONAL EFFECT MANAGEMENT, LLC|CONGRESSIONAL EFFECT MANAGEMENT, LLC|420 LEXINGTON AVENUE|SUITE 601|NEW YORK NY 10170|USA|||  ||ERIC TODD SINGER|646-307-4180|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Other|APPROVED|02/14/2008|0|0|0|0|0|0
New York Regional Office| 146254|801-69257|BRAHMA MANAGEMENT LTD.|BRAHMA MANAGEMENT LTD.|126 EAST 56TH ST.|10TH FLOOR|NEW YORK NY 10022|USA|||  ||GALINA LISTO|(212) 310 5507|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|06/16/2008|0|0|0|0|0|0
New York Regional Office| 146332|801-68831|A & J ADVISORY SERVICES, LLC|ALEXANDRA & JAMES ADVISORY SERVICES, LLC|521  FIFTH AVENUE|20TH FLOOR|NEW YORK NY 10175|USA|||  ||MICHAEL S. DOBBS II|212-697-3418|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|02/05/2008|0|0|0|0|0|0
New York Regional Office| 146338|801-68916|HUDSON VALLEY WEALTH MANAGEMENT, INC|HUDSON VALLEY WEALTH MANAGEMENT, INC|151 NORTH MAIN STREET, SUITE 204||NEW CITY NY 10956|USA|||  ||CHRISTOPHER J. CONOVER|(845) 708-5474|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED-120|03/12/2008|0|0|0|0|0|0
New York Regional Office| 146382|801-68843|GLOVISTA INVESTMENTS LLC|GLOVISTA INVESTMENTS LLC|1 SHORE LANE|SUITE 1907|JERSEY CITY NJ 07310|USA|||  ||DARSHAN BHATT|201-626-0695|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|02/21/2008|0|0|0|0|0|0
New York Regional Office| 146399|801-68848|F&V CAPITAL MANAGEMENT, L.L.C.|F&V CAPITAL MANAGEMENT, L.L.C.|767 THIRD AVENUE|7TH FLOOR|NEW YORK NY 10017-9026|USA|||  ||H. TERRENCE RILEY III|212-326-9533|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/21/2008|0|0|0|0|0|0
New York Regional Office| 146457|801-69000|CREDIT AGRICOLE ASSET MANAGEMENT INVESTMENT ADVISORS USA, INC.|CREDIT AGRICOLE ASSET MANAGEMENT INVESTMENT ADVISORS USA, INC.|1301 AVENUE OF THE AMERICAS||NEW YORK NY 10019-6022|USA|||  ||STEPHANE DETOBEL|212 603 5080|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/08/2008|0|4|1|0|0|0
New York Regional Office| 146494|801-68904|NEW CENTURY CAPITAL MANAGEMENT, LLC|NEW CENTURY CAPITAL MANAGEMENT, LLC|4400 ROUTE 9 SOUTH|SUITE 1000|FREEHOLD NJ 07728|USA|||  ||MURRAY WOLOSHIN|800-566-0446|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/06/2008|0|0|0|0|0|0
New York Regional Office| 146508|801-69001|UBS ENSO MANAGEMENT LLC|UBS ENSO MANAGEMENT LLC|51 WEST 52ND STREET|23RD FLOOR|NEW YORK NY 10019|USA|||  ||MARA P. GALEANO|201-352-0447|Limited Liability Company|Portfolio management for investment companies|APPROVED|04/17/2008|0|10|0|0|0|0
New York Regional Office| 146516|801-68976|KNIGHT PORTFOLIO ACCESS, LLC|KNIGHT PORTFOLIO ACCESS, LLC|47 HULFISH ST|SUITE 210|PRINCETON NJ 08542|USA|||  ||CHRISTY OETH|610-225-6075|Limited Liability Company|Selection of other advisers|APPROVED|03/18/2008|0|0|0|0|0|0
New York Regional Office| 146557|801-69147|IIFL INC.|IIFL INC.|28 WEST 44TH STREET, SUITE 1510||NEW YORK NY 10036|USA|||  ||AMIT SHAH|646 429 1491|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|05/05/2008|0|0|0|0|0|0
New York Regional Office| 146641|801-69036|WISLAR INVESTMENT MANAGEMENT, LLC|WISLAR INVESTMENT MANAGEMENT, LLC|344 NASSAU STREET||PRINCETON NJ 08054|USA|||  ||GEORGE WISLAR|609-921-8004|Limited Liability Company|Other|APPROVED|04/14/2008|0|0|0|0|0|0
New York Regional Office| 146688|801-69048|MACQUARIE GLOBAL OPPORTUNITIES PARTNERS LLC|MACQUARIE GLOBAL OPPORTUNITIES PARTNERS LLC|125 W. 55TH STREET||NEW YORK NY 10019|USA|||  ||CLARE LEWIS|212-231-1000|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/11/2008|0|0|0|0|0|0
New York Regional Office| 146690|801-69047|MACQUARIE CAPITAL FUNDS INC.|MACQUARIE CAPITAL FUNDS INC.|125 W. 55TH STREET||NEW YORK NY 10019|USA|||  ||CLARE LEWIS|212-231-1000|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/11/2008|0|0|0|0|0|0
New York Regional Office| 146696|801-69049|MACQUARIE INFRASTRUCTURE PARTNERS INC.|MACQUARIE INFRASTRUCTURE PARTNERS INC.|125 W. 55TH STREET||NEW YORK NY 10019|USA|||  ||CLARE LEWIS|212-231-1000|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/11/2008|0|0|0|0|0|0
New York Regional Office| 146712|801-69080|HORIZON POINT WEALTH MANAGEMENT, LLC|HORIZON POINT WEALTH MANAGEMENT, LLC|70 SOUTH ORANGE AVENUE||LIVINGSTON NJ 07039|USA|||  ||DENNIS MOJARES|973-251-2622|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED-120|04/21/2008|0|0|0|0|0|0
New York Regional Office| 146732|801-69064|WORLDWIDE ASSET MANAGEMENT GROUP, LLC|WORLDWIDE ASSET MANAGEMENT GROUP, LLC|30 WALL STREET|10TH FLOOR|NEW YORK NY 10005|USA|||  ||DINO DIONNE|212-248-1401|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED-120|04/17/2008|0|0|0|0|0|0
New York Regional Office| 146737|801-68936|WPN CORP.|WPN CORP.|110 EAST 59TH STREET|30TH FLOOR|NEW YORK NY 10022|UNITED STATES OF AMERICA|||  ||RONALD LABOW|212-771-1250|Corporation|Pension consulting services|APPROVED|03/11/2008|0|0|0|0|0|0
New York Regional Office| 146869|801-69037|HARVEST VOLATILITY MANAGEMENT, LLC|HARVEST VOLATILITY MANAGEMENT, LLC|420 LEXINGTON AVENUE|SUITE 300|NEW YORK NY 10170|USA|||  ||CURTIS F BROCKELMAN, JR|212-297-6113|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED-120|04/17/2008|0|0|0|0|0|0
New York Regional Office| 146932|801-69093|GLOBAL X MANAGEMENT COMPANY LLC|GLOBAL X MANAGEMENT COMPANY LLC|220 FIFTH AVENUE, 20TH FLOOR||NEW YORK NY 10001|USA|||  ||JOSE C. GONZALEZ|347-756-4648|Limited Liability Company|Portfolio management for investment companies, Selection of other advisers, Publication of periodicals or newsletters|APPROVED-120|04/25/2008|0|0|0|0|0|0
New York Regional Office| 146996|801-69074|DC EVANS INVESTMENT ADVISORS, LLC|DC EVANS INVESTMENT ADVISORS, LLC|132 CENTRAL AVENUE||HILLSDALE NJ 07642|USA|||  ||DOUGLAS C. EVANS|(201) 358-2856|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED-120|04/10/2008|0|0|0|0|0|0
New York Regional Office| 147092|801-69141|SEACREST WEALTH MANAGEMENT, LLC|SEACREST WEALTH MANAGEMENT, LLC|3010 WESTCHESTER AVENUE|SUITE 307|PURCHASE NY 10577|USA|||  ||EDWARD SULLIVAN|914-502-1920|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|05/12/2008|0|0|0|0|0|0
New York Regional Office| 147093|801-69195|FRIDSON INVESTMENT ADVISORS, LLC|FRIDSON INVESTMENT ADVISORS, LLC|200 PARK AVENUE|45TH FLOOR|NEW YORK NY 10166|UNITED STATES|||  ||JELENA PETROVIC|212-681-3016|Limited Liability Company|Other|APPROVED|05/23/2008|0|0|0|0|0|0
New York Regional Office| 147119|801-69261|PAYNE CAPITAL MANAGEMENT, LLC|PAYNE CAPITAL MANAGEMENT, LLC|11 HARRISON STREET, LEVEL 2||NEW YORK NY 10013|USA|||  ||RYAN PAYNE|646-461-7670|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED-120|06/19/2008|0|0|0|0|0|0
New York Regional Office| 147144|801-69170|EAST END ADVISORS, LLC|EAST END ADVISORS, LLC|610 FIFTH AVENUE 7TH FLOOR||NEW YORK NY 10020|USA|||  ||DAVID SALOMON|212 218-5315|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED-120|05/23/2008|0|0|0|0|0|0
New York Regional Office| 147159|801-69315|BESTIDEAS FINANCIAL NETWORK LLC|BESTIDEAS FINANCIAL NETWORK LLC|666 THIRD AVENUE|7TH FLOOR|NEW YORK NY 10017|USA|||  ||CHARLES H. SIEGEL|212-905-2989|Limited Liability Company|Other|APPROVED|06/19/2008|0|0|0|0|0|0
New York Regional Office| 147184|801-69162|EAST END GROUP INC.|EAST END GROUP INC.|4 HOMEWOOD DRIVE||HAMPTON BAYS NY 11946-3711|USA|||  ||STEVEN KACZMAREK|631-594-1069|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED-120|05/21/2008|0|0|0|0|0|0
New York Regional Office| 147197|801-69153|THE SPIELBERGER GROUP|THE SPIELBERGER GROUP|500 NORTH BROADWAY|SUITE 223|JERICHO NY 11753|USA|||  ||CRAIG BROOKS|631-777-1199|Other (specify)|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|05/15/2008|0|0|0|0|0|0
New York Regional Office| 147198|801-69214|EIGHT CAPITAL MANAGEMENT, LLC|EIGHT CAPITAL MANAGEMENT, LLC|305 MADISON AVE, SUITE 5201||NEW YORK NY 10165|USA|||  ||KAVITA KULKARNI|1-212-983-1030|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/11/2008|0|0|0|0|0|0
New York Regional Office| 147212|801-69171|D.E. SHAW DIRECT CAPITAL, L.L.C.|D.E. SHAW DIRECT CAPITAL, L.L.C.|120 WEST FORTY-FIFTH STREET||NEW YORK NY 10036|USA|||  ||ROCHELLE ASSAEL ELIAS|212-478-0000|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|05/28/2008|0|0|0|0|0|0
New York Regional Office| 147224|801-69331|CARLTON WEALTH MANAGEMENT LLC|CARLTON WEALTH MANAGEMENT LLC|48 WALL STREET SUITE 1100||NEW YORK NY 10005|USA|||  ||NICOLE BRENDA DEPASQUALE|212-918-4860|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/19/2008|0|0|0|0|0|0
New York Regional Office| 147242|801-69177|CB CAPITAL ADVISORS, LLC|CB CAPITAL ADVISORS, LLC|909 THIRD AVENUE||NEW YORK NY 10022|USA|||  ||DEAN BARRY|212-350-1804|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED-120|05/13/2008|0|0|0|0|0|0
New York Regional Office| 147283|801-69281|HERITAGE CAPITAL MANAGEMENT CO. LIMITED|HERITAGE CAPITAL MANAGEMENT CO. LIMITED|400 PARK AVENUE|SUITE 810|NEW YORK NY 10022|USA|||  ||INDER SODHI|646-278-1357|Corporation|Other|APPROVED-120|06/17/2008|0|0|0|0|0|0
New York Regional Office| 147302|801-69212|NOMURA GLOBAL ALPHA LLC|NOMURA GLOBAL ALPHA LLC|2 WORLD FINANCIAL CENTER|BUILDING B|NEW YORK NY 10281|USA|||  ||NEIL A. DANIELE|(212) 667-1873|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED-120|06/11/2008|2|13|0|0|0|0
New York Regional Office| 147312|801-69232|MATRIX INVESTMENT RESEARCH, LLC|MATRIX INVESTMENT RESEARCH, LLC|16 EAST 40TH ST|8TH FLOOR|NEW YORK NY 10016|USA|||  ||JOHN POWER|212-220-5153|Limited Liability Company|Portfolio management for individuals and/or small businesses, Security ratings or pricing services|APPROVED|04/28/2008|0|2|0|0|0|0
New York Regional Office| 147328|801-69295|GLOBAL PORTFOLIO MANAGEMENT, LTD.|GLOBAL PORTFOLIO MANAGEMENT, LTD.|845 THIRD AVENUE|6TH FLOOR|NEW YORK NY 10022|USA|||  ||JENNIFER LETITIA EDWARDS|646-290-5100|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED-120|06/20/2008|0|0|0|0|0|0
New York Regional Office| 147329|801-69452|CQS (US), LLC|CQS (US), LLC|230 PARK AVENUE|SUITE 1000|NEW YORK NY 10169|USA|||  ||KEITH M. DANKO|212-808-6555|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/25/2008|0|0|0|0|0|0
New York Regional Office| 147331|801-69282|BLACKSTONE ASIA EVENT ADVISORS L.L.C.|BLACKSTONE ASIA EVENT ADVISORS L.L.C.|345 PARK AVENUE||NEW YORK NY 10154|USA|||  ||ROBERT L. FRIEDMAN|212-583-5268|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/18/2008|0|0|0|0|0|0
New York Regional Office| 147335|801-69378|HCM|HOLMGREN CAPITAL MANAGEMENT, LLC|MEZZANINE, 335 MADISON AVENUE||NEW YORK NY 10017|USA|||  ||JOHN J. HOLMGREN, JR.|646-747-3488|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|07/09/2008|0|0|0|0|0|0
New York Regional Office| 147377|801-69296|BLACKSTONE A.M.N. ADVISORS L.L.C.|BLACKSTONE A.M.N. ADVISORS L.L.C.|345 PARK AVENUE||NEW YORK NY 10154|UNITED STATES|||  ||ROBERT L. FRIEDMAN|212-583-5268|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/18/2008|0|0|0|0|0|0
New York Regional Office| 147381|801-69239|MILLER TABAK ASSET MANAGEMENT|MT ASSET MANAGEMENT, LLC|331 MADISON AVE.||NEW YORK NY 10017|USA|||  ||JAY STENBERG|212-850-8191|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED-120|06/23/2008|0|1|0|0|0|0
New York Regional Office| 147385|801-69251|STONEBRIDGE CAPITAL MANAGEMENT VI, L.L.C.|STONEBRIDGE CAPITAL MANAGEMENT VI, L.L.C.|33 CLINTON ROAD||WEST CALDWELL NJ 07006|USA|||  ||ROBERT A. HARCLERODE|973-244-9696|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/18/2008|0|0|0|0|0|0
New York Regional Office| 147423|801-69264|EULAV ASSET MANAGEMENT, LLC|EULAV ASSET MANAGEMENT, LLC|220 EAST 42ND STREET, 6TH FLOOR||NEW YORK NY 10017-5891|USA|||  ||MITCHELL APPEL|(212) 907-1827|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/30/2008|0|0|0|0|0|0
New York Regional Office| 147490|801-69333|GLOBAL PLUS+ INVESTMENT MANAGEMENT, LLC|GLOBAL PLUS+ INVESTMENT MANAGEMENT, LLC|650 FIFTH AVE.|6TH FLOOR|NEW YORK NY 10019|USA|||  ||LUIS A. MARINO|212-259-5133|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED-120|07/07/2008|0|3|0|0|0|0
New York Regional Office| 147495|801-69292|KJ CAPITAL MANAGEMENT LLC|KJ CAPITAL MANAGEMENT LLC|315 E 68TH ST APT 8K||NEW YORK NY 10065-5603|USA|||  ||KATHY A. O'CONNOR|212-879-7498|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED-120|06/23/2008|0|0|0|0|0|0
New York Regional Office| 147539|801-69301|NEF ADVISORS, LLC|NEF ADVISORS, LLC|527 MADISON AVE. 7TH FLOOR||NEW YORK NY 10022|USA|||  ||ABIGAIL E. LAUFER|TEL: 212-689-1455|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|06/23/2008|0|0|0|0|0|0
New York Regional Office| 147554|801-69311|APELLES INVESTMENT MANAGEMENT, LLC|APELLES INVESTMENT MANAGEMENT, LLC|767 THIRD AVENUE|17TH FLOOR|NEW YORK NY 10017|USA|||  ||KEVIN MAHONEY|212-888-5293|Limited Liability Company|Other|APPROVED-120|06/19/2008|0|0|0|0|0|0
New York Regional Office| 147557|801-69415|CANDOR WEALTH ADVISORS LLC|CANDOR WEALTH ADVISORS LLC|129 SUMMIT AVENUE||SUMMIT NJ 07901|USA|||  ||MICHAEL C. PROVINE|908-598-0909|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/11/2008|0|0|0|0|0|0
New York Regional Office| 147587|801-69323|BLACKSTONE A.M.N. ADVISORS (CAYMAN) LTD.|BLACKSTONE A.M.N. ADVISORS (CAYMAN) LTD.|345 PARK AVENUE||NEW YORK NY 10154|USA|||  ||ROBERT L. FRIEDMAN|212-583-5268|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/19/2008|0|0|0|0|0|0
New York Regional Office| 147592|801-69418|GM ADVISORY GROUP, INC.|GM ADVISORY GROUP, INC.|30 MAIN STREET||PORT WASHINGTON NY 11050|USA|||  ||FRANK MARZANO|516-767-7104|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED-120|07/29/2008|0|0|0|0|0|0
New York Regional Office| 147600|801-69334|BLACKSTONE ASIA EVENT ADVISORS (CAYMAN) LTD.|BLACKSTONE ASIA EVENT ADVISORS (CAYMAN) LTD.|345 PARK AVENUE||NEW YORK NY 10154|USA|||  ||ROBERT L. FRIEDMAN|212-583-5268|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/19/2008|0|0|0|0|0|0
Philadelphia Regional Office|     48|801-63856|ANDERSON & STRUDWICK, INCORPORATED|ANDERSON & STRUDWICK, INCORPORATED|707 E. MAIN ST|20TH FLOOR|RICHMOND VA 23219|USA|P.O. BOX 1459||RICHMOND VA 23218-1459|USA|JAMES SALYER|804-344-3808|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|01/31/2005|0|19|0|0|0|0
Philadelphia Regional Office|     53|801-55083|HEFREN-TILLOTSON, INC.|HEFREN-TILLOTSON, INC.|308 SEVENTH AVE||PITTSBURGH PA 15222|USA|||  ||PAUL E. TADDEO|(412)434-0990|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/11/1997|0|12|2|0|0|0
Philadelphia Regional Office|    100|801-68111|1914 ADVISORS|BOENNING & SCATTERGOOD, INC.|FOUR TOWER BRIDGE, 200 BARR HARBOR DRIVE||WEST CONSHOHOCKEN PA 19428|USA|||  ||STACEY RIVKIN|610-684-5425|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/01/2007|0|17|0|0|0|0
Philadelphia Regional Office|    145|801-60395|LINCOLN FINANCIAL DISTRIBUTORS, INC.|LINCOLN FINANCIAL DISTRIBUTORS, INC.|130 N RADNOR CHESTER ROAD||RADNOR PA 19087|USA|350 CHURCH STREET, MLB1||HARTFORD CT 06103||PATRICK J. CAULFIELD|(860)466-1838|Corporation|Other|APPROVED|07/12/2001|0|35|2|0|0|0
Philadelphia Regional Office|    285|801-7393|FERRIS, BAKER WATTS INCORPORATED|FERRIS, BAKER WATTS, LLC|100 LIGHT STREET|9TH FLOOR|BALTIMORE MD 21202|USA|100 LIGHT STREET|9TH FLOOR|BALTIMORE MD 21202|US|CHRISTINE D. BUTTON|410-468-2826|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/25/1971|3|16|0|0|0|0
Philadelphia Regional Office|    319|801-67696|FOLGER NOLAN FLEMING DOUGLAS INCORPORATED|FOLGER NOLAN FLEMING DOUGLAS INCORPORATED|725 15TH STREET NW||WASHINGTON DC 20005-2109|USA|||  ||URBAN, JOSEPH M.|202-626-5300|Corporation|Portfolio management for individuals and/or small businesses, Other|APPROVED|04/24/2007|0|3|0|0|0|0
Philadelphia Regional Office|    396|801-66333|SECURITY CAPITAL MANAGEMENT|HAZLETT, BURT & WATSON, INC.|1300 CHAPLINE STREET||WHEELING WV 26003|USA|||  ||TIMOTHY M. BIDWELL|304-233-3312|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|03/29/2006|0|1|0|0|0|0
Philadelphia Regional Office|    463|801-7258|JANNEY MONTGOMERY SCOTT LLC|JANNEY MONTGOMERY SCOTT LLC|1801 MARKET STREET||PHILADELPHIA PA 19103|USA|||  ||PETER LYDZINSKI|215-665-6425|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|03/08/1971|0|16|0|0|0|0
Philadelphia Regional Office|    473|801-68783|JOHNSTON, LEMON & CO. INC.|JOHNSTON, LEMON & CO. INC.|1101 VERMONT AVENUE, NW|SUITE 800|WASHINGTON DC 20005|USA|||  ||KEN MILLER|202-842-5618|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|02/07/2008|0|1|0|0|0|0
Philadelphia Regional Office|    519|801-14059|LINCOLN INVESTMENT PLANNING, INC|LINCOLN INVESTMENT PLANNING, INC.|FORST PAVILION|218 GLENSIDE AVE|WYNCOTE PA 19095-1595|USA|||  ||DEIRDRE B. KOERICK|215-881-4520|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|09/11/1978|0|5|0|0|0|0
Philadelphia Regional Office|   1588|801-13057|DAVENPORT & COMPANY LLC|DAVENPORT & COMPANY LLC|ONE JAMES CENTER|901 EAST CARY STREET, SUITE 1100|RICHMOND VA 23219|USA|P.O. BOX 85678||RICHMOND VA 23285-5678|USA|DENISE C. PETERS|(804)780-2139|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|06/02/1977|0|6|0|0|0|0
Philadelphia Regional Office|   1763|801-56879|H. BECK, INC.|H. BECK, INC.|11140 ROCKVILLE PIKE, 4TH FLOOR||ROCKVILLE MD 20852|USA|||  ||ROBERTA BOYD|301-468-0100|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|10/06/1999|0|7|0|0|0|0
Philadelphia Regional Office|   1834|801-61159|UNIVEST INVESTMENTS, INC.|UNIVEST INVESTMENTS, INC.|14 NORTH MAIN STREET|P.O. BOX 64197|SOUDERTON PA 18964|USA|||  ||HOCHSTETLER, KENNETH DEAN|215-721-2438|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|05/10/2002|0|0|0|0|0|0
Philadelphia Regional Office|   2331|801-57968|INVESTORS SECURITY COMPANY, INC.|INVESTORS SECURITY COMPANY, INC.|127 E. WASHINGTON STREET, SUITE 101||SUFFOLK VA 23434|USA|||  ||CHRISTOPHER HOLLOWAY|757-539-2396|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|10/27/2000|0|29|1|0|0|0
Philadelphia Regional Office|   2907|801-57642|NESTLERODE & LOY, INC.|NESTLERODE & CO., INC.|430 WEST IRVIN AVENUE||STATE COLLEGE PA 16801|USA|P.O. BOX 343||STATE COLLEGE PA 16804-0343|USA|DANIEL J. NESTLERODE|814-238-6249|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|04/06/2000|0|2|0|0|0|0
Philadelphia Regional Office|   4031|801-56151|HORNOR, TOWNSEND & KENT, INC.|HORNOR, TOWNSEND & KENT, INC.|600 DRESHER RD|STE C1C|HORSHAM PA 19044|US|||  ||MICHELLE A. BARRY|215-956-7964|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/25/1999|0|12|0|0|0|0
Philadelphia Regional Office|   4082|801-39753|1717 CAPITAL MANAGEMENT COMPANY|1717 CAPITAL MANAGEMENT COMPANY|300 CONTINENTAL DRIVE|D2E|NEWARK DE 19713|USA|PO BOX 15626|D2E|WILMINGTON DE 19850|USA|ELAINE F. DUFFUS|302-453-3884|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|09/05/1991|0|17|0|0|0|0
Philadelphia Regional Office|   5871|801-68760|FIRST GEORGETOWN SECURITIES, INC|FIRST GEORGETOWN SECURITIES, INC.|225 REINEKERS LANE|#270|ALEXANDRIA VA 22314|USA|||  ||ROBERT T. MANN|703-519-7700|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|02/05/2008|0|2|1|0|0|0
Philadelphia Regional Office|   6255|801-40380|SCOTT & STRINGFELLOW, INC.|SCOTT & STRINGFELLOW, INC.|909 EAST MAIN STREET||RICHMOND VA 23219|USA|P.O. BOX 1575||RICHMOND VA 23218-1575|USA|MARY GAIL VIDRICK|804-782-8867|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|02/20/1992|0|20|0|0|0|0
Philadelphia Regional Office|   6415|801-11280|WINDSOR SECURITIES INC|WINDSOR SECURITIES, INC.|25 EAST ATHENS AVENUE||ARDMORE PA 19003|USA|||  ||STEVEN G. PRUSKY|610-642-3100|Corporation|Market timing services|APPROVED|01/16/1976|0|0|0|0|0|0
Philadelphia Regional Office|   6940|801-44569|COMMERCE CAPITAL MARKETS, INC.|COMMERCE CAPITAL MARKETS, INC.|2005 MARKET STREET, SUITE 200||PHILADELPHIA PA 19103|USA|||  ||MARIA F. LUTZKER|215-282-4400|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/28/1993|0|19|0|0|0|0
Philadelphia Regional Office|   7438|801-25300|VALLEY FORGE ASSET MANAGEMENT CORP.|VALLEY FORGE ASSET MANAGEMENT CORP.|120 S. WARNER RD||KING OF PRUSSIA PA 19406|USA|PO BOX 837||VALLEY FORGE PA 19482|USA|NICOLE M. HOFFMAN|610-687-6800|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|09/04/1985|0|3|0|0|0|0
Philadelphia Regional Office|   7597|801-57662|ALLEGHENY INVESTMENTS, LTD.|ALLEGHENY INVESTMENTS, LTD.|STONE QUARRY CROSSING|811 CAMP HORNE ROAD, SUITE 100|PITTSBURGH PA 15237|USA|||  ||AIMEE A. TOTH|(412) 367-3880|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/02/2000|0|3|1|0|0|0
Philadelphia Regional Office|  14169|801-41033|CAPITOL SECURITIES MANAGEMENT, INC.|CAPITOL SECURITIES MANAGEMENT, INC.|100 CONCOURSE BLVD|SUITE 101|GLEN ALLEN VA 23059|USA|100 CONCOURSE BLVD|SUITE 101|GLEN ALLEN VA 23059|USA|MARK HAMBY|804-527-0400|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/16/1992|0|3|0|0|0|0
Philadelphia Regional Office|  14894|801-46021|CHEVY CHASE FINANCIAL SERVICES|CHEVY CHASE SECURITIES, INC.|7501 WISCONSIN AVENUE||BETHESDA MD 20814|USA|||  ||MICHELLE GOTTWALD|240-297-7222|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/05/1994|0|4|0|0|0|0
Philadelphia Regional Office|  14942|801-56738|WILMINGTON BROKERAGE SERVICES COMPANY|WILMINGTON BROKERAGE SERVICES COMPANY|1100 NORTH MARKET STREET||WILMINGTON DE 19890|USA|||  ||TANEIA C. YARBROUGH|302-651-8037|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|09/03/1999|0|21|0|0|0|0
Philadelphia Regional Office|  16197|801-61034|MONONGAHELA CAPITAL MANAGEMENT INC.|RODGERS BROTHERS, INC.|800 CRANBERRY WOODS DRIVE|SUITE 200|CRANBERRY TOWNSHIP PA 16066|USA|||  ||MARK RODGERS|724-779-2200|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|04/23/2002|0|0|0|0|0|0
Philadelphia Regional Office|  16678|801-56332|CBIZ FINANCIAL SOLUTIONS, INC.|CBIZ FINANCIAL SOLUTIONS, INC.|44 BALTIMORE STREET||CUMBERLAND MD 21502|USA|||  ||MARK E. PUSEY|216-525-1939|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|03/18/1999|0|2|0|0|0|0
Philadelphia Regional Office|  16691|801-20018|PRUDENT MANAGEMENT ASSOCIATES|PRUDENT MANAGEMENT ASSOCIATES|1735 MARKET STREET|SUITE 3902|PHILADELPHIA PA 19103|USA|||  ||SNITZER, EDWARD L|(215)994-1062|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/04/1983|0|0|0|0|0|0
Philadelphia Regional Office|  17058|801-60229|BPU INVESTMENT MANAGEMENT, INC.|BPU INVESTMENT MANAGEMENT, INC.|ONE OXFORD CENTER|301 GRANT ST., STE. 3300|PITTSBURGH PA 15219|USA|||  ||CARL ANTHONY ANTONUCCI|412-288-9150|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|05/18/2001|0|1|0|0|0|0
Philadelphia Regional Office|  17427|801-21444|H.L. ZEVE ASSOCIATES, INC.|H.L. ZEVE ASSOCIATES, INC.|600 THREE PPG PLACE||PITTSBURGH PA 15222|USA|||  ||HARDIN, MATTHEW S.|412-772-1772|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|05/24/1984|0|0|0|0|0|0
Philadelphia Regional Office|  18196|801-7020|WIDMANN, SIFF & CO., INC.|WIDMANN, SIFF & CO., INC.|717 CONSTITUTION DRIVE|SUITE 106|EXTON PA 19341|USA|||  ||KIM M. DAVIS|610-321-6020|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|11/20/1970|0|6|0|0|0|0
Philadelphia Regional Office|  20560|801-35116|RADNOR FINANCIAL ADVISORS, INC.|RADNOR FINANCIAL ADVISORS, INC.|485 DEVON PARK DRIVE, STE 119||WAYNE PA 19087|USA|||  ||HYDE, EDD HOWELL|(610) 975-0280|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/21/1989|0|0|0|0|0|0
Philadelphia Regional Office|  20787|801-66436|KORNFIELD INVESTMENT MANAGEMENT|KEVIN HART KORNFIELD & COMPANY, INC.|2137 EMBASSY DRIVE|SUITE 105|LANCASTER PA 17603-2877|USA|P.O. BOX 6423||LANCASTER PA 17607-6423|USA|KEVIN HART KORNFIELD|717-392-0002|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|04/13/2006|0|0|0|0|0|0
Philadelphia Regional Office|  21675|801-32675|DIRECTED SERVICES LLC|DIRECTED SERVICES LLC|1475 DUNWOODY DRIVE||WEST CHESTER PA 19380|USA|||  ||ERNEST J. C'DEBACA|480-477-2648|Limited Liability Company|Portfolio management for investment companies, Selection of other advisers, Other|APPROVED|11/10/1988|0|30|1|0|0|0
Philadelphia Regional Office|  22471|801-32522|LAFAYETTE INVESTMENTS, INC.|LAFAYETTE INVESTMENTS, INC.|17830 NEW HAMPSHIRE AVENUE|SUITE 201|ASHTON MD 20861|USA|||  ||LAWRENCE JUDGE|301-570-1250|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/13/1988|0|0|0|0|0|0
Philadelphia Regional Office|  30177|801-42007|HUNTER ASSOCIATES, INC.|HUNTER ASSOCIATES, INC.|436 SEVENTH AVENUE|KOPPERS BUILDING, FIFTH FLOOR|PITTSBURGH PA 15219-1818|USA|||  ||BRADLEY J. MARSHALL|412-765-8927|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/27/1992|0|0|0|0|0|0
Philadelphia Regional Office|  34939|801-45618|TIFF ADVISORY SERVICES, INC.|TIFF ADVISORY SERVICES, INC.|FOUR TOWER BRIDGE|200 BARR HARBOR DRIVE, SUITE 100|WEST CONSHOHOCKEN PA 19428|USA|||  ||LEITER, TINA MARIE|610-684-8000|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/15/1994|0|0|0|0|0|0
Philadelphia Regional Office|  35041|801-64488|SAUNDERS RETIREMENT ADVISORS, INC.|SAUNDERS RETIREMENT ADVISORS, INC.|7400 BEAUFONT SPRINGS DR., SUITE 300||RICHMOND VA 23225|USA|P. O. BOX 5750||MIDLOTHIAN VA 23112|USA|H. MARK SAUNDERS|804-320-8800|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/21/2005|0|0|0|0|0|0
Philadelphia Regional Office|  35586|801-56469|BERWYN FINANCIAL SERVICES CORP.|BERWYN FINANCIAL SERVICES CORP.|1189 LANCASTER AVENUE||BERWYN PA 19312|USA|||  ||KEVIN M. RYAN|610 4089850|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|05/17/1999|0|6|0|0|0|0
Philadelphia Regional Office|  37499|801-36800|WESTBOURNE INVESTMENTS, INC.|WESTBOURNE INVESTMENTS, INC.|2101 WILSON BOULEVARD, S. 525||ARLINGTON VA 22201|USA|||  ||GOODWYN, WILFRED LACY|703-294-6848|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|06/06/1990|0|1|0|0|0|0
Philadelphia Regional Office|  39163|801-60354|GIRARD PARTNERS LTD.|GIRARD PARTNERS LTD.|455 SOUTH GULPH ROAD|SUITE 235|KING OF PRUSSIA PA 19406|USA|||  ||KEVIN B NORRIS|610-337-7640|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|06/14/2001|0|0|0|0|0|0
Philadelphia Regional Office|  40130|801-51127|RUBICON WEALTH MANAGEMENT|RUBICON HOLDINGS INCORPORATED|50 MONUMENT ROAD, SUITE 225||BALA CYNWYD PA 19004|USA|||  ||MASON, SCOTT J.|610-668-4615|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers, Other|APPROVED|02/02/1996|0|0|0|0|0|0
Philadelphia Regional Office|  40655|801-51863|LOCKWOOD CAPITAL MANAGEMENT, INC|LOCKWOOD CAPITAL MANAGEMENT, INC|10 VALLEY STREAM PKWY||MALVERN PA 19355|USA|||  ||MICHELLE M. LOGUE|610-651-8836|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/15/1996|0|59|0|0|0|0
Philadelphia Regional Office|  41353|801-67447|THOMPSON DAVIS & CO., INC.|THOMPSON DAVIS & CO., INC.|919 EAST MAIN STREET|16TH FLOOR|RICHMOND VA 23219|USA|P.O. BOX 1854||RICHMOND VA 23218|USA|JANICE BRITTON|(804) 644-6383|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|02/09/2007|0|1|0|0|0|0
Philadelphia Regional Office|  44664|801-63342|CORNERSTONE INSTITUTIONAL INVESTORS, INC.|CORNERSTONE INSTITUTIONAL INVESTORS, INC.|74 WEST BROAD STREET|SUITE 340|BETHLEHEM PA 18018|USA|||  ||DONNA M. HUMPHREY|610-694-0900|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|07/08/2004|0|0|0|0|0|0
Philadelphia Regional Office|  46173|801-58108|PARK AVENUE SECURITIES LLC|PARK AVENUE SECURITIES LLC|81 HIGHLAND|B-260|BETHLEHEM PA 18017|USA|||  ||MARK SILBERMAN|212-919-3472|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|11/13/2000|7|14|0|0|0|0
Philadelphia Regional Office| 104028|801-57883|MICG INVESTMENT MANAGEMENT|MICG INVESTMENT MANAGEMENT|11815 FOUNTAIN WAY|SUITE 400|NEWPORT NEWS VA 23606|USA|||  ||STEPHANIE BEACH|757-952-1807|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|08/21/2000|0|0|0|0|0|0
Philadelphia Regional Office| 104513|801-18801|FINANCIAL SERVICES ADVISORY INC|FINANCIAL SERVICES ADVISORY INC|ONE CHURCH STREET, #901||ROCKVILLE MD 20850|USA|||  ||MOSS, VIRGINIA L.|301-949-7300|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|04/21/1983|0|0|0|0|0|0
Philadelphia Regional Office| 104516|801-62472|BISHOPSGATE INVESTMENT COMPANY|BISHOPSGATE INVESTMENT COMPANY|7415 ANNANWOOD CT||ANNANDALE VA 22003|USA|||  ||HUDDLESTON, DAVID  THORN|703-256-3607|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Publication of periodicals or newsletters|APPROVED|10/31/2003|0|0|0|0|0|0
Philadelphia Regional Office| 104539|801-63659|CORNERSTONE ASSET MANAGEMENT|CORNERSTONE ASSET MANAGEMENT, INC.|30 EAST MAIN STREET||BERRYVILLE VA 22611|USA|||  ||BERGHAUS, PAUL FREDERICK|540-955-9914|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|03/11/2005|0|1|0|0|0|0
Philadelphia Regional Office| 104566|801-49550|MATTHEW 25 MANAGEMENT CORP|MATTHEW 25 MANAGEMENT CORP|607 WEST AVENUE||JENKINTOWN PA 19046|USA|||  ||BUCK, LESLEY|215-884-4458|Corporation|Portfolio management for investment companies|APPROVED|07/03/1995|0|0|0|0|0|0
Philadelphia Regional Office| 104570|801-28840|CARDEROCK CAPITAL MANAGEMENT, INC.|CARDEROCK CAPITAL MANAGEMENT, INC.|2 WISCONSIN CIRCLE, SUITE 510||CHEVY CHASE MD 20815|USA|||  ||YANO, GAIL|301-951-5288 X104|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/20/1987|0|0|0|0|0|0
Philadelphia Regional Office| 104572|801-55590|PREFERRED FINANCIAL ADVISORS, LLC|PREFERRED FINANCIAL ADVISORS, LLC|401 E. JEFFERSON STREET|SUITE 207|ROCKVILLE MD 20850-2627|USA|||  ||GELMAN, ARTHUR M|301-838-1940|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|05/27/1998|0|0|0|0|0|0
Philadelphia Regional Office| 104575|801-56110|RORER ASSET MANAGEMENT LLC|RORER ASSET MANAGEMENT LLC|EIGHT TOWER BRIDGE|161 WASHINGTON ST, SUITE 1500|CONSHOHOCKEN PA 19428|USA|||  ||ROBERT D. LEININGER|(484)530-4300|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/18/1998|0|0|0|0|0|0
Philadelphia Regional Office| 104577|801-46896|ARIS WEALTH SERVICES INC|ARIS WEALTH SERVICES INC|270 WALKER DR||STATE COLLEGE PA 16801|USA|P.O. BOX 1318||STATE COLLEGE PA 16804|USA|CHAS BOYD|(814)231-3710|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|08/01/1994|0|0|0|0|0|0
Philadelphia Regional Office| 104585|801-55408|AMERITOR FINANCIAL CORP|AMERITOR FINANCIAL CORP|4400 MACARTHUR BLVD NW|SUITE 301|WASHINGTON DC 20007-2521||||  ||KINNEY, JEROME F.|202-625-6000|Corporation|Portfolio management for investment companies|APPROVED|04/21/1998|0|0|0|0|0|0
Philadelphia Regional Office| 104600|801-28328|BASE MANAGEMENT CO|BASE MANAGEMENT CO|600 BALTIMORE AVENUE|ADAMS BLDG, SUITE 306|TOWSON MD 21204|USA|||  ||HOGLE, III  FRANCIS MILAND|(410)-583-4828|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/10/1986|0|0|0|0|0|0
Philadelphia Regional Office| 104610|801-31624|FINANCIAL ADVANTAGE INC|FINANCIAL ADVANTAGE INC|5950 SYMPHONY WOODS RD|SUITE 100|COLUMBIA MD 21044-3308|USA|||  ||LYN A. DIPPEL|410-715-9200|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/01/1988|0|0|0|0|0|0
Philadelphia Regional Office| 104614|801-26390|INTERVEST LTD|INTERVEST LTD|2 WISCONSIN CIRCLE|SUITE 500|CHEVY CHASE MD 20815|USA|||  ||SCHOENFELD, RICHARD HOLLEMAN|301-951-4455|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/10/1986|0|1|0|0|0|0
Philadelphia Regional Office| 104616|801-31434|FISCHER FINANCIAL SERVICES INC|FISCHER FINANCIAL SERVICES INC|4431 NORTH FRONT STREET|SUITE 105|HARRISBURG PA 17110|USA|||  ||FREDERICK D. FISCHER|717-233-8901|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/10/1988|0|0|0|0|0|0
Philadelphia Regional Office| 104618|801-14191|SPC FINANCIAL INC|SPC FINANCIAL INC|3202 TOWER OAKS BLVD|SUITE 400|ROCKVILLE MD 20852|USA|||  ||JAMES S. JONES|301-770-6800|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|11/30/1978|0|1|1|0|0|0
Philadelphia Regional Office| 104619|801-34480|THE JUNK INVESTMENT GROUP|JUNK IVAN RICHARD|4 NORTH PARK DRIVE|SUITE 510|HUNT VALLEY MD 21030-1810|USA|||  ||JUNK, CASSANDRA GENE|410-584-8100|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/19/1989|0|0|0|0|0|0
Philadelphia Regional Office| 104622|801-19122|AUFMAN ASSOCIATES INC|AUFMAN ASSOCIATES INC|2200 GEORGETOWN DRIVE|SUITE 401|SEWICKLEY PA 15143|USA|||  ||SMITH, MARY ANN|(724)934-5600|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/21/1983|0|0|0|0|0|0
Philadelphia Regional Office| 104625|801-27754|BALTIMORE WASHINGTON FINANCIAL ADVISORS INC|BALTIMORE WASHINGTON FINANCIAL ADVISORS INC|5950 SYMPHONY WOODS ROAD|SUITE 600|COLUMBIA MD 21044|USA|||  ||CASSEL, ROBERT WARREN|410-461-3900|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|08/25/1986|0|1|0|0|0|0
Philadelphia Regional Office| 104636|801-17534|RICHMOND CAPITAL MANAGEMENT INC|RICHMOND CAPITAL MANAGEMENT INC|10800 MIDLOTHIAN TURNPIKE STE 217||RICHMOND VA 23235|USA|||  ||WALKER, MARK JACKSON|804-379-4947|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/02/1982|0|0|0|0|0|0
Philadelphia Regional Office| 104644|801-33838|SCHOFIELD-MACDOUGALL FINANCIAL COUNSELING|SCHOFIELD DOUGLAS FRANKLIN|2364 ROUTE 66||DELMONT PA 15626|USA|2364 ROUTE 66||DELMONT PA 15626|USA|DOUGLAS F. SCHOFIELD|724-468-1300|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|03/09/1989|0|0|0|0|0|0
Philadelphia Regional Office| 104648|801-3396|CHASE INVESTMENT COUNSEL CORPORATION|CHASE INVESTMENT COUNSEL CORPORATION|300 PRESTON AVE STE 403||CHARLOTTESVILLE VA 22902-5091|USA|||  ||CATHERINE L. FARRAR|434-293-9104|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|03/05/1964|0|0|0|0|0|0
Philadelphia Regional Office| 104663|801-21989|MCQUEEN BALL & ASSOCIATES INC|MCQUEEN BALL & ASSOCIATES INC|MAIN STREET COMMONS|561 MAIN STREET, SUITE 100|BETHLEHEM PA 18018|USA|||  ||BALL, THOMAS R|610-954-0400|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|08/24/1984|0|0|0|0|0|0
Philadelphia Regional Office| 104675|801-30823|INVESTMENT RESOURCE GROUP LTD|INVESTMENT RESOURCE GROUP LTD|9690 DEERECO ROAD, SUITE 440||TIMONIUM MD 21093|USA|||  ||NASSNER, LISA ANN|410-561-9690|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|11/20/1987|0|0|0|0|0|0
Philadelphia Regional Office| 104676|801-36106|CHURCH CAPITAL MANAGEMENT LLC|CHURCH CAPITAL MANAGEMENT LLC|301 OXFORD VALLEY ROAD, SUITE 801B||YARDLEY PA 19067|USA|||  ||WALTHER, JEROME H.|215-321-1900|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/01/1990|0|1|1|0|0|0
Philadelphia Regional Office| 104684|801-46685|BOLTON PARTNERS INVESTMENT CONSULTING GROUP, INC.|BOLTON PARTNERS INVESTMENT CONSULTING GROUP, INC.|575 SOUTH CHARLES STREET|SUITE 410|BALTIMORE MD 21201|USA|||  ||BOYKIN, CAROLYN C.|443-573-3903|Corporation|Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|07/06/1994|0|0|0|0|0|0
Philadelphia Regional Office| 104690|801-12566|ALLEGHENY FINANCIAL GROUP LTD|ALLEGHENY FINANCIAL GROUP LTD|STONE QUARRY CROSSING|811 CAMP HORNE ROAD, SUITE 100|PITTSBURGH PA 15237|USA|||  ||AIMEE A. TOTH|412-367-3880|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/17/1977|0|1|1|0|0|0
Philadelphia Regional Office| 104694|801-25959|MONEY PLANS|MONEY PLANS|8701 GEORGIA AVE, STE 710||SILVER SPRING MD 20910|USA|||  ||DOWNEY, MARGARET A|301-589-4250|Partnership|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|11/29/1985|0|0|0|0|0|0
Philadelphia Regional Office| 104716|801-9139|CORBYN INVESTMENT MANAGEMENT INC|CORBYN INVESTMENT MANAGEMENT INC|2330 W JOPPA RD STE 108||LUTHERVILLE MD 21093|USA|||  ||MOORE, KARLA K|410-832-5500|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/09/1973|0|0|0|0|0|0
Philadelphia Regional Office| 104734|801-24638|DOLAN FINANCIAL CORP|DOLAN FINANCIAL CORP|8455 COLESVILLE RD STE 710||SILVER SPRING MD 20910-3318|USA|||  ||DOLAN, JOHN FRANCIS|301 495-5900|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/14/1985|0|0|0|0|0|0
Philadelphia Regional Office| 104743|801-31518|FREED ADVISORS|SUSAN FREED & ASSOCIATES, INC.|2 WISCONSIN CIRCLE - SUITE 530||CHEVY CHASE MD 20815|USA|||  ||SUSAN FREED|301 657-1700|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/25/1988|0|0|0|0|0|0
Philadelphia Regional Office| 104748|801-36431|TWIN CAPITAL MANAGEMENT INC|TWIN CAPITAL MANAGEMENT INC|3244 WASHINGTON RD|SUITE 202|MCMURRAY PA 15317-3153|USA|||  ||DRAKE JAMES D|(724) 942-2000|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Market timing services|APPROVED|04/02/1990|0|0|0|0|0|0
Philadelphia Regional Office| 104762|801-35829|INDEPENDENCE ADVISORS INC|INDEPENDENCE ADVISORS INC|620 LEE ROAD, SUITE 100||WAYNE PA 19087-5650|USA|||  ||RICHARDSON, BARBARA|610-695-8070|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/12/1990|0|0|0|0|0|0
Philadelphia Regional Office| 104776|801-31852|EMERGING MARKETS MANAGEMENT, L.L.C.|EMERGING MARKETS MANAGEMENT, L.L.C.|1001 19TH ST. NORTH|17TH FLOOR|ARLINGTON VA 22209-1722|USA|||  ||WALKER, BRIAN E.|703-243-8800|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/18/1988|0|0|0|0|0|0
Philadelphia Regional Office| 104796|801-28445|CLARK CAPITAL MANAGEMENT GROUP INC|CLARK CAPITAL MANAGEMENT GROUP INC|ONE LIBERTY PLACE, 53RD FLOOR|1650 MARKET STREET|PHILADELPHIA PA 19103|USA|||  ||DENISE CLARK WILLIAMS|215-569-2224|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|12/09/1986|0|2|0|0|0|0
Philadelphia Regional Office| 104803|801-30743|STRATEGIC INVESTMENT PARTNERS, INC|STRATEGIC INVESTMENT PARTNERS, INC|1001 19TH ST. N., 16TH FL||ARLINGTON VA 22209-1722|USA|||  ||LYNCH, MELISSA|703-243-4433|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|09/30/1987|0|0|0|0|0|0
Philadelphia Regional Office| 104804|801-18338|SCHIAVI + DATTANI|SCHIAVI & COMPANY LLC|2710 CENTERVILLE ROAD|SUITE 201|WILMINGTON DE 19808-1644|USA|||  ||SCHIAVI, VINCENT A|302-994-4444|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/31/1983|0|0|0|0|0|0
Philadelphia Regional Office| 104812|801-24702|QUAKER CAPITAL MANAGEMENT CORP|QUAKER CAPITAL MANAGEMENT CORP|601 TECHNOLOGY DRIVE|SUITE 310|CANONSBURG PA 15317|USA|||  ||CLARK, ANDREW I|412-281-1948|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/27/1985|0|0|0|0|0|0
Philadelphia Regional Office| 104817|801-18876|SYMONS CAPITAL MANAGEMENT INC|SYMONS CAPITAL MANAGEMENT INC|650 WASHINGTON ROAD|SUITE 800|PITTSBURGH PA 15228-2702|USA|||  ||SVIDRO, TERESA L|412-344-7690|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/26/1983|0|0|0|0|0|0
Philadelphia Regional Office| 104834|801-29144|WEDGEWOOD INVESTORS INC|WEDGEWOOD INVESTORS INC|100 STATE STREET, SUITE 506||ERIE PA 16507-1466|USA|||  ||MARIN DENNIS R|814-456-3651|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/03/1987|0|0|0|0|0|0
Philadelphia Regional Office| 104837|801-33207|ALBERT A. CAPORASO & ASSOCIATES, INC.|CAPORASO ALBERT A & ASSOCIATES INC.|5301 LIMESTON ROAD STE 228||WILMINGTON DE 19808|USA|||  ||CAPORASO, ALBERT A|302-234-7992|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|11/03/1988|0|0|0|0|0|0
Philadelphia Regional Office| 104862|801-31849|STRATEGIC INVESTMENT MANAGEMENT, L.P.|STRATEGIC INVESTMENT MANAGEMENT, L.P.|1001 19TH ST. N.,16TH FL.||ARLINGTON VA 22209-1722|USA|||  ||LYNCH, MELISSA|703-243-4433|Partnership|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|04/01/1988|0|0|0|0|0|0
Philadelphia Regional Office| 104866|801-28763|FOXHALL CAPITAL MANAGEMENT, INC.|FOXHALL CAPITAL MANAGEMENT, INC.|1613 DUKE ST||ALEXANDRIA VA 22314|USA|||  ||PAUL GEORGE DIETRICH|703.683.8575|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/16/1987|0|1|0|0|0|0
Philadelphia Regional Office| 104925|801-29045|DORSEY WRIGHT MONEY MANAGEMENT|DORSEY, WRIGHT & ASSOCIATES, INC.|9201 FOREST HILL AVENUE|SUITE 100|RICHMOND VA 23235|USA|||  ||WRIGHT, WATSON HOWELL|804-320-8511|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters, Other|APPROVED|03/06/1987|0|0|0|0|0|0
Philadelphia Regional Office| 104927|801-17591|ESD ADVISORY SERVICES INC|ESD ADVISORY SERVICES INC|7272  WISCONSIN AVENUE, SUITE 300||BETHESDA MD 20814|USA|||  ||DOVE, EDWARD STELLWAGEN|301-941-1903|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|08/31/1982|0|0|0|0|0|0
Philadelphia Regional Office| 104952|801-27662|TOTH FINANCIAL ADVISORY CORP|TOTH FINANCIAL ADVISORY CORP|608 SOUTH KING STREET|SUITE 300|LEESBURG VA 20175|USA|||  ||CAROL A. RYAN|(703)443-8684|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/21/1986|0|3|0|0|0|0
Philadelphia Regional Office| 104958|801-8226|SIMPSON CAPITAL MANAGEMENT CO|SIMPSON ALLEN JOHNSON|123 S BROAD STREET|SUITE 1825|PHILADELPHIA PA 19109|USA|||  ||SIMPSON, ALLEN JOHNSON|215-546-6007|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|12/24/1971|0|0|0|0|0|0
Philadelphia Regional Office| 104965|801-8681|STRATTON MANAGEMENT COMPANY|STRATTON MANAGEMENT CO|610 W GERMANTOWN PIKE|SUITE 300|PLYMOUTH MTG PA 19462|USA|||  ||JOANNE E. KUZMA|610-941-0888|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/10/1972|0|0|0|0|0|0
Philadelphia Regional Office| 104967|801-11312|OFI INSTITUTIONAL ASSET MANAGEMENT, INC.|TRINITY INVESTMENT MANAGEMENT CORPORATION|301 NORTH SPRING ST||BELLEFONTE PA 16823|USA|||  ||ROBERT G. ZACK|212-323-0250|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters, Other|APPROVED|02/05/1976|0|21|1|0|0|0
Philadelphia Regional Office| 105026|801-34820|WHEATLAND ADVISORS INC|WHEATLAND ADVISORS INC|144 EAST CHESTNUT ST||LANCASTER PA 17602|USA|||  ||HEILIG, RICHARD PAUL|717-299-6090|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|07/20/1989|0|0|0|0|0|0
Philadelphia Regional Office| 105033|801-36476|GARDNER LEWIS ASSET MANAGEMENT LP|GARDNER LEWIS ASSET MANAGEMENT LP|285 WILMINGTON WEST CHESTER PIKE||CHADDS FORD PA 19317-9039|USA|||  ||WERNER, JUDY BABB|610-558-2800|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/02/1990|0|0|0|0|0|0
Philadelphia Regional Office| 105083|801-23441|YORKTOWN MANAGEMENT AND RESEARCH CO INC|YORKTOWN MANAGEMENT AND RESEARCH CO INC|2303 YORKTOWN AVE||LYNCHBURG VA 24501-2146|USA|||  ||FOSTER, CHARLES DOUGLAS|(434) 846-1361|Corporation|Portfolio management for investment companies|APPROVED|02/11/1985|0|0|0|0|0|0
Philadelphia Regional Office| 105099|801-21084|AMERICAN ASSET MANAGEMENT GROUP INC|AMERICAN ASSET MANAGEMENT GROUP INC|50 WEST MONTGOMERY AVE.|SUITE 260|ROCKVILLE MD 20850|USA|||  ||LAMB, GORDON B|301-251-1002|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/03/1984|0|0|0|0|0|0
Philadelphia Regional Office| 105103|801-20812|HUFF, STUART & CARLTON|MONEYWISE INC|2107 GRAVES MILL RD, STE C||FOREST VA 24551|USA|||  ||CARLTON, BRIAN R.|434-316-9356|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|03/16/1984|0|0|0|0|0|0
Philadelphia Regional Office| 105137|801-27918|INVESTMENT SCIENCES INC|INVESTMENT SCIENCES INC|261 OLD YORK ROAD, STE 623||JENKINTOWN PA 19046|USA|||  ||SHEPPARD II, CHARLES BRADFORD|215-885-1893|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/08/1986|0|0|0|0|0|0
Philadelphia Regional Office| 105138|801-34612|FEDERATED INVESTMENT MANAGEMENT COMPANY|FEDERATED INVESTMENT MANAGEMENT COMPANY|FEDERATED INVESTORS TOWER|1001 LIBERTY AVENUE|PITTSBURGH PA 15222-3779|USA|||  ||BRIAN P. BOUDA|(412)288-8634|Other (specify)|Portfolio management for investment companies|APPROVED|06/12/1989|0|2|0|0|0|0
Philadelphia Regional Office| 105139|801-16217|PASSPORT RESEARCH, LTD.|PASSPORT RESEARCH, LTD.|FEDERATED INVESTORS TOWER|1001 LIBERTY AVENUE|PITTSBURGH PA 15222-3779|USA|||  ||BRIAN P. BOUDA|(412)288-8634|Partnership|Portfolio management for investment companies|APPROVED|07/17/1981|0|43|8|0|0|0
Philadelphia Regional Office| 105142|801-6691|LB&C|LOWE BROCKENBROUGH & CO INC|1802 BAYBERRY CT.|SUITE 400|RICHMOND VA 23226-3767|USA|||  ||REECE, PAGE|(804)288-0404|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/01/1970|0|0|0|0|0|0
Philadelphia Regional Office| 105146|801-24593|SEI INVESTMENTS MANAGEMENT CORP|SEI INVESTMENTS MANAGEMENT CORP|ONE FREEDOM VALLEY DRIVE||OAKS PA 19456|USA|||  ||CAROL DOLAN|(610) 676-3390|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies|APPROVED|06/27/1985|0|1|0|0|0|0
Philadelphia Regional Office| 105163|801-22071|RODNEY SQUARE MANAGEMENT CORP|RODNEY SQUARE MANAGEMENT CORP|1100 NORTH MARKET STREET||WILMINGTON DE 19890-0001|USA|||  ||BENCROWSKY, ANNA M.|302-651-8512|Corporation|Portfolio management for investment companies, Selection of other advisers|APPROVED|09/17/1984|0|0|0|0|0|0
Philadelphia Regional Office| 105171|801-21425|REMBERT PENDLETON JACKSON|REMBERT GROUP, INC.|7647 LEESBURG PIKE||FALLS CHURCH VA 22043|USA|||  ||DONALD M.REMBERT|703-821-6655|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|06/01/1984|0|1|0|0|0|0
Philadelphia Regional Office| 105179|801-11364|DENT D F & CO INC|DENT D F & CO INC|2 EAST READ STREET, 6TH FLOOR||BALTIMORE MD 21202|USA|||  ||DENT, DANIEL FORBES|410 837-2544|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/15/1980|0|0|0|0|0|0
Philadelphia Regional Office| 105206|801-28022|DAVIDSON & GARRARD INC|DAVIDSON & GARRARD INC|810 MAIN ST||LYNCHBURG VA 24504|USA|||  ||PETTYJOHN, THOMAS W. JR.|434-847-6600|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/10/1986|0|0|0|0|0|0
Philadelphia Regional Office| 105211|801-23924|BURT ASSOCIATES, INCORPORATED|BURT ASSOCIATES, INCORPORATED|6010 EXECUTIVE BLVD|SUITE 900|ROCKVILLE MD 20852|USA|||  ||CORNELIUS, FREDERICK JOSEPH|301-770-9880|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|04/23/1985|0|0|0|0|0|0
Philadelphia Regional Office| 105213|801-34173|CARMICHAEL HILL & ASSOCIATES INC|CARMICHAEL HILL & ASSOCIATES INC|18 EAST DIAMOND AVE||GAITHERSBURG MD 20877|USA|||  ||STEWART, JAMES HOWARD|301-217-9300|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/13/1989|0|0|0|0|0|0
Philadelphia Regional Office| 105240|801-27432|VANTAGE CONSULTING GROUP INC|VANTAGE CONSULTING GROUP INC|3500 PACIFIC AVE||VIRGINIA BEACH VA 23451|USA|||  ||COLE, RUTH BELL|757-491-1200|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|07/17/1986|0|1|0|0|0|0
Philadelphia Regional Office| 105244|801-33743|OLD DOMINION CAPITAL MANAGEMENT INC.|OLD DOMINION CAPITAL MANAGEMENT INC.|815 E. JEFFERSON STREET||CHARLOTTESVILLE VA 22902-5131|USA|||  ||BARRETT, MAUREE|434-977-1550|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/03/1989|0|0|0|0|0|0
Philadelphia Regional Office| 105257|801-454|BISHOP & ASSOCIATES INC|BISHOP & ASSOCIATES INC|1617 JOHN F KENNEDY BLVD|SUITE 480|PHILADELPHIA PA 19103|USA|||  ||KWIECINSKI, HENRY M|215-568-5450|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/01/1950|0|0|0|0|0|0
Philadelphia Regional Office| 105270|801-18765|THE FAMILY FIRM, INC.|THE FAMILY FIRM, INC.|8120 WOODMONT AVENUE|SUITE 630|BETHESDA MD 20814|USA|||  ||MALGOIRE, MARY ANN|301-656-3999|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/11/1983|0|0|0|0|0|0
Philadelphia Regional Office| 105289|801-27973|WAGNER CAPITAL MANAGEMENT CORP|WAGNER CAPITAL MANAGEMENT CORP|1838 GREENE TREE RD. STE 280||BALTIMORE MD 21208|USA|||  ||SULLIVAN, CAROL N.|410-653-7979|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/03/1986|0|1|0|0|0|0
Philadelphia Regional Office| 105311|801-16947|KALMAR INVESTMENTS INC|KALMAR INVESTMENTS INC|BARLEY MILL HOUSE|3701 KENNETT PIKE|WILMINGTON DE 19807|USA|||  ||MARJORIE L. MCMENAMIN|302-658-7575|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/19/1982|0|1|0|0|0|0
Philadelphia Regional Office| 105325|801-34611|FEDERATED INVESTMENT COUNSELING|FEDERATED INVESTMENT COUNSELING|FEDERATED INVESTORS TOWER|1001 LIBERTY AVENUE|PITTSBURGH PA 15222-3779|USA|||  ||BRIAN P. BOUDA|(412)288-8634|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|06/12/1989|0|0|0|0|0|0
Philadelphia Regional Office| 105350|801-16929|LAW & ASSOCIATES INC|LAW & ASSOCIATES INC|6111 TULANE AVE||GLEN ECHO MD 20812-1205|USA|||  ||LAW, SALLY E.|301.229.8500|Corporation|Financial planning services, Selection of other advisers|APPROVED|03/22/1982|0|0|0|0|0|0
Philadelphia Regional Office| 105390|801-32108|DELAWARE MANAGEMENT BUSINESS TRUST|DELAWARE MANAGEMENT BUSINESS TRUST|2005 MARKET STREET||PHILADELPHIA PA 19103-7098|USA|||  ||BRIAN L. MURRAY JR|215-255-2369|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/31/1988|0|4|2|0|0|0
Philadelphia Regional Office| 105391|801-26332|PHILADELPHIA INVESTMENT MANAGEMENT CO|PHILADELPHIA INVESTMENT MANAGEMENT CO|105 CLARKE AVENUE||POCOMOKE MD 21851|USA|||  ||STEWART, WANDA M.|410-957-4181|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|02/03/1986|0|1|0|0|0|0
Philadelphia Regional Office| 105399|801-27724|MARVIN & PALMER ASSOCIATES|MARVIN & PALMER ASSOCIATES|1201 N MARKET STREET, STE 2300||WILMINGTON DE 19801-1165|USA|||  ||HAHN, GILBERT|302-573-3570|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|08/29/1986|0|1|0|0|0|0
Philadelphia Regional Office| 105403|801-32688|HIRTLE CALLAGHAN & CO INC|HIRTLE CALLAGHAN & CO INC|FIVE TOWER BRIDGE, 300 BARR HARBOR DRIVE|SUITE 500|WEST CONSHOHOCKEN PA 19428-2998|USA|||  ||RHONDA L. FELL, ESQUIRE|610-828-7200|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/19/1988|0|1|0|0|0|0
Philadelphia Regional Office| 105405|801-28675|CORNERSTONE FINANCIAL CONSULTANTS LTD|CORNERSTONE FINANCIAL CONSULTANTS LTD|74 WEST BROAD STREET|SUITE 340|BETHLEHEM PA 18018|USA|||  ||DONNA MARIE HUMPHREY|(610) 694-0900|Corporation|Other|APPROVED|02/27/1987|0|0|1|0|0|0
Philadelphia Regional Office| 105410|801-26083|WILLIS INVESTMENT MANAGEMENT CO|WILLIS INVESTMENT MANAGEMENT CO|501 FAULCONER DR., STE 2B||CHARLOTTESVILLE VA 22903-4980|USA|||  ||WILLIS, JAMES HULL|(434)977-3348|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|12/30/1985|0|0|0|0|0|0
Philadelphia Regional Office| 105413|801-31311|POTOMAC FUND MANAGEMENT|POTOMAC FUND MANAGEMENT INC|21 N. HANSON ST|SUITE 203|EASTON MD 21601|USA|||  ||PALAMARAS, MARK JAMES|1-888-768-6622|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|02/04/1988|0|0|0|0|0|0
Philadelphia Regional Office| 105417|801-30150|MONTGOMERY INVESTMENT MANAGEMENT INC|MONTGOMERY INVESTMENT MANAGEMENT INC|6550 ROCK SPRING DRIVE|STE 600A|BETHESDA MD 20817|USA|||  ||MURPHY, LAURA|301-897-9783|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/06/1987|0|1|0|0|0|0
Philadelphia Regional Office| 105444|801-19358|THE EDGAR LOMAX COMPANY|THE EDGAR LOMAX COMPANY|6564 LOISDALE CT, SUITE 310||SPRINGFIELD VA 22150|USA|||  ||THOMAS B. MURRAY|703-719-0026|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/28/1983|0|0|0|0|0|0
Philadelphia Regional Office| 105449|801-14713|T ROWE PRICE INTERNATIONAL, INC|T ROWE PRICE INTERNATIONAL, INC|100 EAST PRATT STREET||BALTIMORE MD 21202|USA|||  ||DAVID OESTREICHER|410-345-2628|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|07/12/1979|0|0|9|0|0|0
Philadelphia Regional Office| 105496|801-856|T. ROWE PRICE ASSOCIATES, INC.|T. ROWE PRICE ASSOCIATES, INC.|100 EAST PRATT STREET||BALTIMORE MD 21202|UNITED STATES|||  ||DAVID OESTREICHER|410-345-2628|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|03/29/1947|0|0|9|0|0|0
Philadelphia Regional Office| 105510|801-19548|HENRY H. ARMSTRONG ASSOCIATES, INC.|HENRY H. ARMSTRONG ASSOCIATES, INC.|ONE GATEWAY CENTER|420 FT. DUQUESNE BLVD, STE 1825|PITTSBURGH PA 15222|USA|||  ||WNOROWSKI, NOREEN|412-471-1551|Corporation|Portfolio management for individuals and/or small businesses, Other|APPROVED|07/29/1983|0|0|0|0|0|0
Philadelphia Regional Office| 105512|801-17044|CALVERT ASSET MANAGEMENT CO INC|CALVERT ASSET MANAGEMENT COMPANY, INC.|4550 MONTGOMERY AVE. STE 1000N||BETHESDA MD 20814|USA|||  ||LILLIE, EDITH|(301) 951-4881|Corporation|Portfolio management for investment companies, Selection of other advisers|APPROVED|04/29/1982|0|4|5|0|0|0
Philadelphia Regional Office| 105542|801-5336|GROWTH STOCK OUTLOOK, INC|GROWTH STOCK OUTLOOK INC|4405 EAST WEST HIGHWAY||BETHESDA MD 20814|USA|||  ||RAKOCZY, JANET|301-654-5205|Corporation|Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|01/08/1969|0|0|0|0|0|0
Philadelphia Regional Office| 105545|801-22950|ARONSON+JOHNSON+ORTIZ|ARONSON+JOHNSON+ORTIZ, LP|230 SOUTH BROAD STREET|TWENTIETH FLOOR|PHILADELPHIA PA 19102-4121|USA|||  ||JOSEPH F. DIETRICK|215-546-7500|Other (specify)|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/11/1984|0|0|0|0|0|0
Philadelphia Regional Office| 105561|801-32380|CROFT LEOMINSTER INC|CROFT LEOMINSTER INC|THE CANTON HOUSE|300 WATER STREET|BALTIMORE MD 21202|USA|||  ||CROFT, KENT G.|410-576-0100|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/11/1988|0|0|0|0|0|0
Philadelphia Regional Office| 105565|801-29609|BUCKLEY MUETHING CAPITAL MANAGEMENT CO|BUCKLEY MUETHING CAPITAL MANAGEMENT CO|ONE BETHLEHEM PLAZA||BETHLEHEM PA 18018|USA|||  ||MUETHING DAVID LAWRENCE|610 694-9500|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/22/1987|0|1|0|0|0|0
Philadelphia Regional Office| 105608|801-24354|LAU ASSOCIATES LLC|LAU ASSOCIATES LLC|300 BELLEVUE PKWY|SUITE 200|WILMINGTON DE 19809|USA|||  ||JACOB D. WEAVER|302-792-5955|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|06/11/1985|0|0|0|0|0|0
Philadelphia Regional Office| 105618|801-33311|SPECTRUM FINANCIAL INC|SPECTRUM FINANCIAL INC|2940 N LYNNHAVEN ROAD, SUITE 200||VIRGINIA BEACH VA 23452|USA|P.O. BOX 9178||VIRGINIA BEACH VA 23450||COLLINS, MARY K|757-463-7600|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|12/30/1988|0|1|0|0|0|0
Philadelphia Regional Office| 105633|801-19287|BROWN CAPITAL MANAGEMENT INC|BROWN CAPITAL MANAGEMENT INC|1201 N CALVERT ST||BALTIMORE MD 21202-3908|USA|||  ||COURTNEY, DONNA LEE|410-837-3234|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/14/1983|0|0|0|0|0|0
Philadelphia Regional Office| 105650|801-23685|GODSEY & GIBB ASSOCIATES|GODSEY & GIBB INC|6802 PARAGON PL, STE 201||RICHMOND VA 23230|USA|||  ||KEN BURROW|(804) 285-7333|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/05/1985|0|0|0|0|0|0
Philadelphia Regional Office| 105708|801-16856|LANHAM ODELL & CO INC|LANHAM ODELL & CO INC|3981 TEAYS VALLEY RD||HURRICANE WV 25526|USA|PO BOX 537||HURRICANE WV 25526|USA|LANTZ, SHARON A|(304) 757-8131|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/10/1982|0|0|0|0|0|0
Philadelphia Regional Office| 105718|801-24187|FLIPPIN BRUCE & PORTER INC|FLIPPIN BRUCE & PORTER INC|APPALACHIAN BUILDING, 2ND FL|800 MAIN STREET|LYNCHBURG VA 24504-1508|USA|P.O. BOX 6138||LYNCBHURG VA 24505-6138|USA|BLEVINS, ROBERT WYNN|434 522 7236|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|04/26/1985|0|3|0|0|0|0
Philadelphia Regional Office| 105726|801-6273|THOMPSON SIEGEL & WALMSLEY LLC|THOMPSON SIEGEL & WALMSLEY LLC|6806 PARAGON PLACE|SUITE 300|RICHMOND VA 23230|USA|P.O. BOX 6883||RICHMOND VA 23230|USA|ANDERSON, LORI NARDULLI|804-353-4500 X348|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/17/1970|0|1|0|0|0|0
Philadelphia Regional Office| 105727|801-30830|ASSET PLANNING SERVICES LTD.|ASSET PLANNING SERVICES LTD.|162 MAIN STREET|PO BOX 164|HARLEYSVILLE PA 19438|USA|||  ||CLARK, CHRISTINE C|215-256-4600|Other (specify)|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|11/06/1987|0|0|0|0|0|0
Philadelphia Regional Office| 105730|801-16383|POTOMAC ASSET MANAGEMENT CO INC|POTOMAC ASSET MANAGEMENT CO INC|5 SOUTH MARKET STREET|4TH FLOOR|FREDERICK MD 21701|USA|||  ||GOODLOE E. BYRON, JR.|301.695.9229|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Publication of periodicals or newsletters|APPROVED|08/21/1981|0|1|0|0|0|0
Philadelphia Regional Office| 105762|801-8984|VALLEY FORGE MANAGEMENT CORP|VALLEY FORGE MANAGEMENT CORP|1375 ANTHONY WAYNE DR||WAYNE PA 19087|USA|||  ||KLAWANS, BERNARD BERTRAM|610-688-6839|Corporation|Portfolio management for investment companies|APPROVED|12/16/1972|0|0|0|0|0|0
Philadelphia Regional Office| 105770|801-35231|HYATT CAPITAL MANAGEMENT|HYATT GARY LEE|1515 WEST CHESTER PIKE B3||WEST CHESTER PA 19382|USA|||  ||HYATT, GARY L|610-696-6900|Sole Proprietorship|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/28/1989|0|0|0|0|0|0
Philadelphia Regional Office| 105776|801-13304|BLACKROCK INSTITUTIONAL MANAGEMENT CORPORATION|BLACKROCK INSTITUTIONAL MANAGEMENT CORPORATION|100 BELLEVUE PARKWAY||WILMINGTON DE 19809|USA|||  ||BATTISTA, BARTHOLOMEW|212-810-3423|Corporation|Portfolio management for investment companies|APPROVED|09/08/1977|1|3|2|0|0|0
Philadelphia Regional Office| 105783|801-35435|TOWERS PERRIN|TOWERS, PERRIN, FORSTER & CROSBY, INC.|1500 MARKET STREET|CENTRE SQUARE EAST|PHILADELPHIA PA 19102|USA|||  ||BROOKS, PATRICIA A.|215/246-7383|Corporation|Pension consulting services, Selection of other advisers|APPROVED|09/24/1990|0|1|0|0|0|0
Philadelphia Regional Office| 105818|801-8629|TORRAY LLC|TORRAY LLC|7501 WISCONSIN AVENUE|SUITE 1100|BETHESDA MD 20814-6523|USA|||  ||WILLIAM M LANE|(301)493-4600|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/12/1972|0|0|0|0|0|0
Philadelphia Regional Office| 105837|801-41552|WELLINGTON CONSULTING SERVICES INC|WELLINGTON CONSULTING SERVICES INC|14325 WILLARD ROAD|SUITE 104|CHANTILLY VA 20151|USA|||  ||JONES, PETER EVERINGTON|(703) 802-2300|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|06/01/1992|0|0|1|0|0|0
Philadelphia Regional Office| 105840|801-20503|AFFINITY WEALTH MANAGEMENT, INC.|AFFINITY WEALTH MANAGEMENT, INC.|1702 LOVERING AVENUE||WILMINGTON DE 19806|USA|||  ||KELLY,VICKEY M.|302-254-6105|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|02/03/1984|0|1|0|0|0|0
Philadelphia Regional Office| 105846|801-47835|WEST CHESTER CAPITAL ADVISORS INC|WEST CHESTER CAPITAL ADVISORS INC|106 SOUTH CHURCH STREET||WEST CHESTER PA 19382-3231|USA|||  ||MARY ANN RAYMOND|610-692-4905|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters, Other|APPROVED|11/14/1994|0|0|0|0|0|0
Philadelphia Regional Office| 105858|801-53649|BROOKSTONE ADVISORY INC|BROOKSTONE ADVISORY INC|3704 NORTH CHARLES ST.|UNIT 605|BALTIMORE MD 21218|USA|||  ||MAZUR, LEONARD MARTIN|941-383-4893|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/17/1997|0|0|0|0|0|0
Philadelphia Regional Office| 105861|801-51681|SCOTT JAMES GROUP|JAMES SCOTT S CO|6700 ARLINGTON BLVD||FALLS CHURCH VA 22042|USA|||  ||JAMES, SCOTT SNYDER|703-533-2500|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/23/1996|0|0|0|0|0|0
Philadelphia Regional Office| 105865|801-31703|CAPITAL PLANNING ADVISORY GROUP INC|CAPITAL PLANNING ADVISORY GROUP INC|708 FLORAL VALE BLVD||YARDLEY PA 19067|USA|||  ||GRIFFIN, DONALD J.|215-579-5760|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Publication of periodicals or newsletters|APPROVED|04/15/1988|0|0|0|0|0|0
Philadelphia Regional Office| 105872|801-14429|BOWMAN FINANCIAL MANAGEMENT|BOWMAN FINANCIAL MANAGEMENT CO INC|1330 F SMITH AVENUE||BALTIMORE MD 21209|USA|||  ||BOWMAN, CLARK W|410-433-1900|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/12/1979|0|0|0|0|0|0
Philadelphia Regional Office| 105876|801-32090|TRENDLINE CAPITAL MANAGEMENT|TRENDLINE RESEARCH & MANAGEMENT CORP|9020 STONY POINT PKWY|STE 100|RICHMOND VA 23235|USA|||  ||DEMENT, NANCY E.|(804) 323-9100|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/19/1988|0|4|0|0|0|0
Philadelphia Regional Office| 105886|801-62887|MILLS VALUE ADVISER INC|MILLS VALUE ADVISER INC|707 E. MAIN STREET|20TH FLOOR|RICHMOND VA 23219|USA|P.O. BOX 1459||RICHMOND VA 23218-1459|USA|BROWN, BRADLEY ALLAN|804-344-3532|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/26/2004|0|17|1|0|0|0
Philadelphia Regional Office| 105890|801-48262|MORRIS CAPITAL ADVISORS INC|MORRIS CAPITAL ADVISORS INC|15 CHESTER COMMONS||MALVERN PA 19355|USA|||  ||MORRIS, DANIEL A|610-722-0900|Limited Liability Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/24/1995|0|0|0|0|0|0
Philadelphia Regional Office| 105892|801-31556|INDEPENDENT FIDUCIARY SERVICES, INC.|INDEPENDENT FIDUCIARY SERVICES, INC.|805 15TH STREET NW|SUITE 1120|WASHINGTON DC 20005|USA|||  ||NATALIE KOSSAK|973-424-6400|Corporation|Pension consulting services, Selection of other advisers, Other|APPROVED|03/04/1988|0|0|0|0|0|0
Philadelphia Regional Office| 105893|801-33567|ECA INVESTMENT GROUP INC|ECA INVESTMENT GROUP INC|224 ST CHARLES WAY|SUITE 100|YORK PA 17402|USA|||  ||SELBY, BRIAN D|717-718-1600|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|12/29/1988|0|0|0|0|0|0
Philadelphia Regional Office| 105903|801-30898|CAPITAL MANAGEMENT SERVICES INC|CAPITAL MANAGEMENT SERVICES INC|STRAFFORD BLDG FOUR, STE 300|175 STRAFFORD AVENUE|WAYNE PA 19087-3333|USA|P.O. BOX 433||SOUTHEASTERN PA 19399-0433|USA|JENNIFER A. GARRETT, CFA|610-254-0001|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|11/19/1987|0|0|0|0|0|0
Philadelphia Regional Office| 105914|801-47333|PINENO LEVIN & FORD ASSET MANAGEMENT, INC.|PINENO LEVIN & FORD ASSET MANAGEMENT, INC.|7204 GLEN FOREST DRIVE|SUITE 103|RICHMOND VA 23226|USA|||  ||LEVIN, JEFFREY DAVID|804-288-3772|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/25/1994|0|0|0|0|0|0
Philadelphia Regional Office| 105920|801-47250|MCGLINN CAPITAL MANAGEMENT INC|MCGLINN CAPITAL MANAGEMENT INC|850 NORTH WYOMISSING BLVD||WYOMISSING PA 19610-0158|USA|||  ||MICHAEL MCGLINN|610-374-5125|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/30/1994|0|0|0|0|0|0
Philadelphia Regional Office| 105930|801-35030|DECLARATION MANAGEMENT & RESEARCH LLC|DECLARATION MANAGEMENT & RESEARCH LLC|1800 TYSONS BOULEVARD|SUITE 200|MCLEAN VA 22102-4858|USA|||  ||CAROLE R. PARKER|703-749-8240|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/18/1989|0|31|1|0|0|0
Philadelphia Regional Office| 105931|801-50257|THE CAVANAUGH GROUP INC|THE CAVANAUGH GROUP INC|100 W PENNSYLVANIA AVE|SUITE 304|TOWSON MD 21204|USA|||  ||KEITH, JESSICA PHELPS|410-583-0850|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|09/29/1995|0|0|0|0|0|0
Philadelphia Regional Office| 105933|801-49300|DARTMOUTH CAPITAL ADVISORS, INC.|DARTMOUTH CAPITAL ADVISORS, INC.|750 STONEGATE DRIVE||WEXFORD PA 15090|USA|||  ||MELVIN, GREGORY MARK|724-934-5065|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Market timing services|APPROVED|06/27/1995|0|0|0|0|0|0
Philadelphia Regional Office| 105936|801-48894|THE GWYNEDD COMPANY|THE GWYNEDD COMPANY|1100 SUMNEYTOWN PIKE||LANSDALE PA 19446|USA|||  ||BARNES EDWARD JOSEPH|215-855-1630|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|05/19/1995|0|0|0|0|0|0
Philadelphia Regional Office| 105942|801-50400|PIERMANI CHARLES J ASSOCIATES|PIERMANI CHARLES J ASSOCIATES|2240 DEKALB PIKE||NORRISTOWN PA 19401|USA|||  ||PIERMANI, CHARLES J|610-275-7544|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|11/17/1995|0|0|0|0|0|0
Philadelphia Regional Office| 105954|801-36220|TURNER INVESTMENT PARTNERS INC|TURNER INVESTMENT PARTNERS INC|1205 WESTLAKES DR|SUITE 100|BERWYN PA 19312-2414|USA|||  ||MCNALLY, BRIAN F.|484-329-2425|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/05/1990|0|1|0|0|0|0
Philadelphia Regional Office| 105958|801-11953|VANGUARD GROUP INC|THE VANGUARD GROUP, INC.|100 VANGUARD BLVD|V26|MALVERN PA 19355|USA|||  ||MENDELSON, BARRY|610-503-2398|Corporation|Portfolio management for investment companies, Selection of other advisers, Publication of periodicals or newsletters, Other|APPROVED|08/23/1976|0|1|0|0|0|0
Philadelphia Regional Office| 105978|801-25266|SANTORI & PETERS|SANTORI & PETERS|3824 NORTHERN PIKE|SUITE 450|MONROEVILLE PA 15146|USA|||  ||PETERS, MARIA E|412-373-6904|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/24/1985|0|0|0|0|0|0
Philadelphia Regional Office| 105985|801-39145|ADRIAN DAY ASSET MANAGEMENT|GLOBAL STRATEGIC MANAGEMENT INC|801 COMPASS WAY, SUITE 207||ANNAPOLIS MD 21401|USA|P.O. BOX 6643||ANNAPOLIS MD 21401|U.S.A.|BARTEL, CLAYTON|410-224-2037|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/26/1991|0|2|2|0|0|0
Philadelphia Regional Office| 105989|801-29752|WESCOTT FINANCIAL ADVISORY GROUP LLC|WESCOTT FINANCIAL ADVISORY GROUP LLC|30 SOUTH 17TH STREET||PHILADELPHIA PA 19103-4196|USA|||  ||RAWDIN, GRANT|215-979-1600|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|06/11/1987|0|0|0|0|0|0
Philadelphia Regional Office| 106015|801-30694|TRUSTMONT ADVISORY GROUP, INC.|TRUSTMONT ADVISORY GROUP, INC.|SCENIC DRIVE PROFESSIONAL CENTER|200 BRUSH RUN ROAD, SUITE A|GREENSBURG PA 15601|USA|||  ||ALICIA L. WALKER|724-468-5665 X 115|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|11/27/1987|0|0|0|0|0|0
Philadelphia Regional Office| 106019|801-38491|ROFFMAN MILLER ASSOCIATES INC|ROFFMAN MILLLER ASSOCIATES INC|1835 MARKET STREET|SUITE 500|PHILADELPHIA PA 19103|USA|||  ||GREENWELL, F PAULETTE|215-981-1030|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|03/22/1991|0|0|0|0|0|0
Philadelphia Regional Office| 106024|801-39091|ALEXANDER RANDOLPH ADVISORY INC|ALEXANDER RANDOLPH ADVISORY INC|1902 CAMPUS COMMONS DRIVE|SUITE 410|RESTON VA 20191|USA|||  ||SCHLAFFER, GARY|703-734-1507|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|06/26/1991|0|1|0|0|0|0
Philadelphia Regional Office| 106060|801-37972|WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC|WILBANKS, SMITH & THOMAS ASSET MANAGEMENT, LLC|150 WEST MAIN STREET|STE 1700|NORFOLK VA 23510|USA|||  ||OVERTON, NANCY L.|757-623-3676|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Market timing services|APPROVED|11/30/1990|0|0|0|0|0|0
Philadelphia Regional Office| 106088|801-38204|ROBBINS WEALTH MANAGEMENT|ROBBINS FINANCIAL ADVISORY SERVICE INC|3624 WEST 12TH STREET||ERIE PA 16505-3503|USA|||  ||ROBBINS,JAMES HARRISON|814-838-4185|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|01/31/1991|0|0|0|0|0|0
Philadelphia Regional Office| 106098|801-50655|BROWN ADVISORY INCORPORATED|BROWN INVESTMENT ADVISORY INCORPORATED|901 SOUTH BOND STREET, SUITE 400||BALTIMORE MD 21231-3340|USA|||  ||VENTURA, PATRICK J|410-537-5517|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|11/28/1995|0|0|0|0|0|0
Philadelphia Regional Office| 106108|801-52378|LOCKWOOD ADVISORS INC|LOCKWOOD ADVISORS INC|10 VALLEY STREAM PARKWAY||MALVERN PA 19355|USA|||  ||MICHELLE M. LOGUE|610-651-8836|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/15/1996|0|5|0|0|0|0
Philadelphia Regional Office| 106114|801-41357|GARDNER RUSSO & GARDNER|GARDNER RUSSO & GARDNER|223 EAST CHESTNUT STREET||LANCASTER PA 17602|USA|||  ||ANNE D. GARDNER|717.299.1385|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/01/1992|0|5|0|0|0|0
Philadelphia Regional Office| 106128|801-51306|TURNER INVESTMENT MANAGEMENT, LLC|TURNER INVESTMENT MANAGEMENT, LLC|1205 WESTLAKES DRIVE|SUITE 100|BERWYN PA 19312|USA|||  ||BRIAN F. MCNALLY|484-329-2425|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/15/1996|0|0|0|0|0|0
Philadelphia Regional Office| 106129|801-37183|RKM ADVISORS INC|RKM ADVISORS INC|21 SOUTH HIGH STREET|STE 100|WEST CHESTER PA 19382-3257|USA|||  ||MAY, JULIE C.|610-696-3689|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|09/13/1990|0|0|0|0|0|0
Philadelphia Regional Office| 106153|801-44977|GDM ADVISORY GROUP LTD|GDM ADVISORY GROUP LTD|123 OLD YORK ROAD|SUITE 200|JENKINTOWN PA 19046|USA|||  ||GLENN D MEYER|215-886-5800|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|10/15/1993|0|0|0|0|0|0
Philadelphia Regional Office| 106157|801-54124|CHARTWELL INVESTMENT PARTNERS|CHARTWELL INVESTMENT PARTNERS|1235 WESTLAKES DR|SUITE 400|BERWYN PA 19312|USA|||  ||HAGAR, G. GREGORY|610-296-1400|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/28/1997|0|1|0|0|0|0
Philadelphia Regional Office| 106197|801-41364|BRYN MAWR CAPITAL MANAGEMENT, INC.|BRYN MAWR CAPITAL MANAGEMENT INC|ONE TOWN PLACE|SUITE 200|BRYN MAWR PA 19010-3495|USA|||  ||MICHAEL W. FREELAND|484-380-8104|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/30/1992|0|0|0|0|0|0
Philadelphia Regional Office| 106256|801-49083|ING CLARION REAL ESTATE SECURITIES LP|ING CLARION REAL ESTATE SECURITIES LP|201 KING OF PRUSSIA ROAD, STE. 600||RADNOR PA 19087|USA|||  ||WILLIAM E. ZITELLI|610-995-8935|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/31/1995|0|1|0|0|0|0
Philadelphia Regional Office| 106259|801-39127|ACG ADVISORY SERVICES INC|ACG ADVISORY SERVICES INC|1640 HUGUENOT ROAD||MIDLOTHIAN VA 23113|USA|||  ||JOSEPH SAUNDERS WIGGINS|804.323.1886|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|06/26/1991|0|0|0|0|0|0
Philadelphia Regional Office| 106261|801-53667|SMITHBRIDGE ASSET MANAGEMENT INC|SMITHBRIDGE ASSET MANAGEMENT INC|5 CHRISTY DRIVE, SUITE 206||CHADDS FORD PA 19317|USA|||  ||HICKEN,KENDRA L|610-361-9141|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/16/1997|0|0|0|0|0|0
Philadelphia Regional Office| 106273|801-38734|STRATEGIC FIXED INCOME LLC|STRATEGIC FIXED INCOME LLC|1001 19TH STREET NORTH|SUITE 1400|ARLINGTON VA 22209|USA|||  ||ARCOLEO, PATRICIA MARIA|703-812-8300|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/18/1991|0|0|0|0|0|0
Philadelphia Regional Office| 106282|801-53608|KALMAR INVESTMENT ADVISERS|KALMAR INVESTMENT ADVISERS|BARLEY MILL HOUSE|3701 KENNETT PIKE|WILMINGTON DE 19807|USA|||  ||MARJORIE L. MCMENAMIN|302-658-7575|Other (specify)|Portfolio management for investment companies|APPROVED|01/09/1997|0|1|0|0|0|0
Philadelphia Regional Office| 106292|801-47108|CIM INVESTMENT MANAGEMENT INC|CIM INVESTMENT MANAGEMENT INC|1317 INVESTMENT BUILDING|239 4TH AVENUE|PITTSBURGH PA 15222|UNITED STATES|1317 INVESTMENT BUILDING|239 4TH AVENUE|PITTSBURGH PA 15222|UNITED STATES|EDWARD KLUMP|412.765.2771|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/28/1994|0|0|0|0|0|0
Philadelphia Regional Office| 106300|801-45852|MANGHAM ASSOCIATES, INC.|MANGHAM ASSOCIATES, INC.|630 PETER JEFFERSON PARKWAY|SUITE 250|CHARLOTTESVILLE VA 22911|USA|||  ||JOEL R. MANGHAM|434 973 2223|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|02/25/1994|0|0|0|0|0|0
Philadelphia Regional Office| 106314|801-40120|MATTHAI CAPITAL MANAGEMENT|MATTHAI & ASSOCIATES INC|5430 CAMPBELL BOULEVARD, SUITE 207||WHITE MARSH MD 21162-5504|USA|||  ||MATTHAI, GEORGE MILLHOLLAND|(410) 823-1002|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|11/04/1991|0|0|0|0|0|0
Philadelphia Regional Office| 106329|801-43006|TUCKER HARGROVE MANAGEMENT INC|TUCKER HARGROVE MANAGEMENT INC|202 N MONROE ST||MEDIA PA 19063|USA|P O BOX 669||MEDIA PA 19063|USA|HARGROVE, DAVID R|610-891-1444|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/30/1992|0|0|0|0|0|0
Philadelphia Regional Office| 106350|801-43489|RYDEX INVESTMENTS|PADCO ADVISORS INC|9601 BLACKWELL ROAD|STE 500|ROCKVILLE MD 20850|USA|||  ||HAIGNEY, JOANNA|301-296-5241|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/10/1993|0|2|0|0|0|0
Philadelphia Regional Office| 106351|801-47225|RYDEX INVESTMENTS|PADCO ADVISORS II INC|9601 BLACKWELL ROAD|STE 500|ROCKVILLE MD 20850|USA|||  ||HAIGNEY, JOANNA|301-296-5241|Corporation|Portfolio management for investment companies, Selection of other advisers|APPROVED|08/12/1994|0|2|0|0|0|0
Philadelphia Regional Office| 106375|801-47290|SIGNATURE FINANCIAL MANAGEMENT INC|SIGNATURE FINANCIAL MANAGEMENT INC|150 WEST MAIN STREET, STE 1550||NORFOLK VA 23510-1676|USA|||  ||RUCKER, DONNA S.|757-625-7670|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|09/06/1994|0|0|0|0|0|0
Philadelphia Regional Office| 106392|801-39326|VIRGINIA CAPITAL MANAGEMENT GROUP INC|VIRGINIA CAPITAL MANAGEMENT GROUP INC|806 NEWTOWN ROAD||VIRGINIA BEACH VA 23462|USA|||  ||BERRY, WAYNE CHARLES|757-519-9665|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/02/1991|0|1|0|0|0|0
Philadelphia Regional Office| 106403|801-13803|THE PETTYJOHN COMPANY|PETTYJOHN CO|1925 ATHERHOLT ROAD||LYNCHBURG VA 24501|USA|P. O. BOX 310||LYNCHBURG VA 24505|U.S.A.|DOYLE, JOHN D JR|434-845-1266|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/10/1978|0|0|0|0|0|0
Philadelphia Regional Office| 106410|801-39857|GODSHALK ERIC M & CO|ERIC M. GODSHALK & CO.|170 N. RADNOR CHESTER RD|SUITE 100|RADNOR PA 19087-5221|USA|||  ||GODSHALK, ERIC M|610-971-0202|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/18/1991|0|0|0|0|0|0
Philadelphia Regional Office| 106415|801-48749|HORAN CAPITAL MANAGEMENT,LLC|HORAN CAPITAL MANAGEMENT,LLC|2800 QUARRY LAKE DRIVE|SUITE 220|BALTIMORE MD 21209|USA|||  ||PATRICK J. HORAN|410-494-4380 EXT 108|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/23/1995|0|0|0|0|0|0
Philadelphia Regional Office| 106438|801-37555|XPYRIA INVESTMENT ADVISORS, INC.|XPYRIA INVESTMENT ADVISORS, INC.|ONE GATEWAY CENTER, SUITE 600|420 FORT DUQUESNE BOULEVARD|PITTSBURGH PA 15222-1416|USA|||  ||JOHN H. CUMMINGS, JR.|412-232-3310|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|10/12/1990|0|0|0|0|0|0
Philadelphia Regional Office| 106460|801-8445|MITCHELL SINKLER & STARR|MITCHELL SINKLER & STARR INC|TWO PENN CENTER PLAZA|SUITE 1320|PHILADELPHIA PA 19102|USA|||  ||WILLIAM W. WYLIE, JR.|215-665-1450|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/08/1972|0|0|0|0|0|0
Philadelphia Regional Office| 106499|801-40295|TPH ASSOCIATES|HOROSCHAK THEODORE|54 SADDLE DR||FURLONG PA 18925|USA|PO BOX 435||FURLONG PA 18925||HOROSCHAK, TED|215-345-5336|Sole Proprietorship|Portfolio management for individuals and/or small businesses, Other|APPROVED|12/03/1991|0|0|0|0|0|0
Philadelphia Regional Office| 106514|801-39261|ASSET MANAGEMENT PARTNERS INC|M.RAE RESOURCES, INC.|1605 VALLEY CENTER PARKWAY|SUITE 140|BETHLEHEM PA 18017|USA|||  ||JOHN BREW|610-332-0440|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|07/03/1991|0|0|0|0|0|0
Philadelphia Regional Office| 106516|801-37238|SNOW CAPITAL MANAGEMENT, L.P.|SNOW CAPITAL MANAGEMENT, L.P.|2100 GEORGETOWNE DRIVE|SUITE 400|SEWICKLEY PA 15143|USA|||  ||VUONO, CARL|724-934-5800|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/24/1990|0|0|0|0|0|0
Philadelphia Regional Office| 106562|801-18394|RITTENHOUSE ASSET MANAGEMENT, INC.|RITTENHOUSE ASSET MANAGEMENT, INC.|FIVE RADNOR CORPORATE CENTER|100 MATSONFORD ROAD, SUITE 300|RADNOR PA 19087-4599|USA|||  ||MARY E. KEEFE|312-917-7868|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/26/1983|0|2|0|0|0|0
Philadelphia Regional Office| 106565|801-50875|OAK FOREST INVESTMENT MANAGEMENT INC|OAK FOREST INVESTMENT MANAGEMENT INC|9705 CARMEL COURT||BETHESDA MD 20817|USA|||  ||WEINSTEIN, JAY M|301-530-9201|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/26/1996|0|0|0|0|0|0
Philadelphia Regional Office| 106566|801-45493|CASSADAY & CO INC|CASSADAY & CO INC|8180 GREENSBORO DRIVE, SUITE 1180||MCLEAN VA 22102|USA|||  ||STEWART, LINDA G|703-506-8200|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|12/28/1993|0|0|0|0|0|0
Philadelphia Regional Office| 106571|801-51348|SUMNER FINANCIAL ADVISORS INC|SUMNER FINANCIAL ADVISORS INC|8314 COMANCHE COURT||BETHESDA MD 20817|USA|||  ||LAUROESCH, JOHN GODFREY|301 767-6900|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|02/20/1996|0|0|0|0|0|0
Philadelphia Regional Office| 106576|801-19780|ARGYLE CAPITAL MANAGEMENT INC|ARGYLE CAPITAL MANAGEMENT INC|74 WEST MARKET STREET||BETHLEHEM PA 18018|USA|||  ||DONCHES,MARGARET M|610-997-3777|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|09/20/1983|0|0|0|0|0|0
Philadelphia Regional Office| 106582|801-52745|AVALON FINANCIAL MANAGEMENT|SCHIEL ARTHUR L|290 KING OF PRUSSIA ROAD|BUILDING #1, STE 304|RADNOR PA 19087|USA`|||  ||SCHIEL, ARTHUR L|610-293-8020|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|08/26/1996|0|0|0|0|0|0
Philadelphia Regional Office| 106614|801-47710|BLACKROCK ADVISORS, LLC|BLACKROCK ADVISORS, LLC|100 BELLEVUE PARKWAY||WILMINGTON DE 19809|USA|||  ||BATTISTA, BARTHOLOMEW|212-810-3423|Corporation|Portfolio management for investment companies|APPROVED|11/01/1994|1|4|2|0|0|0
Philadelphia Regional Office| 106628|801-36371|ULLICO INVESTMENT ADVISORS, INC.|ULLICO INVESTMENT ADVISORS, INC.|1625 EYE STREET, NW|5TH FLOOR|WASHINGTON DC 20006|USA|||  ||HUMPHREY, CATHY ANN|202-682-7927|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/20/1990|0|1|2|0|0|0
Philadelphia Regional Office| 106650|801-3956|ARTHUR E SPELLISSY & ASSOCIATES INC|SPELLISSY ARTHUR E & ASSOCIATES INC|175 STRAFFORD AVE|SUITE 210|WAYNE PA 19087|USA|||  ||WEAVER, DONALD WESLEY|610-293-0700|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|03/23/1966|0|0|0|0|0|0
Philadelphia Regional Office| 106654|801-46604|LONDON CO OF VIRGINIA|LONDON CO OF VIRGINIA|1801 BAYBERRY COURT, SUITE 301||RICHMOND VA 23226|USA|||  ||GODDARD, STEPHEN MCCARTHY|804-775-0317|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/13/1994|0|0|0|0|0|0
Philadelphia Regional Office| 106657|801-53959|CAPRIN ASSET MANAGEMENT, LLC|CAPRIN ASSET MANAGEMENT LLC|7100 FOREST AVE. SUITE 303||RICHMOND VA 23226|USA|||  ||ADAM S. PLOTKIN|(804)648-4036|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/28/1997|0|0|0|0|0|0
Philadelphia Regional Office| 106658|801-48299|THE ELLERSON GROUP INC|THE ELLERSON GROUP INC|705 MELVIN AVE|SUITE 101|ANNAPOLIS MD 21401-1534|USA|||  ||JAMES PATTESON ELLERSON|410-280-3103|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|02/21/1995|0|0|0|0|0|0
Philadelphia Regional Office| 106662|801-45366|SCHREINER CAPITAL MANAGEMENT, INC.|SCHREINER CAPITAL MANAGEMENT, INC.|111 SUMMIT DRIVE; SUITE 100||EXTON PA 19341|USA|||  ||ROGER J. SCHREINER|610-524-7310|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters, Market timing services|APPROVED|12/06/1993|0|0|0|0|0|0
Philadelphia Regional Office| 106695|801-41562|FERGUSON, ANDREWS INVESTMENT ADVISERS, INC|FERGUSON ANDREWS INVESTMENT ADVISERS INC|1000 EDNAM CENTER, STE 200||CHARLOTTESVILLE VA 22903-4613|USA|P. O. BOX 5146||CHARLOTTESVILLE VA 22905-5146|USA|NEATHERY, JR., KENNETH LEE|434-293-7944|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|05/22/1992|0|0|0|0|0|0
Philadelphia Regional Office| 106710|801-48872|LIBERTY RIDGE CAPITAL|LIBERTY RIDGE CAPITAL, INC.|1205 WESTLAKES DRIVE|SUITE 230|BERWYN PA 19312|USA|||  ||STEPHEN MICHAEL WELLMAN|610 578-1430|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/03/1995|0|4|2|0|0|0
Philadelphia Regional Office| 106715|801-49601|VANGUARD ADVISERS INC|VANGUARD ADVISERS INC|100 VANGUARD BLVD V26||MALVERN PA 19355|USA|||  ||MENDELSON, BARRY|610-503-2398|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/28/1995|1|1|0|0|0|0
Philadelphia Regional Office| 106744|801-41983|KUEHL SHEPHERD KOZLOWSKI & ASSOCIATES, INC.|KUEHL SHEPHERD KOZLOWSKI & ASSOCIATES, INC.|823 E MAIN STREET, 14TH FL||RICHMOND VA 23219|USA|||  ||NANCY R. KUEHL|(804) 648-0014|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Other|APPROVED|07/01/1992|0|0|0|0|0|0
Philadelphia Regional Office| 106748|801-46836|HAUCK WEALTH MANAGEMENT|HAUCK EDWARD ALBERT|1712 GLENBROOK AVE||LANCASTER PA 17603-4567|USA|||  ||HAUCK,EDWARD ALBERT|717-293-7172|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/28/1994|0|0|0|0|0|0
Philadelphia Regional Office| 106754|801-21616|ALEX. BROWN INVESTMENT MANAGEMENT|ALEX. BROWN INVESTMENT MANAGEMENT, L L C|217 E REDWOOD ST|STE 1400|BALTIMORE MD 21202|USA|||  ||DENNEY, NANCY I|410-895-4826|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/27/1984|0|0|0|0|0|0
Philadelphia Regional Office| 106858|801-41651|VAN SANT & MEWSHAW, INC|VAN SANT & MEWSHAW, INC|THE FOXLEIGH BLDG|2330 W JOPPA ROAD, SUITE 201|LUTHERVILLE MD 21093|USA|P.O. BOX 687||BROOKLANDVILLE MD 21022-0687|USA|MEWSHAW, ROBERT FRANK|410-825-8844|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/05/1992|0|0|0|0|0|0
Philadelphia Regional Office| 106898|801-18829|FINANCIAL CONSULATE|THE FINANCIAL CONSULATE, INC|307 INTERNATIONAL CIRCLE|STE 250|HUNT VALLEY MD 21030|USA|||  ||HAYDEN, ROBERT|410.823.7283|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters, Other|APPROVED|04/29/1983|0|0|0|0|0|0
Philadelphia Regional Office| 106909|801-50883|MTB INVESTMENT ADVISORS, INC.|MTB INVESTMENT ADVISORS,INC.|100 E PRATT STREET, 17TH FLOOR||BALTIMORE MD 21202|USA|||  ||M. LYNN LANGLINAIS|410-986-5720|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|12/27/1995|0|1|0|0|0|0
Philadelphia Regional Office| 106930|801-37926|SCHUYLKILL CAPITAL MANAGEMENT, LLC|SCHUYLKILL CAPITAL MANAGEMENT, LLC|1629 LOCUST STREET|1ST FLOOR|PHILADELPHIA PA 19103|USA|||  ||HOWARD A. TRAUGER|215-735-0299|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|11/30/1990|0|1|0|0|0|0
Philadelphia Regional Office| 106945|801-10232|THE BURNEY COMPANY|THE BURNEY COMPANY|121 ROWELL COURT||FALLS CHURCH VA 22046|USA|157 INDIAN AVENUE||PORTSMOUTH RI 02871|USA|BURNEY, JOHN CROUSE|401-849-7986|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|09/18/1974|0|3|0|0|0|0
Philadelphia Regional Office| 106977|801-7190|ITS ASSET MANAGEMENT, L.P.|ITS ASSET MANAGEMENT LP|1720 WASHINGTON RD||WASHINGTON PA 15301-8919|USA|P O BOX 1260||WASHINGTON PA 15301-7260|USA|LAWRENCE, SANDRA D|724-745-2300|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/10/1971|0|2|2|0|0|0
Philadelphia Regional Office| 106980|801-43095|GRANT STREET ASSET MANAGEMENT INC|GRANT STREET ASSET MANAGEMENT INC|2600 BOYCE PLAZA II, STE 241||UPPER ST CLAIR PA 15241|USA|2600 BOYCE PLAZA II, STE 241||PITTSBURGH PA 15241|USA|PFEFFER, TERRY LEE|(412) 257-8060|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/14/1993|0|0|0|0|0|0
Philadelphia Regional Office| 106983|801-31359|URDANG CAPITAL MANAGEMENT INC|URDANG CAPITAL MANAGEMENT INC|630 W GERMANTOWN PIKE|STE 300|PLYMOUTH MEETING PA 19462|USA|||  ||LAW, R JOSEPH|610-818-4620|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/28/1988|0|0|0|0|0|0
Philadelphia Regional Office| 106991|801-51725|WALSKY INVESTMENT MANAGEMENT INC|WALSKY INVESTMENT MANAGEMENT INC|2650 WESTVIEW DRIVE||WYOMISSING PA 19610-1187|USA|||  ||WARD, ELIZABETH ANN|610-670-6918|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/17/1996|0|0|0|0|0|0
Philadelphia Regional Office| 106993|801-6211|CONNORS INVESTOR SERVICES INC|CONNORS INVESTOR SERVICES INC|1210 BROADCASTING ROAD|SUITE 200|WYOMISSING PA 19610-3213|USA|||  ||ZIDIK, LIDIA|610-376-7418|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/25/1969|0|0|0|0|0|0
Philadelphia Regional Office| 107021|801-30754|PROVIDENT WEALTH MANAGEMENT INC|PROVIDENT WEALTH MANAGEMENT INC|3527 WEST 26TH STREET||ERIE PA 16506|USA|||  ||SMITH, DAVID|(814) 455-7523|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|10/26/1987|0|0|0|0|0|0
Philadelphia Regional Office| 107024|801-35534|WOOD CAPITAL MANAGEMENT, INC.|WOOD CAPITAL MANAGEMENT INC|401 WASHINGTON AVENUE, SUITE 402||TOWSON MD 21204|USA|||  ||WOOD, ROBERT G.|410-296-8400|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/06/1989|0|0|0|0|0|0
Philadelphia Regional Office| 107039|801-40148|CAVANAUGH CAPITAL MANAGEMENT INC|CAVANAUGH CAPITAL MANAGEMENT INC|501 FAIRMOUNT AVENUE SUITE 300||BALTIMORE MD 21286|USA|||  ||CAVANAUGH, JOHN FRANCIS|410-769-6127|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|11/05/1991|0|0|0|0|0|0
Philadelphia Regional Office| 107041|801-24859|A. J. PERRY & CO.|A. J. PERRY & COMPANY, INC.|1039 ST. PAUL STREET||BALTIMORE MD 21202-2605|USA|||  ||PERRY III, ALBERT JOSEPH|410-539-1144|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|08/01/1985|0|0|0|0|0|0
Philadelphia Regional Office| 107054|801-56986|NICHOLSON DONALD W & ASSOCIATES LTD|NICHOLSON DONALD W & ASSOCIATES LTD|1403 SILVERSIDE RD|STE B|WILMINGTON DE 19810|USA|||  ||NICHOLSON, DONALD W|302-529-1500|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|11/26/1999|0|0|0|0|0|0
Philadelphia Regional Office| 107056|801-58069|THE SWARTHMORE GROUP, INC.|THE SWARTHMORE GROUP, INC.|1717 ARCH STREET|SUITE 3810|PHILADELPHIA PA 19103|USA|||  ||PAULA MANDLE|215-557-9300|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|11/03/2000|0|1|0|0|0|0
Philadelphia Regional Office| 107068|801-30452|WEIK INVESTMENT SERVICES, INC|WEIK INVESTMENT SERVICES, INC.|1075 BERKSHIRE BLVD|SUITE 825|WYOMISSING PA 19610-1227|USA|||  ||WEIK, THOMAS, WILBUR|610-376-2240|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/17/1987|0|0|0|0|0|0
Philadelphia Regional Office| 107077|801-54083|FARLAND CAPITAL,INC.|FARLAND CAPITAL INC|MORGAN SPRING 655 WICKLIFFE ROAD||BERRYVILLE VA 22611|USA|P. O. BOX 619||WINCHESTER VA 22604|USA|FARLAND, RICHARD ASHVILLE|540-955-1532|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/18/1997|0|0|0|0|0|0
Philadelphia Regional Office| 107092|801-40215|WILSON BENNETT CAPITAL MANAGEMENT INC|WILSON BENNETT CAPITAL MANAGEMENT INC|8270 GREENSBORO DRIVE|SUITE 400|MCLEAN VA 22102|USA|||  ||ROY KIM|703-584-3489|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/16/1991|0|1|0|0|0|0
Philadelphia Regional Office| 107094|801-37885|MARKEL-GAYNER ASSET MANAGEMENT CORPORATION|MARKEL-GAYNER ASSET MANAGEMENT CORPORATION|4521 HIGHWOODS PKWY||GLEN ALLEN VA 23060|USA|||  ||LINDA ROTZ|804-965-1717|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/07/1990|0|0|0|0|0|0
Philadelphia Regional Office| 107099|801-26821|MOUNT VERNON ASSOCIATES INC|MOUNT VERNON ASSOCIATES INC|6080 FALLS ROAD, SUITE 200||BALTIMORE MD 21209|USA|||  ||O'HARA, NANCY VAN DYKE|410-377-9780|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/24/1986|0|0|0|0|0|0
Philadelphia Regional Office| 107118|801-52862|STALEY CAPITAL ADVISERS INC|STALEY CAPITAL ADVISERS INC|ONE OXFORD CENTRE|STE 3950|PITTSBURGH PA 15219|USA|||  ||WOLFF-BRUCKER, LORI A.|412-261-6892|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|09/10/1996|0|0|1|0|0|0
Philadelphia Regional Office| 107133|801-41334|CATAWBA CAPITAL MANAGEMENT INC|CATAWBA CAPITAL MANAGEMENT INC|10 SOUTH JEFFERSON ST.,SUITE 1210||ROANOKE VA 24011|USA|P.O. BOX 1180||ROANOKE VA 24006-1180|USA|IRONS,RAYMOND JAY|540-342-1212|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/24/1992|0|0|0|0|0|0
Philadelphia Regional Office| 107145|801-44730|DUPONT CAPITAL MANAGEMENT|DUPONT CAPITAL MANAGEMENT CORP|DELAWARE CORPORATE CENTER|ONE RIGHTER PARKWAY, SUITE 3200|WILMINGTON DE 19803|USA|||  ||MICHAEL KRULIKOWSKI|302-477-6183|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|10/14/1993|0|0|0|0|0|0
Philadelphia Regional Office| 107176|801-48543|CHESAPEAKE ASSET MANAGEMENT CO INC|CHESAPEAKE ASSET MANAGEMENT CO INC|18310 MONTGOMERY VILLAGE AVENUE|SUITE 515|GAITHERSBURG MD 20879|USA|||  ||MUNDY, LINDA A.|301-527-0170|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/01/1995|0|0|0|0|0|0
Philadelphia Regional Office| 107208|801-38983|GEF MANAGEMENT CORPORATION|GEF MANAGEMENT CORPORATION|5471 WISCONSIN AVENUE|SUITE 300|CHEVY CHASE MD 20815|USA|||  ||KATIE VASILESCU|240-482-8931|Corporation|Other|APPROVED|06/03/1991|0|0|0|0|0|0
Philadelphia Regional Office| 107209|801-50212|OXFORD REAL ESTATE ADVISORS INC|OXFORD REAL ESTATE ADVISORS INC|ONE OXFORD CENTRE|SUITE 4500|PITTSBURGH PA 15219-6401|USA|||  ||CASTONGUAY, LAURENCE R|412-261-1500|Corporation|Pension consulting services, Other|APPROVED|09/29/1995|0|0|0|0|0|0
Philadelphia Regional Office| 107225|801-53320|FBR FUND ADVISERS INC|FBR FUND ADVISERS INC|1001 19TH STREET NORTH||ARLINGTON VA 22209|USA|||  ||CHIN,SOTHARA|703-469-1313|Corporation|Portfolio management for investment companies|APPROVED|11/19/1996|0|0|0|0|0|0
Philadelphia Regional Office| 107233|801-38171|RIGGS ASSET MANAGEMENT CO INC|RIGGS ASSET MANAGEMENT CO INC|8 W MARKET ST|STE 1120|WILKES BARRE PA 18701|USA|||  ||GRAHAM, ELIZABETH|570-823-3383|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/25/1991|0|0|0|0|0|0
Philadelphia Regional Office| 107246|801-26576|INVESTMENT MANAGEMENT CORPORATION|INVESTMENT MANAGEMENT CORPORATION|1940 ELECTRIC RD||ROANOKE VA 24018|USA|P.O. BOX 20339||ROANOKE VA 24018-0511|USA|ORR, BONNIE|(540)774-8899|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/14/1986|0|0|0|0|0|0
Philadelphia Regional Office| 107279|801-46292|FINANCIAL DIRECTIONS LLP|FINANCIAL DIRECTIONS LLP|515 EAST JOPPA ROAD|SUITE 102|BALTIMORE MD 21286|USA|||  ||TOMOLYN TARAYOS HARRIS|410-832-7722|Limited Liability Partnership|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/01/1994|0|0|0|0|0|0
Philadelphia Regional Office| 107281|801-49271|GOLD ASSET MANAGEMENT INC|GOLD ASSET MANAGEMENT INC|1760 RESTON PARKWAY|SUITE  214|RESTON VA 20190|USA|||  ||MARC L. GOLD|703.834.0654|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/23/1995|0|2|0|0|0|0
Philadelphia Regional Office| 107289|801-38963|TGS FINANCIAL ADVISORS|PROFESSIONAL FINANCIAL ADVISORS INC|170 N. RADNOR CHESTER ROAD|SUITE 110|RADNOR PA 19087|USA|||  ||PETER J. GATTONI|610 892-9900|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/07/1991|0|0|0|0|0|0
Philadelphia Regional Office| 107290|801-39638|T. ROWE PRICE (CANADA), INC.|T. ROWE PRICE (CANADA) INC.|100 EAST PRATT STREET||BALTIMORE MD 21202|UNITED STATES|||  ||CHRISTOPHER HAYES|410-345-4976|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/09/1991|0|0|8|0|0|0
Philadelphia Regional Office| 107323|801-37305|AYRSHIRE ASSOCIATES INC|AYRSHIRE ASSOCIATES INC|1800 K STREET, NW|SUITE 1030|WASHINGTON DC 20006|USA|||  ||JAMES K. FERGUSON|202-293-9113|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|09/07/1990|0|0|0|0|0|0
Philadelphia Regional Office| 107335|801-20076|OCTAGON FINANCIAL SERVICES INC|OCTAGON FINANCIAL SERVICES INC|1751 PINNACLE DRIVE, SUITE 1500||MCLEAN VA 22102|USA|||  ||JANET M. PLEWES|703-905-3337|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|11/18/1983|0|0|0|0|0|0
Philadelphia Regional Office| 107347|801-38960|ARMSTRONG, FLEMING & MOORE, INC.|ARMSTRONG, FLEMING & MOORE, INC.|1850 M STREET, NW|SUITE #250|WASHINGTON DC 20036|USA|||  ||ELIZABETH FLEMING|202-887-8135|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/26/1991|0|0|0|0|0|0
Philadelphia Regional Office| 107356|801-50678|ISI FINANCIAL GROUP INC|ISI FINANCIAL GROUP INC|26A EAST ROSEVILLE ROAD||LANCASTER PA 17601|USA|||  ||CHRISTINE WEIT|717-393-3353|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|11/22/1995|0|1|0|0|0|0
Philadelphia Regional Office| 107396|801-40578|MCGINN INVESTMENT MANAGEMENT INC|MCGINN INVESTMENT MANAGEMENT INC|201 NORTH UNION STREET, STE 100||ALEXANDRIA VA 22314|USA|||  ||BERNARD F. MCGINN|703-837-3170|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/07/1992|0|0|1|0|0|0
Philadelphia Regional Office| 107402|801-37472|SCARBOROUGH CAPITAL MANAGEMENT, INC.|SCARBOROUGH CAPITAL MANAGEMENT, INC.|441 DEFENSE HWY|SUITE E|ANNAPOLIS MD 21401|USA|||  ||JAMES E. LERRO|410/573-5700|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|10/12/1990|1|5|0|0|0|0
Philadelphia Regional Office| 107415|801-15169|G & R INVESTMENT CONSULTANTS INC|G & R INVESTMENT CONSULTANTS INC|3355 BABCOCK BLVD||PITTSBURGH PA 15237|USA|||  ||JOHN W. GRACE|412-367-7300|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/01/1980|0|0|0|0|0|0
Philadelphia Regional Office| 107424|801-57033|HDS CAPITAL MANAGEMENT, INC|HDS CAPITAL MANAGEMENT, INC|4808 MOORLAND LN|STE 105|BETHESDA MD 20814|USA|||  ||HENRY D. STERN|301-652-2535|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|11/30/1999|0|0|0|0|0|0
Philadelphia Regional Office| 107440|801-44532|HUGHES CAPITAL MANAGEMENT INC|HUGHES CAPITAL MANAGEMENT INC|916 PRINCE STREET, 3RD||ALEXANDRIA VA 22314|USA|||  ||FRANKIE D. HUGHES|703-684-7222|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/16/1993|0|0|0|0|0|0
Philadelphia Regional Office| 107495|801-51817|TRUMBOWER FINANCIAL ADVISORS LLC|TRUMBOWER FINANCIAL ADVISORS LLC|4800 MONTGOMERY LANE|STE 875|BETHESDA MD 20814|USA|||  ||DAN TRUMBOWER|301-215-7249|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|05/01/1996|0|0|0|0|0|0
Philadelphia Regional Office| 107496|801-40263|EMERALD ADVISERS INC|EMERALD ADVISERS INC|1703 OREGON PIKE|STE 101|LANCASTER PA 17601|USA|P. O. BOX 10666||LANCASTER PA 17605-0666|USA|JAMES A. MEEHAN|717-396-1116|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/25/1991|0|1|0|0|0|0
Philadelphia Regional Office| 107518|801-35477|INDEPENDENCE CAPITAL MANAGEMENT INC.|INDEPENDENCE CAPITAL MANAGEMENT INC.|600 DRESHER ROAD|#C1C|HORSHAM PA 19044|USA|||  ||VICTORIA ROBINSON|215-956-8076|Corporation|Portfolio management for investment companies, Selection of other advisers|APPROVED|02/02/1990|0|0|0|0|0|0
Philadelphia Regional Office| 107529|801-37341|FMA ADVISORY INC|FMA ADVISORY INC|1631 NORTH FRONT STREET||HARRISBURG PA 17102|USA|||  ||PETER J. LABELLA|717-232-8850|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|09/14/1990|0|0|0|0|0|0
Philadelphia Regional Office| 107549|801-44472|COMPREHENSIVE FINANCIAL INVESTMENT ADVISORS, INC.|COMPREHENSIVE FINANCIAL PLANNING CORPORATION|6243 RIVER ROAD, SUITE 7||RICHMOND VA 23229-8522|USA|||  ||AMY HOCHSTEIN CLARK|804-285-7010|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|08/06/1993|0|0|0|0|0|0
Philadelphia Regional Office| 107553|801-52081|FARR MILLER & WASHINGTON LLC|FARR MILLER & WASHINGTON LLC|1020 19TH STREET, NW|SUITE 200|WASHINGTON DC 20036|USA|||  ||SUSAN W. CANTUS|202-530-5606|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/31/1996|0|0|0|0|0|0
Philadelphia Regional Office| 107615|801-53638|BEACH INVESTMENT COUNSEL, INC|BEACH INVESTMENT COUNSEL INC|300 BARR HARBOR DRIVE|SUITE 220|WEST CONSHOHOCKEN PA 19428|USA|||  ||CHERI CECCHIN|610-940-1111 EXT.3|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|01/28/1997|0|0|0|0|0|0
Philadelphia Regional Office| 107644|801-51733|URDANG SECURITIES MANAGEMENT INC|URDANG SECURITIES MANAGEMENT INC|630 WEST GERMANTOWN PIKE|SUITE 300|PLYMOUTH MEETING PA 19462|USA|||  ||LAW, R. JOSEPH|610-818-4620|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/17/1996|0|0|0|0|0|0
Philadelphia Regional Office| 107648|801-50732|PENNSYLVANIA CAPITAL MANAGEMENT INC.|PENNSYLVANIA CAPITAL MANAGEMENT INC.|165 TOWNSHIP LINE ROAD|SUITE 1400|JENKINTOWN PA 19046|USA|||  ||IRVIN G. SCHORSCH, III|215-881-7700|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|12/04/1995|0|0|0|0|0|0
Philadelphia Regional Office| 107658|801-46643|LINDEN ASSET MANAGEMENT INC|LINDEN ASSET MANAGEMENT INC|718 S. STATE STREET|SUITE 101|CLARKS SUMMIT PA 18411|USA|||  ||PAUL J COVIELLO|570-586-8600|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|06/10/1994|0|0|0|0|0|0
Philadelphia Regional Office| 107662|801-52204|PMG ADVISORS, LLC|PMG ADVISORS, LLC|100 FOUR FALLS CORPORATE CENTER|SUITE 600|WEST CONSHOHOCKEN PA 19428-2972|USA|||  ||NATALIE ADLER|(610) 260-6240|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/21/1996|0|0|0|0|0|0
Philadelphia Regional Office| 107664|801-43264|JOYCEPAYNE PARTNERS|MICHAEL JOYCE & ASSOCIATES, P.C.|9030 STONY POINT PARKWAY|SUITE 100|RICHMOND VA 23235|USA|||  ||MICHAEL JOYCE|804-358-2702|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|02/03/1993|0|0|0|0|0|0
Philadelphia Regional Office| 107702|801-53808|ANDREW R. BELLAMAH INVESTMENT ADVISORY LLC|BELLAMAH ANDREW R. INVESTMENT ADVISORY LLC|8730 GEORGIA AVENUE|SUITE 500|SILVER SPRING MD 20910|USA|||  ||ANDREW R. BELLAMAH|301-562-7300-207|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/07/1997|0|0|0|0|0|0
Philadelphia Regional Office| 107731|801-50956|CHARTER FINANCIAL GROUP, INC.|CHARTER FINANCIAL GROUP, INC.|4600 EAST-WEST HIGHWAY|SUITE 630|BETHESDA MD 20814|USA|||  ||SUSAN H. STEWART|301-657-9831|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|01/19/1996|0|1|0|0|0|0
Philadelphia Regional Office| 107743|801-34982|GIBSON CAPITAL MANAGEMENT LTD|GIBSON CAPITAL MANAGEMENT LTD|6600 BROOKTREE COURT, SUITE 2200||WEXFORD PA 15090|USA|||  ||BRENDA GIBSON|724-934-3200|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/11/1989|0|0|0|0|0|0
Philadelphia Regional Office| 107750|801-14391|CJM WEALTH ADVISERS, LTD.|CJM WEALTH ADVISERS, LTD.|11320 RANDOM HILLS ROAD|SUITE 250|FAIRFAX VA 22030|USA|||  ||KIM A. MCLELAND|703-425-0700|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/27/1979|0|0|0|0|0|0
Philadelphia Regional Office| 107757|801-43156|PINNACLE ADVISORY GROUP, INC.|PINNACLE ADVISORY GROUP, INC.|6345 WOODSIDE COURT SUITE 100||COLUMBIA MD 21046|USA|||  ||KENNETH SOLOW|410-995-6630|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|01/26/1993|0|0|0|0|0|0
Philadelphia Regional Office| 107771|801-55370|BRICK & KYLE ASSOCIATES INC|BRICK & KYLE ASSOCIATES INC|905 MT EYRE RD||NEWTOWN PA 18940|USA|||  ||JONATHAN KALLEN|215-493-4933|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|04/14/1998|0|0|0|0|0|0
Philadelphia Regional Office| 107798|801-56453|GOVATOS INVESTMENT CONSULTING|GOVATOS JAMES A INVESTMENT CONSULTING INC|1376 SHADOW OAK DR||MALVERN PA 19355|USA|||  ||JAMES A. GOVATOS|610-296-2471|Corporation|Pension consulting services|APPROVED|04/19/1999|0|0|0|0|0|0
Philadelphia Regional Office| 107802|801-54735|JMR FINANCIAL INC|JMR FINANCIAL INC|402 CONSTITUTION AVENUE NE||WASHINGTON DC 20002|USA|||  ||JOHN C. RICHARDSON|202-547-7071|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|07/28/1997|0|0|0|0|0|0
Philadelphia Regional Office| 107811|801-56947|TFS CAPITAL LLC|TECHNICAL FINANCIAL SERVICES LLC|121 N. WALNUT STREET|SUITE 320|WEST CHESTER PA 19380|USA|||  ||LARRY EIBEN|804-484-1401|Limited Liability Company|Portfolio management for investment companies, Other|APPROVED|11/12/1999|0|0|0|0|0|0
Philadelphia Regional Office| 107855|801-50156|COLUMBIA PARTNERS, L.L.C. INVESTMENT MANAGEMENT|COLUMBIA PARTNERS, L.L.C. INVESTMENT MANAGEMENT|5425 WISCONSIN AVENUE|SUITE 700|CHEVY CHASE MD 20815|USA|||  ||K. DUNLOP SCOTT|(240) 482-0408|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|09/27/1995|0|0|1|0|0|0
Philadelphia Regional Office| 107876|801-55813|HAMILTON LANE|HAMILTON LANE ADVISORS LLC|ONE BELMONT AVENUE, SUITE 900||BALA CYNWYD PA 19004|USA|||  ||RANDY STILMAN|(610) 617-6006|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|08/24/1998|0|0|0|0|0|0
Philadelphia Regional Office| 107884|801-55214|HUNTER MICHAEL INVESTMENT ADVISORS INC|HUNTER MICHAEL INVESTMENT ADVISORS INC|1640 HUGUENOT RD||MIDLOTHIAN VA 23113|USA|P.O. BOX 35480||RICHMOND VA 23235|USA|DEE. H. SLAUGHTER|804.378.7640|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|01/30/1998|0|0|0|0|0|0
Philadelphia Regional Office| 107908|801-48099|BENSON L K & CO P C|BENSON L K & CO P C|1107 KENILWORTH DRIVE|SUITE 200|TOWSON MD 21204-2186|USA|||  ||LYLE K. BENSON|410-494-6680|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|12/23/1994|0|0|0|0|0|0
Philadelphia Regional Office| 107917|801-39889|FINANCIAL MANAGEMENT ADVISORS INC|FINANCIAL MANAGEMENT ADVISORS INC|410 PINE ST SE, SUITE 310||VIENNA VA 22180|USA|||  ||SANDRA HAIDINGER|7032559533|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|10/10/1991|0|0|0|0|0|0
Philadelphia Regional Office| 107923|801-56667|TATTERSALL ADVISORY GROUP INC|TATTERSALL ADVISORY GROUP INC|6802 PARAGON PLACE|SUITE 200|RICHMOND VA 23230|USA|||  ||THOMAS B. BURTON|804-289-2663|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/13/1999|0|0|1|0|0|0
Philadelphia Regional Office| 107938|801-56925|ADVISORPORT, INC.|ADVISORPORT, INC.|760 MOORE ROAD|MAIL STOP F4-F760-1B-E|KING OF PRUSSIA PA 19406|USA|||  ||LEIGH LAMENT|610-382-7700|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters, Other|APPROVED|10/28/1999|1|4|1|0|0|0
Philadelphia Regional Office| 107966|801-55181|ATLANTIC CAPITAL MANAGEMENT LLC|ATLANTIC CAPITAL MANAGEMENT LLC|901 EAST BYRD STREET, STE 1100||RICHMOND VA 23219|USA|||  ||M. BAGLEY REID|(804)915-4500|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/15/1998|0|0|0|0|0|0
Philadelphia Regional Office| 108001|801-56965|THE L. WARNER COMPANIES, INC|THE L. WARNER COMPANIES, INC|9690 DEERECO ROAD|SUITE 650|TIMONIUM MD 21093|USA|||  ||EDWIN S. KILLINGER|410-252-0808|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|09/25/1999|0|0|0|0|0|0
Philadelphia Regional Office| 108015|801-55284|MANCHESTER ADVISORS|MANCHESTER ADVISORS LTD|3501 MASONS MILL ROAD, SUITE 505||HUNTINGDON VALLEY PA 19006|USA|||  ||LOUIS J IOVANNONE JR|215-706-4000|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Market timing services|APPROVED|02/20/1998|0|0|0|0|0|0
Philadelphia Regional Office| 108039|801-64765|CHESAPEAKE INVESTMENT GROUP|CHESAPEAKE FINANCIAL GROUP INC|4804 COURTHOUSE ST SUITE 1B||WILLIAMSBURG VA 23188|USA|||  ||MARK MONROE|757-253-9088|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|10/24/2006|0|1|0|0|0|0
Philadelphia Regional Office| 108067|801-55363|MCLEAN ASSET MANAGEMENT CORP.|MCLEAN ASSET MANAGEMENT CORPORATION|6845 ELM STREET|SUITE 305|MCLEAN VA 22101|USA|||  ||ALEJANDRO MURGUIA|703-827-0636|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|03/19/1998|0|2|0|0|0|0
Philadelphia Regional Office| 108069|801-57038|BLACKROCK CAPITAL MANAGEMENT, INC.|BLACKROCK CAPITAL MANAGEMENT, INC.|100 BELLEVUE PARKWAY||WILMINGTON DE 19809|USA|||  ||BATTISTA, BARTHOLOMEW|212-810-3423|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/13/1999|1|3|2|0|0|0
Philadelphia Regional Office| 108099|801-55140|SIGMA FINANCIAL SERVICES INC|SIGMA FINANCIAL SERVICES INC|2766 ELECTRIC ROAD|SUITE B|ROANOKE VA 24018|USA|||  ||DONALD J. POTTER, JR.|(540)989-2020|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|01/09/1998|0|0|0|0|0|0
Philadelphia Regional Office| 108107|801-56210|PERSIMMON CAPITAL MANAGEMENT LP|PERSIMMON CAPITAL MANAGEMENT LP|1777 SENTRY PARKWAY WEST|GWYNEDD HALL, SUITE 102|BLUE BELL PA 19422|USA|||  ||GREGORY S. HORN|484-572-0500|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/22/1999|0|0|0|0|0|0
Philadelphia Regional Office| 108165|801-57826|GLENMEDE INVESTMENT MANAGEMENT, LP|GLENMEDE INVESTMENT MANAGEMENT, LP|1650 MARKET STREET, ONE LIBERTY PLACE, SUITE 1200||PHILADELPHIA PA 19103|USA|||  ||MARLENE TIMBERLAKE D'ADAMO|215-419-6092|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|08/25/2000|0|0|0|0|0|0
Philadelphia Regional Office| 108167|801-58030|NETWORTH INVESTMENT ADVISORS, INC.|NETWORTH INVESTMENT ADVISORS, INC.|2605 WASHINGTON ROAD|SUITE 210|CANONSBURG PA 15317|USA|4017 WASHINGTON ROAD|PMB 355|MCMURRAY PA 15317|USA|BRIAN T GONGAWARE|724-263-2292|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|10/19/2000|0|0|0|0|0|0
Philadelphia Regional Office| 108197|801-55467|STEELOAKS INVESTMENT ADVISERS, INC.|STEELOAKS INVESTMENT ADVISERS, INC.|PENN PLACE, SUITE 102|3205 PENNSYLVANIA AVENUE|WEIRTON WV 26062|USA|||  ||DONALD J. KENDRICK|304-723-6700|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|04/23/1998|0|0|0|0|0|0
Philadelphia Regional Office| 108207|801-44704|LEGEND FINANCIAL ADVISORS INC|LEGEND FINANCIAL ADVISORS INC|5700 CORPORATE DRIVE, SUITE 350||PITTSBURGH PA 15237|USA|||  ||LOUIS P. STANASOLOVICH|412-635-9210|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|09/14/1993|0|0|0|0|0|0
Philadelphia Regional Office| 108232|801-57286|DEWITT CAPITAL MANAGEMENT|DEWITT INVESTMENT RESEARCH & MANAGEMENT INC|STRAFFORD OFFICE BLDG TWO|200 EAGLE ROAD, SUITE 230|WAYNE PA 19087|USA|||  ||DAVID T. DEWITT|610-975-4435|Corporation|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|04/18/2000|0|0|0|0|0|0
Philadelphia Regional Office| 108295|801-22428|CAPITAL & SECURITY MANAGEMENT INC|CAPITAL & SECURITY MANAGEMENT, INC.|34 WEST MINER STREET||WEST CHESTER PA 19382-3214|USA|||  ||DAVID G. DORSETT|610-692-4794|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/19/1984|0|0|0|0|0|0
Philadelphia Regional Office| 108317|801-58133|CPA INVESTMENT SOLUTIONS, LLC|CPA INVESTMENT SOLUTIONS, LLC|1002 FLORAL VALE BLVD||YARDLEY PA 19067|USA|||  ||LINDA WHITAKER|215-497-5050|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|11/28/2000|0|0|0|0|0|0
Philadelphia Regional Office| 108333|801-54532|PEREGRINE ADVISERS INC|PEREGRINE ADVISERS INC|103 BRADFORD ROAD, STE 110|STONEWOOD COMMONS II|WEXFORD PA 15090|USA|||  ||LARRY LETTERIO|724-935-2720|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/30/1997|0|0|0|0|0|0
Philadelphia Regional Office| 108341|801-43581|CULBERTSON A N & CO INC|CULBERTSON A N & CO INC|ONE BOARS HEAD POINTE|SUITE 101|CHARLOTTESVILLE VA 22903-4612|USA|||  ||GEORGE L. PAYNE, JR.|434-972-7766|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/08/1993|0|0|0|0|0|0
Philadelphia Regional Office| 108348|801-35969|WILLIAM MICHAEL CUNNINGHAM|CUNNINGHAM WILLIAM MICHAEL|1411 K STREET, NW|1400|WASHINGTON DC 20005|USA|PO BOX 15385||WASHINGTON DC 20003|US|WILLIAM CUNNINGHAM|612-423-9880|Sole Proprietorship|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters, Security ratings or pricing services, Other|APPROVED|02/02/1990|0|2|0|0|0|0
Philadelphia Regional Office| 108354|801-36095|FLAGSHIP CAPITAL MANAGEMENT INC|FLAGSHIP CAPITAL MANAGEMENT INC|2 WEST BALTIMORE AVENUE SUITE 200||MEDIA PA 19063|USA|||  ||THOMAS GOLDSMITH|610-565-9580|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|01/12/1990|0|0|0|0|0|0
Philadelphia Regional Office| 108357|801-54247|AFBA INVESTMENT MANAGEMENT COMPANY|AFBA 5 STAR INVESTMENT MANAGEMENT CO.|909 NORTH WASHINGTON STREET||ALEXANDRIA VA 22314|USA|||  ||MICHAEL E. HOUCHINS|(703)706-5942|Corporation|Portfolio management for investment companies|APPROVED|04/18/1997|0|0|0|0|0|0
Philadelphia Regional Office| 108361|801-49761|FORT PITT CAPITAL GROUP INC|FORT PITT CAPITAL GROUP INC|680 ANDERSON DRIVE|FOSTER PLAZA TEN|PITTSBURGH PA 15220|USA|||  ||ROBIN MILLER|412-921-1822|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/31/1995|0|1|0|0|0|0
Philadelphia Regional Office| 108365|801-60251|FEE-ONLY FINANCIAL PLANNING, L.C.|FEE-ONLY FINANCIAL PLANNING, L.C.|355 CAMPBELL AVENUE SW||ROANOKE VA 24016|USA|P.O. BOX 12386||ROANOKE VA 24025|USA|ANNE M. HUDICK|540-342-7102|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|05/23/2001|0|0|0|0|0|0
Philadelphia Regional Office| 108380|801-56027|MILLER INVESTMENT MANAGEMENT, LP|MILLER INVESTMENT MANAGEMENT, LP|ONE TOWER BRIDGE, STE 1500||WEST CONSHOHOCKEN PA 19428-2874|USA|||  ||ELWYN EVANS III|610-834-9820|Partnership|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|11/19/1998|0|0|0|0|0|0
Philadelphia Regional Office| 108382|801-56612|METZ CAPITAL MANAGEMENT LLC|METZ CAPITAL MANAGEMENT LLC|439 KINGS HWY||LEWES DE 19958|USA|||  ||THOMAS KARL METZ|302-644-1193|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/02/1999|0|0|0|0|0|0
Philadelphia Regional Office| 108395|801-57952|AMBROSE WEALTH MANAGEMENT|AMBROSE WEALTH MANAGEMENT|810 BALTIMORE PIKE||CHADDS FORD PA 19317|USA|||  ||THOMAS K. AMBROSE|610-388-4424|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|09/15/2000|0|4|0|0|0|0
Philadelphia Regional Office| 108396|801-57985|BALDRIGE ASSET MANAGEMENT|EDWIN ROCKEFELLER BALDRIGE, III, DBA|7540 WINDSOR DRIVE, STE 205||ALLENTOWN PA 18195|USA|||  ||EDWIN R.BALDRIGE III|610 336 4395|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|09/22/2000|0|1|0|0|0|0
Philadelphia Regional Office| 108400|801-47201|GUYASUTA INVESTMENT ADVISORS, INCORPORATED|GUYASUTA INVESTMENT ADVISORS, INCORPORATED|500 GRANT STREET|SUITE 2734|PITTSBURGH PA 15219|USA|||  ||PETER F. MATHIESON|412-765-3384|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/19/1994|0|0|0|0|0|0
Philadelphia Regional Office| 108415|801-57162|CHEVY CHASE ASSET MANAGEMENT LLC|CHEVY CHASE ASSET MANAGEMENT LLC|6701 DEMOCRACY BOULEVARD, SUITE 300||BETHESDA MD 20817|USA|||  ||JOHN R. RATNAVALE, CFA|301-320-7967|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|01/10/2000|0|0|0|0|0|0
Philadelphia Regional Office| 108436|801-66713|SECURITY ADVISORS NETWORK, LLC|SECURITY ADVISORS NETWORK, LLC|1220 VALLEY FORGE ROAD|SUITE 43|PHOENIXVILLE PA 19460|USA|||  ||JEAN-PIERRE BOUVEL|(610) 933-3300 EXT.210|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/26/2006|0|0|0|0|0|0
Philadelphia Regional Office| 108445|801-56690|BENEFIT DESIGN CORP|BENEFIT DESIGN CORP|4101 COX ROAD|SUITE 315|GLEN ALLEN VA 23060|USA|||  ||GARY W. WOOD|(804)965-0707|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/20/1999|0|0|0|0|0|0
Philadelphia Regional Office| 108461|801-56076|KNOTT CAPITAL MANAGEMENT|CAK CAPITAL MANAGEMENT INC|224 VALLEY CREEK BLVD.|SUITE 100|EXTON PA 19341|USA|||  ||JUNE G. SCANLON|610-854-6000|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|12/08/1998|0|0|0|0|0|0
Philadelphia Regional Office| 108483|801-57771|STRUDWICK WEALTH STRATEGIES INC|STRUDWICK & ASSOCIATES INC|12 EAST EAGER STREET||BALTIMORE MD 21202|USA|||  ||BARRY STRUDWICK|410-727-6444|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|07/17/2000|0|0|0|0|0|0
Philadelphia Regional Office| 108545|801-57317|COURT PLACE ADVISORS LLC|COURT PLACE ADVISORS LLC|10306A BALTIMORE NATIONAL PIKE||ELLICOTT CITY MD 21042|USA|||  ||BERNADETTE M. ZABEL|410-465-4321|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|03/06/2000|0|0|0|0|0|0
Philadelphia Regional Office| 108562|801-54484|ALLIANCE FAMILY INVESTMENT MANAGEMENT|ALLIANCE INTERNATIONAL LTD|121 TOWNE SQUARE WAY||PITTSBURGH PA 15227|USA|||  ||RUSSELL R JORDAN|412-885-4628|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|05/23/1997|0|0|0|0|0|0
Philadelphia Regional Office| 108578|801-57719|DAVID K. TURNER|TURNER DAVID KAY|130 CARRIAGE LN||BRIDGEPORT WV 26330-1347|USA|||  ||DAVID K. TURNER|(304)842-5724|Sole Proprietorship|Portfolio management for individuals and/or small businesses, Other|APPROVED|07/07/2000|0|0|0|0|0|0
Philadelphia Regional Office| 108583|801-56181|VALLEY VIEW CONSULTING LLC|VALLEY VIEW CONSULTING LLC|2428 CARTERS MILL RD||HUDDLESTON VA 24104-4003|USA|||  ||RICHARD LONG|540.297.3419|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/08/1999|0|0|0|0|0|0
Philadelphia Regional Office| 108609|801-57956|RETIREMENT ADVISORY SERVICES CORP|RETIREMENT ADVISORY SERVICES CORP.|907 NORTH EASTON ROAD||WILLOW GROVE PA 19090|USA|||  ||PATRICIA H. SOBEL|215-657-6900|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|09/20/2000|0|0|0|0|0|0
Philadelphia Regional Office| 108635|801-43630|JJM FINANCIAL STRATEGIES INC|JJM FINANCIAL STRATEGIES INC|301 SOUTH STATE STREET|SUITE 202S|NEWTOWN PA 18940|USA|||  ||JOHN J. MALZONE|215-504-9610|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/01/1993|0|1|0|0|0|0
Philadelphia Regional Office| 108677|801-47555|IFG RUSSELL ADVISORS INC|IFG RUSSELL ADVISORS INC|1205 WESTLAKES DRIVE|SUITE 365|BERWYN PA 19312|USA|||  ||REGINA RYAN|610-640-7640|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|10/24/1994|0|0|0|0|0|0
Philadelphia Regional Office| 108687|801-57765|INVESTMENT MANAGEMENT OF VIRGINIA, LLC|INVESTMENT MANAGEMENT OF VIRGINIA, LLC|919 EAST MAIN STREET, 16TH FLOOR||RICHMOND VA 23219|USA|P.O. BOX 1156||RICHMOND VA 23218-1156|USA|JOHN H. BOCOCK|(434) 220-0234|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/30/2000|0|1|0|0|0|0
Philadelphia Regional Office| 108693|801-56238|ATTALUS CAPITAL, L.P.|ATTALUS CAPITAL, L.P.|2929 ARCH STREET|SUITE 1500|PHILADELPHIA PA 19104|USA|||  ||DANIEL S. KIM|215-495-0800|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/02/1999|0|0|0|0|0|0
Philadelphia Regional Office| 108736|801-56326|MCGOWAN & CO LLP|MCGOWAN & CO LLP|P.O. BOX 1180|937 GLENBROOK AVE.|BRYN MAWR PA 19010|USA|||  ||BRENDAN MCGOWAN|(610)520-2400|Limited Liability Partnership|Portfolio management for individuals and/or small businesses|APPROVED|04/08/1999|0|0|0|0|0|0
Philadelphia Regional Office| 108783|801-18273|ICMA RETIREMENT CORP|INTERNATIONAL CITY MANAGEMENT ASSOCIATION RETIREMENT CORPORATION|777 NORTH CAPITOL STREET NE, SUITE 600||WASHINGTON DC 20002-4240|USA|||  ||B. JAMES ROHRBACHER|202-962-6920|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/19/1983|0|2|0|0|0|0
Philadelphia Regional Office| 108794|801-57564|INNOVEST FINANCIAL MANAGEMENT INC|INNOVEST FINANCIAL MANAGEMENT INC|4916 LIBERTY AVE.|SUITE 1000|PITTSBURGH PA 15224|USA|||  ||GARY P. DROZ|412-391-7174|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|05/05/2000|0|0|0|0|0|0
Philadelphia Regional Office| 108822|801-57444|HALPERN FINANCIAL, INC.|HALPERN FINANCIAL, INC.|11 NORTH WASHINGTON STREET|SUITE 500|ROCKVILLE MD 20850|USA|||  ||TED HALPERN|240.268.1000|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|05/01/2000|0|0|0|0|0|0
Philadelphia Regional Office| 108824|801-57479|BUNTING CAPITAL MANAGEMENT INC|BUNTING CAPITAL MANAGEMENT INC|5700 CLEVELAND STREET, SUITE 329||VIRGINIA BEACH VA 23462|USA|||  ||KEVIN ZYWNA|(757)456-2200|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/21/2000|0|0|0|0|0|0
Philadelphia Regional Office| 108835|801-57720|NORTHEAST ADVISERS, INC.|NORTHEAST ADVISERS INC|123 PAOLI PIKE||PAOLI PA 19301|USA|||  ||J. MICHAEL DEVINE|610-240-7955|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/05/2000|0|0|0|0|0|0
Philadelphia Regional Office| 108847|801-55439|SCHNEIDER CAPITAL MANAGEMENT CORP.|SCHNEIDER CAPITAL MANAGEMENT CORP|460 EAST SWEDESFORD RD|SUITE 2000|WAYNE PA 19087|USA|||  ||STEVEN J. FELLIN|610-687-8080|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/05/1998|0|0|1|0|0|0
Philadelphia Regional Office| 108864|801-56566|RESOLUTE CAPITAL MANAGEMENT LLC|RESOLUTE CAPITAL MANAGEMENT LLC|919 18TH ST NW|SUITE 350|WASHINGTON DC 20006|USA|||  ||BARBARA M. CALIFF|202-638-6072|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/01/1999|0|0|0|0|0|0
Philadelphia Regional Office| 108883|801-54830|FBR INVESTMENT MANAGEMENT, INC.|FBR INVESTMENT MANAGEMENT, INC.|1001 19TH STREET NORTH|POTOMAC TOWER|ARLINGTON VA 22209-1732|USA|||  ||FRANK WALKER, JR.|703-312-9604|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|08/22/1997|0|3|0|0|0|0
Philadelphia Regional Office| 108893|801-45536|LOGAN CAPITAL MANAGEMENT INC|LOGAN CAPITAL MANAGEMENT INC|SIX COULTER AVENUE, SUITE 2000|SUBURBAN SQUARE|ARDMORE PA 19003|USA|||  ||AL D. BESSE|610-642-7000|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/04/1994|0|0|0|0|0|0
Philadelphia Regional Office| 108922|801-56558|BALDWIN INVESTMENT MANAGEMENT, LLC|BALDWIN INVESTMENT MANAGEMENT, LLC|100 FOUR FALLS CORPORATE CENTER|SUITE 202|WEST CONSHOHOCKEN PA 19428|USA|||  ||PETER H. HAVENS|610-260-1555|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|05/26/1999|0|0|0|0|0|0
Philadelphia Regional Office| 108958|801-58098|T. ROWE PRICE ADVISORY SERVICES, INC.|T. ROWE PRICE ADVISORY SERVICES, INC.|100 EAST PRATT ST||BALTIMORE MD 21202|UNITED STATES|||  ||DAVID OESTREICHER|410-345-2628|Corporation|Other|APPROVED|11/17/2000|0|0|4|0|0|0
Philadelphia Regional Office| 108967|801-57836|FBB CAPITAL PARTNERS|FULTON BREAKEFIELD BROENNIMAN,LLC|4520 EAST-WEST HIGHWAY|SUITE 450|BETHESDA MD 20814|USA|||  ||SUSAN B. FULTON|301-657-8870|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|08/04/2000|0|0|4|0|0|0
Philadelphia Regional Office| 109028|801-54738|KRC INVESTMENT ADVISERS LLC|KRC INVESTMENT ADVISERS LLC|THE NATTY BOH TOWER|3600 O'DONNELL STREET - SUITE 860|BALTIMORE MD 21224|USA|||  ||DOUGLAS M. HOFFBERGER|(410) 558-3830|Limited Liability Company|Selection of other advisers, Other|APPROVED|08/06/1997|0|0|0|0|0|0
Philadelphia Regional Office| 109071|801-56284|HILLVIEW CAPITAL ADVISORS, LLC|HILLVIEW CAPITAL ADVISORS, LLC|170 NORTH RADNOR-CHESTER ROAD|SUITE 150|RADNOR PA 19087|USA|||  ||LISA A. PLOSCHKE|484-708-4740|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/24/1999|0|0|0|0|0|0
Philadelphia Regional Office| 109104|801-56945|EDGEMOOR INVESTMENT ADVISORS, INC.|EDGEMOOR INVESTMENT ADVISORS, INC.|1900 M STREET, NW|SUITE 600|WASHINGTON DC 20036|USA|||  ||FREEMAN JELKS|202 530-3327|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/25/1999|0|0|0|0|0|0
Philadelphia Regional Office| 109126|801-56348|JOHNSTON LEMON ASSET MANAGEMENT INC|JOHNSTON LEMON ASSET MANAGEMENT INC|1101 VERMONT AVENUE, SUITE 800||WASHINGTON DC 20005|USA|||  ||KENNETH I. MILLER|202.842.5618|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/29/1999|0|2|0|0|0|0
Philadelphia Regional Office| 109133|801-55883|JACOBS & COMPANY|JACOBS & COMPANY|300 SUMMERS STREET, SUITE 970||CHARLESTON WV 25301|USA|||  ||JOHN M. JACOBS|304-342-3535|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/22/1998|0|0|0|0|0|0
Philadelphia Regional Office| 109138|801-56223|VANTAGEPOINT INVESTMENT ADVISERS, LLC|VANTAGEPOINT INVESTMENT ADVISERS, LLC|777 NORTH CAPITOL STREET N.E.|SUITE 600|WASHINGTON DC 20002-4240|USA|||  ||B. JAMES ROHRBACHER|202 962-6920|Limited Liability Company|Portfolio management for investment companies, Selection of other advisers, Other|APPROVED|01/22/1999|0|0|0|0|0|0
Philadelphia Regional Office| 109151|801-12562|DARRELL & KING|DARRELL JOHN STEWART|503 FAULCONER DRIVE STE 6||CHARLOTTESVILLE VA 22903-4978|USA|||  ||CHARLES G. KING|434-977-7010|Sole Proprietorship|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/18/1997|0|3|0|0|0|0
Philadelphia Regional Office| 109156|801-60055|JEFF HARRIS & ASSOCIATES, INC.|JEFF HARRIS & ASSOCIATES, INC.|410 NEFF AVE.,|STE 200|HARRISONBURG VA 22801|USA|P.O. BOX 1590||YORK SC 29745|USA|JEFFREY B. HARRIS|803-684-1075|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Other|APPROVED|04/03/2001|0|1|0|0|0|0
Philadelphia Regional Office| 109162|801-56038|DIVELEY LIND & ASSOCIATES LLC|DIVELEY LIND & ASSOCIATES LLC|253 MORNINGSIDE DR.||MT. SIDNEY VA 24467|USA|P.O. BOX 128||FT. DEFIANCE VA 24437-0128|USA|CARL G. LIND|540-248-2275|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/17/1998|0|0|0|0|0|0
Philadelphia Regional Office| 109185|801-57654|NORTHSTAR ASSET MANAGEMENT LLC|NORTHSTAR ASSET MANAGEMENT LLC|488 NORRISTOWN ROAD|SUITE 142|BLUE BELL PA 19422|USA|||  ||EDWARD B. PUTNAM|484-342-4203|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/08/2000|0|0|0|0|0|0
Philadelphia Regional Office| 109210|801-57946|AMES FEE ONLY FINANCIAL PLANNING|AMES STEVEN REEDE|503 FIFTH ST.||ANNAPOLIS MD 21403|USA|||  ||STEVEN R. AMES|410-280-2390|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|09/15/2000|0|0|0|0|0|0
Philadelphia Regional Office| 109212|801-64097|GARDNER & ROBERTSON, INC.|GARDNER & ROBERTSON, INC.|707 E. MAIN STREET, 20TH FL||RICHMOND VA 23219|USA|P.O. BOX 1459||RICHMOND VA 23218-1459|U.S.|CHARLES H. GARDNER|(804)344-3829|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/10/2005|0|0|0|0|0|0
Philadelphia Regional Office| 109224|801-55933|TRICAPITAL ADVISORS INC|TRICAPITAL ADVISORS INC|11140 ROCKVILLE PIKE|STE 600|NORTH BETHESDA MD 20852|USA|||  ||MARK SCHWARTZ|301-231-8181|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Publication of periodicals or newsletters|APPROVED|10/09/1998|0|0|0|0|0|0
Philadelphia Regional Office| 109226|801-56133|APPALACHIAN ASSET MANAGEMENT|APPALACHIAN ASSET MANAGEMENT|1018 KANAWHA BOULEVARD|SUITE 301|CHARLESTON WV 25301|USA|||  ||KNOX HARWELL FUQUA|304.414.2391|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/07/1999|0|0|0|0|0|0
Philadelphia Regional Office| 109232|801-56625|FERGUSON ASSET MANAGEMENT INC|FERGUSON ASSET MANAGEMENT INC|13305 TRAVILAH ROAD||POTOMAC MD 20854|USA|||  ||JOHN FERGUSON|301-670-0994|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/23/1999|0|1|0|0|0|0
Philadelphia Regional Office| 109242|801-57156|AKRE CAPITAL MANAGEMENT, LLC|AKRE CAPITAL MANAGEMENT, LLC|2 WEST MARSHALL STREET||MIDDLEBURG VA 20117|USA|PO BOX 998||MIDDLEBURG VA 20118-0998|USA|STACY CAHILL|5406878922|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/12/2000|0|0|0|0|0|0
Philadelphia Regional Office| 109247|801-55696|PRIVATE ADVISORS LLC|PRIVATE ADVISORS LLC|1800 BAYBERRY COURT|SUITE 300|RICHMOND VA 23226|USA|||  ||JAMES J. SHANNON|804-289-6000|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|07/06/1998|0|0|1|0|0|0
Philadelphia Regional Office| 109261|801-56755|STONERIDGE INVESTMENT PARTNERS|STONERIDGE INVESTMENT PARTNERS LLC|301 LINDENWOOD DRIVE|SUITES 310|MALVERN PA 19355|USA|||  ||HOLLY ANN BUTSON|610/647-6190|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/10/1999|0|1|0|0|0|0
Philadelphia Regional Office| 109267|801-57790|BENEFITWORKS, INC.|BENEFITWORKS, INC.|336 CUMBERLAND STREET||LEBANON PA 17042|USA|P O BOX 1209||LEBANON PA 17042|USA|ROBERT J HEERDT|(717) 273-8441|Corporation|Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|07/31/2000|0|0|0|0|0|0
Philadelphia Regional Office| 109326|801-57319|NOVAK FINANCIAL PLANNING LLC|NOVAK FINANCIAL PLANNING LLC|2231 OLD EMMORTON ROAD||BEL AIR MD 21015|USA|||  ||CAROL A. NOVAK|410-515-6310|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|03/10/2000|0|0|0|0|0|0
Philadelphia Regional Office| 109328|801-57489|BALLAMOR CAPITAL MANAGEMENT, INC.|BALLAMOR CAPITAL MANAGEMENT, INC.|555 EAST LANCASTER AVENUE|SUITE 500|RADNOR PA 19087|USA|||  ||LAWRENCE D. ROVIN|484-598-2500|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/14/2000|0|0|0|0|0|0
Philadelphia Regional Office| 109353|801-57320|BERNHARDT WEALTH MANAGEMENT, INC.|BERNHARDT WEALTH MANAGEMENT, INC.|2010 CORPORATE RIDGE|SUITE 210|MCLEAN VA 22102|USA|||  ||GORDON J. BERNHARDT|703-356-4380|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/02/2000|0|0|0|0|0|0
Philadelphia Regional Office| 109367|801-56369|NATIONWIDE SA CAPITAL TRUST|NATIONWIDE SA CAPITAL TRUST|1200 RIVER ROAD|SUITE 1000|CONSHOHOCKEN PA 19428|USA|||  ||ERIC E. MILLER|484-530-1300|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/18/1999|0|1|0|0|0|0
Philadelphia Regional Office| 109391|801-56370|NATIONWIDE FUND ADVISORS|NATIONWIDE FUND ADVISORS|1200 RIVER ROAD|SUITE 1000|CONSHOHOCKEN PA 19428|USA|||  ||ERIC E. MILLER|484-530-1300|Other (specify)|Portfolio management for investment companies, Selection of other advisers|APPROVED|03/18/1999|0|2|0|0|0|0
Philadelphia Regional Office| 109395|801-57711|WEATHER GAUGE ADVISORY LLC|WEATHER GAUGE ADVISORY LLC|128 RICHMOND HILL COURT||WILLIAMSBURG VA 23185|USA|||  ||STEPHEN GLENN KROCHMAL|866-239-4536|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/06/2000|0|0|0|0|0|0
Philadelphia Regional Office| 109400|801-57572|HUSSMAN ECONOMETRICS ADVISORS INC|HUSSMAN ECONOMETRICS ADVISORS INC|5136 DORSEY HALL DRIVE|FIRST FLOOR|ELLICOTT CITY MD 21042|USA|||  ||JOHN P. HUSSMAN, PH.D.|410-715-1130|Corporation|Portfolio management for investment companies|APPROVED|05/19/2000|0|0|0|0|0|0
Philadelphia Regional Office| 109431|801-57728|CAPITAL MANAGEMENT GROUP LLC|CAPITAL MANAGEMENT GROUP LLC|1730 RHODE ISLAND AVE NW|STE 800|WASHINGTON DC 20036|USA|||  ||WILLIAM G. BRENNAN|202-296-3306|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/10/2000|0|0|0|0|0|0
Philadelphia Regional Office| 109437|801-57622|MOLEWSKI FINANCIAL PARTNERS|MOLEWSKI FINANCIAL SOLUTIONS LLC|100 GATEWAY DRIVE, SUITE 300||BETHLEHEM PA 18017|USA|100 GATEWAY DRIVE, SUITE 300||BETHLEHEM PA 18017|USA|PAUL D. EMRICK|610-865-2600|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|06/16/2000|0|0|0|0|0|0
Philadelphia Regional Office| 109447|801-67655|MITCHELL ADVISORY INC|MITCHELL ADVISORY INC|620 HERNDON PKWY|SUITE 200|HERNDON VA 20170|USA|||  ||MITCHELL MARTIN|703-742-8700|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/23/2007|0|0|0|0|0|0
Philadelphia Regional Office| 109508|801-63058|TWO RIVERS CAPITAL MANAGEMENT AT KINGSMILL INC|TWO RIVERS CAPITAL MANAGEMENT AT KINGSMILL INC|291 MCLAWS CIRCLE|SUITE 1|WILLIAMSBURG VA 23185|USA|||  ||GARRY M. ALLEN|757-220-8355|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Other|APPROVED|04/23/2004|0|0|0|0|0|0
Philadelphia Regional Office| 109511|801-57548|CHAPEL HILL INVESTMENT ANALYSTS INC|CHAPEL HILL INVESTMENT ANALYSTS INC|126 MATHEWS STREET, SUITE 2100||GREENSBURG PA 15601-6913|USA|||  ||JASON GONGAWARE|(724) 830-2600 X116|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/06/2000|0|0|0|0|0|0
Philadelphia Regional Office| 109515|801-56609|F.N.B. INVESTMENT ADVISORS INC|F.N.B. INVESTMENT ADVISORS INC|ONE F.N.B. BOULEVARD||HERMITAGE PA 16148|USA|532 MAIN STREET|SUITE 5|JOHNSTOWN PA 15901|USA|RAYMOND HRIN|814-532-3508|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|07/06/1999|0|0|0|0|0|0
Philadelphia Regional Office| 109554|801-56590|WILLS FINANCIAL GROUP|WILLS FINANCIAL GROUP, INC.|704 LIBBIE AVENUE||RICHMOND VA 23226-2622|USA|PO BOX 18338||RICHMOND VA 23226-8338|USA|RICHARD B. WILLS|804-330-3100|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/10/1999|0|0|0|0|0|0
Philadelphia Regional Office| 109557|801-56000|CANON CAPITAL INVESTMENT ADVISORY|P. J. ROLAND, LTD.|357 MAIN STREET||SOUDERTON PA 18964|USA|POST OFFICE BOX 64160||SOUDERTON PA 18964|USA|ROGER SMALL|215-723-4881|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|11/02/1998|0|0|0|0|0|0
Philadelphia Regional Office| 109570|801-57543|DIVERSIFIED PARTNERS, INC.|DIVERSIFIED PARTNERS INC|103 FOULK ROAD, SUITE 200||WILMINGTON DE 19803|USA|||  ||MARK MICCIOLI|615-371-0001|Corporation|Selection of other advisers|APPROVED|05/02/2000|1|1|1|0|0|0
Philadelphia Regional Office| 109585|801-54760|PROFUND ADVISORS LLC|PROFUND ADVISORS LLC|7501 WISCONSIN AVENUE|SUITE 1000|BETHESDA MD 20814-6527|USA|||  ||VICTOR M. FRYE|(240) 497-6506|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/19/1997|0|1|0|0|0|0
Philadelphia Regional Office| 109589|801-56697|MONITOR GROUP INC|MONITOR GROUP INC|1430 SPRING HILL ROAD|SUITE 400|MCLEAN VA 22102-3022|USA|||  ||GLENN G. KAUTT|703-288-0500|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/01/1999|0|0|0|0|0|0
Philadelphia Regional Office| 109597|801-57900|BIEGEL & WALLER LLC|BIEGEL & WALLER LLC|8860 COLUMBIA 100 PARKWAY, SUITE 201||COLUMBIA MD 21045|USA|||  ||MARK DAVID BIEGEL|410-997-0994|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|09/29/2000|0|1|0|0|0|0
Philadelphia Regional Office| 109612|801-57885|MOS CAPITAL, INC.|MOS CAPITAL, INC|500 E. MAIN ST.|SUITE 1135|NORFOLK VA 23510|USA|||  ||WILLIAM F. MOORE, JR|757-222-3711|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|09/22/2000|0|0|0|0|0|0
Philadelphia Regional Office| 109625|801-56086|FIDUCIARY INVESTMENT MANAGEMENT INTERNATIONAL, INC.|FIDUCIARY INVESTMENT MANAGEMENT INTERNATIONAL, INC.|1133 CONNECTICUT AVENUE, NW|SUITE 330|WASHINGTON DC 20036|USA|||  ||BREDA M. BECKERLE|(212) 632-3025|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/03/1998|0|3|2|0|0|0
Philadelphia Regional Office| 109636|801-56962|ARIBA ASSET MANAGEMENT INC|ARIBA ASSET MANAGEMENT INC|2101 WILSON BLVD SUITE 525||ARLINGTON VA 22201|USA|||  ||PETER LADD GILSEY|703 807 1144|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/09/1999|0|0|0|0|0|0
Philadelphia Regional Office| 109712|801-60040|COMMONWEALTH CAPITAL MANAGEMENT LLC|COMMONWEALTH CAPITAL MANAGEMENT LLC|8730 STONY POINT PARKWAY|BUILDING III, SUITE 205|RICHMOND VA 23235|USA|||  ||DAVID JONES|281-419-2140|Limited Liability Company|Portfolio management for investment companies|APPROVED|03/06/2001|0|0|0|0|0|0
Philadelphia Regional Office| 109732|801-38301|HARRIS SBSB|SULLIVAN BRUYETTE SPEROS & BLAYNEY INC|8180 GREENSBORO DRIVE|SUITE 1000|MCLEAN VA 22102-3823|USA|||  ||GREGORY D SULLIVAN|703-734-9300|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|01/03/1991|0|0|0|0|0|0
Philadelphia Regional Office| 109764|801-32849|CHAPMAN CAPITAL MANAGEMENT, INC.|CHAPMAN CAPITAL MANAGEMENT, INC.|5850 WATERLOO ROAD, SUITE 140||COLUMBIA MD 21045|USA|||  ||M. LYNN BALLARD|410-480-7095|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/29/1988|1|6|1|0|0|0
Philadelphia Regional Office| 109771|801-21527|MID ATLANTIC FINANCIAL MANAGEMENT, INC.|MID ATLANTIC FINANCIAL MANAGEMENT, INC.|1251 WATERFRONT PLACE|SUITE 510|PITTSBURGH PA 15222-4235|USA|||  ||JEANINE COLDITZ DEVINE|412-391-7077|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|06/07/1984|0|0|0|0|0|0
Philadelphia Regional Office| 109800|801-31757|CAPITOL FINANCIAL CONSULTANTS, INC.|CAPITOL FINANCIAL CONSULTANTS, INC.|8280 GREENSBORO DRIVE|SUITE 105|MCLEAN VA 22102|USA|||  ||JOEL E. STILLMAN|703-821-2000|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/22/1988|0|1|0|0|0|0
Philadelphia Regional Office| 109805|801-57157|STERLING WEALTH MANAGEMENT, INC.|STERLING WEALTH MANAGEMENT INC|8280 GREENSBORO DR|STE 105|MCLEAN VA 22102|USA|||  ||JOEL E. STILLMAN|703-821-2000|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/13/2000|0|0|0|0|0|0
Philadelphia Regional Office| 109845|801-37391|RE ADVISERS CORPORATION|RE ADVISERS CORPORATION|4301 WILSON BLVD.||ARLINGTON VA 22203-1860|USA|||  ||DANIELLE SIEVERLING|703-907-5993|Corporation|Financial planning services, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/21/1990|0|0|0|0|0|0
Philadelphia Regional Office| 109866|801-21231|VANTAGE POINT ADVISORS INC.|VANTAGE POINT ADVISORS INC.|1029 N. BETHLEHEM PIKE||LOWER GWYNEDD PA 19002|USA|||  ||TERRY J. SIMAN|215-643-5600|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|05/14/1984|0|0|0|0|0|0
Philadelphia Regional Office| 109895|801-60127|FINANCIAL PLANNING GROUP, INC.|INSPRIT FINANCIAL PLANNING GROUP, INC.|301 MAPLE AVE., WEST|SUITE 600|VIENNA VA 22180|USA|||  ||ELISSA BUIE, CFP|703-538-2116|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/06/2001|0|0|0|0|0|0
Philadelphia Regional Office| 109935|801-60093|PNC CAPITAL ADVISORS, INC.|PNC CAPITAL ADVISORS, INC.|TWO HOPKINS PLAZA, 4TH FLOOR||BALTIMORE MD 21201|USA|||  ||JOSE A. SANTIAGO|410-237-5639|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/25/2001|0|1|1|0|0|0
Philadelphia Regional Office| 109949|801-55160|BALTIMORE CAPITAL MANAGEMENT INC.|BALTIMORE CAPITAL MANAGEMENT INC.|575 S. CHARLES ST.|SUITE 506|BALTIMORE MD 21201|USA|||  ||LINDA HICKEL|410-727-4480|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/02/1998|0|0|0|0|0|0
Philadelphia Regional Office| 109955|801-60044|CYPRESS CAPITAL MANAGEMENT, LLC|CYPRESS CAPITAL MANAGEMENT, LLC|1220 MARKET BUILDING|SUITE 704|WILMINGTON DE 19801|USA|||  ||KELLY A. WELLBORN|302-429-8436|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/07/2001|0|2|0|0|0|0
Philadelphia Regional Office| 109971|801-46692|WMS PARTNERS, LLC|WMS PARTNERS, LLC|305 WASHINGTON AVENUE, SUITE 204||TOWSON MD 21204-4740|USA|||  ||TIMOTHY CHASE|410-337-7575|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|06/14/1994|0|0|0|0|0|0
Philadelphia Regional Office| 109975|801-44955|POLESTAR MANAGEMENT COMPANY|POLESTAR MANAGEMENT CO.|975 DELCHESTER ROAD||NEWTOWN SQUARE PA 19073|USA|||  ||EDMOND R. COCCI|610-651-0460|Corporation|Portfolio management for investment companies|APPROVED|10/14/1993|0|0|0|0|0|0
Philadelphia Regional Office| 109986|801-56955|GEIER ASSET MANAGEMENT INC|GEIER ASSET MANAGEMENT INC|2205 WARWICK WAY|STE 200|MARRIOTTSVILLE MD 21104|USA|||  ||THOMAS M. GEIER|407-321-6546|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/12/1999|0|0|0|0|0|0
Philadelphia Regional Office| 110047|801-36146|INVESTMENT PLANNING ASSOCIATES INC|INVESTMENT PLANNING ASSOCIATES INC|11140 ROCKVILLE PIKE|SUITE 600|ROCKVILLE MD 20852|USA|||  ||JAY P. LEVIN|240-430-3000|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|03/02/1990|0|0|0|0|0|0
Philadelphia Regional Office| 110061|801-35817|STAAR FINANCIAL ADVISORS INC|STAAR FINANCIAL ADVISORS INC|604 MCKNIGHT PARK DRIVE||PITTSBURGH PA 15237|USA|||  ||J. ANDRE WEISBROD|412-367-9076|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|02/16/1990|0|0|0|0|0|0
Philadelphia Regional Office| 110066|801-57443|CORCORAN GROUP|CORCORAN GROUP LTD|1010 WISCONSIN AVENUE, N.W.|SUITE 215|WASHINGTON DC 20007|USA|||  ||PHILIP E. CORCORAN|202-333-4775|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/26/2000|0|0|0|0|0|0
Philadelphia Regional Office| 110085|801-60028|PRIMESOLUTIONS ADVISORS, LLC|PRIMESOLUTIONS ADVISORS, LLC|45 26TH STREET||PITTSBURGH PA 15222|USA|||  ||SAM D'ALESANDRO|(412) 341-6642 X11|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters, Other|APPROVED|02/16/2001|0|0|0|0|0|0
Philadelphia Regional Office| 110086|801-56557|ARIBA GLB ASSET MANAGEMENT, INC.|ARIBA GLB ASSET MANAGEMENT, INC.|2101 WILSON BLVD|STE 525|ARLINGTON VA 22201|USA|||  ||PATRICK M WALSH|703-683-8488|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/11/1999|0|0|0|0|0|0
Philadelphia Regional Office| 110094|801-57015|PERESS INVESTMENT ADVISORS LTD|PERESS INVESTMENT ADVISORS LTD|1497 CHAIN BRIDGE ROAD, SUITE 200||MCLEAN VA 22101|USA|1497 CHAIN BRIDGE ROAD, SUITE 200||MCLEAN VA 22101||MARIA A. BURKE|703-356-8611|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|12/02/1999|0|2|0|0|0|0
Philadelphia Regional Office| 110095|801-56022|KRA CAPITAL MANAGEMENT INC|KRA CAPITAL MANAGEMENT INC|4041 UNIVERSITY DRIVE|SUITE 200|FAIRFAX VA 22030-3410|USA|||  ||NITIN M. CHITTAL|703-691-7810|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/25/1998|0|0|0|0|0|0
Philadelphia Regional Office| 110096|801-57921|HILLMAN CAPITAL MANAGEMENT INC|HILLMAN CAPITAL MANAGEMENT INC|7600 WISCONSIN AVENUE|SUITE 650|BETHESDA MD 20814|USA|||  ||MARK A. HILLMAN|240-744-4500|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/12/2000|0|0|0|0|0|0
Philadelphia Regional Office| 110123|801-58092|ELECT-INVEST.COM,INC.|ELECT-INVEST.COM,INC.|14 COBBLESTONE DR.||PAOLI PA 19301|USA|||  ||PETER AUGUST BRUENINGER|800-290-2831|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/01/2000|0|0|0|0|0|0
Philadelphia Regional Office| 110128|801-57491|VANTAGE INVESTMENT ADVISORS, LLC|VANTAGE INVESTMENT ADVISORS, LLC|1276 NORTH ATHERTON STREET||STATE COLLEGE PA 16803|USA|||  ||ROBERT R. THOMAS|814-867-2050|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|04/14/2000|0|0|0|0|0|0
Philadelphia Regional Office| 110147|801-64389|PKS INVESTMENT ADVISORS LLC|PKS INVESTMENT ADVISORS LLC|1801 SWEETBAY DRIVE||SALISBURY MD 21804|USA|||  ||WILLIAM E. BOOTH|410-546-5600|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|06/16/2005|0|0|0|0|0|0
Philadelphia Regional Office| 110181|801-38826|BROWN ADVISORY LLC|BROWN ADVISORY LLC|901 SOUTH BOND STREET|SUITE 400|BALTIMORE MD 21231-3340|USA|||  ||PATRICK J. VENTURA|(410) 537-5517|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/07/1991|0|0|0|0|0|0
Philadelphia Regional Office| 110226|801-29829|SOL CAPITAL MANAGEMENT CO|SOL CAPITAL MANAGEMENT CO|111 ROCKVILLE PIKE|SUITE 750|ROCKVILLE MD 20850|USA|||  ||SAMUEL SANDLER|(301) 881-3727|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/19/1987|0|0|0|0|0|0
Philadelphia Regional Office| 110258|801-31445|HARVEST INVESTMENT CONSULTANTS LLC|HARVEST INVESTMENT CONSULTANTS LLC|2345 YORK ROAD||TIMONIUM MD 21093|USA|||  ||STEPHEN S. DUKLEWSKI, JR.|410-561-9030|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/19/1988|0|1|0|0|0|0
Philadelphia Regional Office| 110281|801-5866|OBRIEN GREENE & CO INC|OBRIEN GREENE & CO INC|218 W. STATE STREET||MEDIA PA 19063|USA|||  ||ELIZABETH B. O'BRIEN|610-891-7880|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/18/1969|0|0|0|0|0|0
Philadelphia Regional Office| 110294|801-52528|PROFIT INVESTMENT MANAGEMENT|PROFIT INVESTMENT MANAGEMENT, LLC|8401 COLESVILLE RD, SUITE 320||SILVER SPRING MD 20910|USA|||  ||EUGENE A. PROFIT|301 650-0059|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/29/1996|0|0|0|0|0|0
Philadelphia Regional Office| 110339|801-17877|MCCABE CAPITAL MANAGERS, LTD.|MCCABE CAPITAL MANAGERS, LTD.|2011 RENAISSANCE BLVD|STE 210|KING OF PRUSSIA PA 19406|USA|||  ||ADREA SCARAMUCCI|610-277-8890|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|10/21/1982|0|0|0|0|0|0
Philadelphia Regional Office| 110362|801-60199|SHENANDOAH ASSET MANAGEMENT, LLC|SHENANDOAH ASSET MANAGEMENT, LLC|121 SHOCKOE SLIP||RICHMOND VA 23219|USA|||  ||ROBERT HILL, JR.|804.343-1400|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/27/2001|0|0|0|0|0|0
Philadelphia Regional Office| 110369|801-54184|THE DELANCEY CAPITAL GROUP, LP|THE DELANCEY CAPITAL GROUP, LP|TWO COMMERCE SQUARE|2001 MARKET STREET, SUITE 3420|PHILADELPHIA PA 19103|USA|||  ||PATRCIA GARRISON-CORBIN|215-568-2508|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/10/1997|0|0|0|0|0|0
Philadelphia Regional Office| 110370|801-58251|FIDUCIARY ANALYTICS, LLC|FIDUCIARY ANALYTICS, LLC|438 DIVISION ST||SEWICKLEY PA 15143|USA|||  ||J RICHARD LYNCH|412-741-8140|Limited Liability Company|Pension consulting services, Other|APPROVED|01/11/2001|0|0|0|0|0|0
Philadelphia Regional Office| 110398|801-44161|NORTON CAPITAL MANAGEMENT, INC.|NORTON CAPITAL MANAGEMENT, INC.|999 WATERSIDE DR. STE 2206||NORFOLK VA 23510-3326|USA|||  ||RAYMOND J. NORTON, CFA|(757)623-1200|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/18/1993|0|0|0|0|0|0
Philadelphia Regional Office| 110420|801-10612|HERITAGE INVESTORS MANAGEMENT CORP|HERITAGE INVESTORS MANAGEMENT CORP|7101 WISCONSIN AVE|SUITE 1112|BETHESDA MD 20814-4878|USA|||  ||MICHAEL CORNFELD|301-951-0440|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/26/1975|0|0|0|0|0|0
Philadelphia Regional Office| 110421|801-18770|KILLEN GROUP INC|KILLEN GROUP INC|1189 LANCASTER AVE||BERWYN PA 19312|USA|||  ||KEVIN M.RYAN|610 296 7222|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/21/1983|0|2|0|0|0|0
Philadelphia Regional Office| 110424|801-56767|WALNUT ASSET MANAGEMENT LLC|WALNUT ASSET MANAGEMENT LLC|1617 JOHN F. KENNEDY BLVD|SUITE 500|PHILADELPHIA PA 19103|USA|||  ||CLIFFORD P.  HAUGEN|215-981-0776|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/13/1999|0|3|1|0|0|0
Philadelphia Regional Office| 110473|801-46008|WATSON WYATT INVESTMENT CONSULTING INC|WATSON WYATT INVESTMENT CONSULTING INC|901 N. GLEBE ROAD||ARLINGTON VA 22203|USA|||  ||KARL CHEN|703-258-8000|Corporation|Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters, Other|APPROVED|03/22/1994|0|0|0|0|0|0
Philadelphia Regional Office| 110545|801-32509|AVENIR CORPORATION|AVENIR CORPORATION|1919 PENNSYLVANIA AVE NW|4TH FLOOR|WASHINGTON DC 20006|USA|||  ||KENNETH S. GEORGE|202-659-4427|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/22/1988|0|0|0|0|0|0
Philadelphia Regional Office| 110569|801-57535|AUTUMN WIND ASSET MANAGEMENT INC|AUTUMN WIND ASSET MANAGEMENT INC|10134-G COLVIN RUN RD||GREAT FALLS VA 22066|USA|||  ||NEAL FALKENBERRY, CFA|703 757-3848|Corporation|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|04/28/2000|0|0|0|0|0|0
Philadelphia Regional Office| 110572|801-55880|WEST CAPITAL MANAGEMENT, INC.|WEST CAPITAL MANAGEMENT, INC.|1818 MARKET STREET|33RD FLOOR|PHILADELPHIA PA 19103|USA|P.O. BOX 22477||PHILADELPHIA PA 19110-2477|USA|JOHN F. MCGOVERN, CPA|215-731-1820|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|09/18/1998|0|0|0|0|0|0
Philadelphia Regional Office| 110599|801-67513|BEACH FINANCIAL ADVISORY SERVICE|RONALD STEVEN PEARSON|6204 OCEAN FRONT AVENUE||VIRGINIA BEACH VA 23451|USA|||  ||RON PEARSON|757-428-6634|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/20/2007|0|0|0|0|0|0
Philadelphia Regional Office| 110613|801-51471|ZIRKIN CUTLER INVESTMENTS INC|ZIRKIN CUTLER INVESTMENTS INC|3 BETHESDA METRO CTR STE 840||BETHESDA MD 20814|USA|||  ||M. LYNN LANGLINAIS|410-986-5720|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/07/1996|0|0|0|0|0|0
Philadelphia Regional Office| 110619|801-18115|LEGG MASON CAPITAL MANAGEMENT INC|LEGG MASON CAPITAL MANAGEMENT INC|100 LIGHT STREET||BALTIMORE MD 21202|USA|||  ||NICHOLAS C. MILANO|410 454-5509|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/30/1982|0|1|0|0|0|0
Philadelphia Regional Office| 110632|801-56989|LEGG MASON CAPITAL MANAGEMENT|LMM LLC|100 LIGHT ST||BALTIMORE MD 21202|USA|||  ||NICHOLAS CARL MILANO|410-454-5509|Limited Liability Company|Portfolio management for investment companies|APPROVED|12/01/1999|0|0|0|0|0|0
Philadelphia Regional Office| 110694|801-16958|LEGG MASON FUND ADVISER INC|LEGG MASON FUND ADVISER INC|100 LIGHT STREET||BALTIMORE MD 21202|USA|||  ||RICHARD M. WACHTERMAN|410-454-5313|Corporation|Portfolio management for investment companies|APPROVED|03/17/1982|0|1|0|0|0|0
Philadelphia Regional Office| 110696|801-15054|ASHFORD CAPITAL MANAGEMENT INC|ASHFORD CAPITAL MANAGEMENT INC|ONE WALKERS MILL ROAD|P.O. BOX 4172|WILMINGTON DE 19807-2317|USA|P.O. BOX 4172||WILMINGTON DE 19807-0172|USA|ANTHONY M. PETRUCCI|302-655-1750|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/15/1980|0|0|0|0|0|0
Philadelphia Regional Office| 110703|801-15124|LANDER & ASSOCIATES INC|LANDER & ASSOCIATES INC|12855 PARAPET WAY||OAK HILL VA 20171|USA|||  ||HILARY S. CARROLL|703-716-4303|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/04/1980|0|0|0|0|0|0
Philadelphia Regional Office| 110729|801-21341|COOKSONPEIRCE|COOKSON PEIRCE & CO INC|555 GRANT STREET, SUITE 380||PITTSBURGH PA 15219-4421|USA|||  ||NANCY L. SANTORY|412-471-5320|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/23/1984|0|1|0|0|0|0
Philadelphia Regional Office| 110730|801-26492|MCHUGH ASSOCIATE, INC.|MCHUGH ASSOCIATES INC|259 NORTH RADNOR|CHESTER ROAD|RADNOR PA 19087|USA|||  ||ANDREA FITZGERALD|610-254- 2929|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/07/1986|0|0|0|0|0|0
Philadelphia Regional Office| 110742|801-55134|CHEVY CHASE TRUST COMPANY|CHEVY CHASE TRUST COMPANY|7501 WISCONSIN AVENUE||BETHESDA MD 20814|USA|||  ||PAUL DUNCAN|240-482-2990|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|12/24/1997|0|1|0|0|0|0
Philadelphia Regional Office| 110744|801-19015|RTD FINANCIAL ADVISORS INC|RTD FINANCIAL ADVISORS INC|30 S. 17TH STREET|STE 1720|PHILADELPHIA PA 19103|USA|||  ||JEFFREY A. WEIAND|215 557-3800|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|06/13/1983|0|0|0|0|0|0
Philadelphia Regional Office| 110746|801-54496|FINANCIAL SECURITY ADVISORY INC|FINANCIAL SECURITY ADVISORY INC|575 LYNNHAVEN PARKWAY|SUITE 310|VIRGINIA BEACH VA 23452|USA|||  ||JOHN T. ORLANDO|757-431-1414|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/15/1997|0|0|0|0|0|0
Philadelphia Regional Office| 110748|801-51360|FINANCIAL COUNCIL ASSET MANAGEMENT INC|FINANCIAL COUNCIL ASSET MANAGEMENT INC|205 EAST JOPPA ROAD|SUITE 109 THE RIDGELY|TOWSON MD 21286|USA|||  ||MARK K. TRAUB|410-821-9200|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/26/1996|0|0|0|0|0|0
Philadelphia Regional Office| 110750|801-43455|CMG CAPITAL MANAGEMENT GROUP, INC.|CMG CAPITAL MANAGEMENT GROUP, INC.|150 N. RADNOR-CHESTER ROAD|SUITE A150|RADNOR PA 19087|USA|||  ||STEVE BLUMENTHAL|610-989-9090|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/04/1993|0|0|0|0|0|0
Philadelphia Regional Office| 110751|801-42792|FINANCIAL COUNCIL INC|FINANCIAL COUNCIL INC|205 EAST JOPPA ROAD|SUITE 109|TOWNSON MD 21286|USA|||  ||WILLIAM M. LEEB|410-821-9200|Corporation|Financial planning services, Selection of other advisers|APPROVED|12/03/1992|0|0|0|0|0|0
Philadelphia Regional Office| 110777|801-15740|DIXON, HUBARD, FEINOUR & BROWN, INC.|DIXON, HUBARD, FEINOUR & BROWN, INC.|601 S JEFFERSON STREET|SUITE 410|ROANOKE VA 24011-2414|USA|POST OFFICE BOX 2768||ROANOKE VA 24001-2768|USA|W. STEBBINS HUBARD, JR.|540-343-9903|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|01/16/1981|0|0|0|0|0|0
Philadelphia Regional Office| 110783|801-27797|BRANDYWINE GLOBAL INVESTMENT MANAGEMENT, LLC|BRANDYWINE GLOBAL INVESTMENT MANAGEMENT, LLC|2929 ARCH STREET|8TH FLOOR|PHILADELPHIA PA 19104|USA|||  ||CHRISTOPHER D. MARZULLO|(215) 609-3500|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|08/29/1986|0|0|0|0|0|0
Philadelphia Regional Office| 110787|801-16476|MUHLENKAMP & CO INC|MUHLENKAMP & CO INC|5000 STONEWOOD DRIVE|STE 300|WEXFORD PA 15090-8395|USA|||  ||JEAN LEISTER|(724) 934-5124|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|10/08/1981|0|0|0|0|0|0
Philadelphia Regional Office| 110788|801-25126|VALLEY NATIONAL ADVISERS INC|VALLEY NATIONAL ADVISERS INC|1605 VALLEY CENTER PARKWAY|SUITE 160|BETHLEHEM PA 18017|USA|||  ||LAURIE A. SIEBERT|610-868-9000|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|08/30/1985|0|0|0|0|0|0
Philadelphia Regional Office| 110794|801-20798|TRIPP FINANCIAL CONSULTANTS, INC.|TRIPP FINANCIAL CONSULTANTS, INC.|2400 RESEARCH BLVD|SUITE 300|ROCKVILLE MD 20850-6215|USA|||  ||TRICIA TRIPP|301-721-1800|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/05/1984|0|0|0|0|0|0
Philadelphia Regional Office| 110795|801-23610|ECM ADVISORS INC|ECM ADVISORS INC|4740 PEACH STREET||ERIE PA 16509|USA|||  ||JEFFREY W. EVANS|814-868-7551|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|02/26/1985|0|0|0|0|0|0
Philadelphia Regional Office| 110800|801-55215|ASSET STRATEGY CONSULTANTS LLC|ASSET STRATEGY CONSULTANTS LLC|SIX NORTH PARK DRIVE|SUITE 208|HUNT VALLEY MD 21030|USA|||  ||ALFRED J. MORRISON|(410) 528-8282|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/03/1998|0|0|0|0|0|0
Philadelphia Regional Office| 110802|801-56821|PSA FINANCIAL ADVISORS INC|PSA FINANCIAL ADVISORS INC|11311 MCCORMICK ROAD||HUNT VALLEY MD 21031-8622||||  ||DONNA M. TEETS|410 821-7769 EXT 363|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|09/07/1999|0|2|1|0|0|0
Philadelphia Regional Office| 110803|801-58249|ASSET MANAGEMENT SERVICES, INC.|ASSET MANAGEMENT SERVICES, INC.|4013 EAST BAKER AVENUE||ABINGDON MD 21009|USA|||  ||GREGORY K. BOWSER|410-538-6800|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|12/22/2000|0|2|0|0|0|0
Philadelphia Regional Office| 110902|801-57563|BMC FINANCIAL ADVISORS|BEARD MILLER FINANCIAL ADVISORS, LLP|221 WEST PHILADELPHIA STREET|SUITE 200|YORK PA 17401-2993|USA|||  ||SCOTT D. MICHAEL|717-846-6214|Limited Liability Partnership|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|05/12/2000|0|1|0|0|0|0
Philadelphia Regional Office| 110916|801-43902|MARSHFIELD ASSOCIATES|MARSHFIELD ASSOCIATES|21 DUPONT CIRCLE|SUITE 500|WASHINGTON DC 20036|USA|21 DUPONT CIRCLE NW|SUITE 500|WASHINGTON DC 20036|UNITED STATES|KIM VINICK|202-828-6207|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/25/1993|0|1|0|0|0|0
Philadelphia Regional Office| 110935|801-62319|THE MARSHALL FINANCIAL GROUP, INC|THE MARSHALL FINANCIAL GROUP, INC|33 WEST COURT STREET||DOYLESTOWN PA 18901|USA|||  ||JEANNE A. ROBINSON|(215)348-9393|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|08/29/2003|0|1|0|0|0|0
Philadelphia Regional Office| 110937|801-55646|COMPREHENSIVE FINANCIAL PLANNING INC|COMPREHENSIVE FINANCIAL PLANNING INC|5995 LEMON STREET||EAST PETERSBURG PA 17520-1329|USA|||  ||RICHARD J. WALTERS|717-569-6667|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|07/10/1998|0|0|1|0|0|0
Philadelphia Regional Office| 110957|801-17368|CAPITAL ADVISORS INC|CAPITAL ADVISORS INC|275 HESS BOULEVARD||LANCASTER PA 17601|USA|||  ||FRANK L. IAQUINTA|717-569-4655|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/01/1982|0|0|0|0|0|0
Philadelphia Regional Office| 110969|801-19563|BEALE HEALY INVESTMENT ADVISORS INC|BEALE HEALY INVESTMENT ADVISORS INC|5002 MONUMENT AVENUE, SUITE 100||RICHMOND VA 23230|USA|||  ||ANN MARIE HEALY|804-355-0223|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|08/15/1983|0|0|0|0|0|0
Philadelphia Regional Office| 110995|801-57896|ASB CAPITAL MANAGEMENT LLC|ASB CAPITAL MANAGEMENT LLC|7501 WISCONSIN AVENUE, EAST TOWER|SUITE 200|BETHESDA MD 20814|USA|||  ||PAUL DUNCAN|240-482-2990|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|09/08/2000|0|1|0|0|0|0
Philadelphia Regional Office| 111062|801-58140|NTV ASSET MANAGEMENT, LLC|NTV ASSET MANAGEMENT, LLC|216 BROOKS STREET|SUITE 300|CHARLESTON WV 25301|USA|||  ||KAREN SETTERSTROM|304.353.9095|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/28/2000|0|0|0|0|0|0
Philadelphia Regional Office| 111069|801-49966|ABERDEEN ASSET MANAGEMENT INC.|ABERDEEN ASSET MANAGEMENT INC|1735 MARKET STREET|37TH FLOOR|PHILADELPHIA PA 19103|USA|||  ||JENNIFER NICHOLS|(215) 405-5773|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/23/1995|0|1|0|0|0|0
Philadelphia Regional Office| 111095|801-60154|OAKMONT INVESTMENT ADVISORS, INC.|OAKMONT INVESTMENT ADVISORS, INC.|1000 RIDC PLAZA, SUITE 108||PITTSBURGH PA 15238|USA|||  ||RONALD HEAKINS|412-967-9020|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/04/2001|0|0|0|0|0|0
Philadelphia Regional Office| 111099|801-60201|SELECT FINANCIAL GROUP, LLC|SELECT FINANCIAL GROUP, LLC|912 WASHINGTON AVENUE||CARNEGIE PA 15106|USA|||  ||JOHN P. ABRIOLA|412-276-5010|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|04/19/2001|0|0|0|0|0|0
Philadelphia Regional Office| 111105|801-56351|MONTGOMERY BROTHERS INC|MONTGOMERY BROTHERS INC|1020 19TH STREET, NW|STE 200|WASHINGTON DC 20036|USA|||  ||JOHN E. MONTGOMERY|301.652.6950|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/22/1999|0|0|0|0|0|0
Philadelphia Regional Office| 111113|801-18054|MASON INVESTMENT ADVISORY SERVICES INC|MASON INVESTMENT ADVISORY SERVICES INC|11130 SUNRISE VALLEY DR|STE 200|RESTON VA 20191-5321|USA|||  ||JUDITH L. BIRCHFIELD|703.716.6000|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|12/20/1982|0|2|0|0|0|0
Philadelphia Regional Office| 111119|801-60183|FINANCEWARE, INC. DBA WEALTHCARE CAPITAL MANAGEMENT|FINANCEWARE, INC.|100 WEST FRANKLIN STREET|SUITE 400|RICHMOND VA 23220-5048|USA|||  ||ROBERT P. WILSON|804-521-3420|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters, Other|APPROVED|04/19/2001|1|30|1|0|0|0
Philadelphia Regional Office| 111125|801-44866|RICH INVESTMENTS INC|RICH INVESTMENTS INC|11 EAST MARKET STREET||YORK PA 17401|USA|||  ||KAREN E. RICH-FALVEY|800-290-7424|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Publication of periodicals or newsletters, Other|APPROVED|10/05/1993|0|0|0|0|0|0
Philadelphia Regional Office| 111126|801-51407|FIS GROUP, INC.|FIS GROUP, INC.|1818 MARKET STREET|SUITE 3205|PHILADELPHIA PA 19103|USA|||  ||SHELLEY SIMMS REED|215-567-1100|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|03/04/1996|0|0|0|0|0|0
Philadelphia Regional Office| 111128|801-52462|CARLYLE INVESTMENT MANAGEMENT L.L.C.|CARLYLE INVESTMENT MANAGEMENT L.L.C.|1001 PENNSYLVANIA AVENUE, N.W.||WASHINGTON DC 20004-2505|USA|||  ||RALPH FRANCIS MITTL|202-729-5592|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/06/1996|0|1|0|0|0|0
Philadelphia Regional Office| 111131|801-55850|KADES FINANCIAL INC|KADES FINANCIAL INC|600 GERMANTOWN PIKE||LAFAYETTE HILL PA 19444|USA|||  ||HOWARD KADES|610-834-1504|Corporation|Pension consulting services, Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/31/1998|0|0|0|0|0|0
Philadelphia Regional Office| 111159|801-56446|THE BERKOWITZ GROUP, INC.|THE BERKOWITZ GROUP, INC.|5695 PHELPS LUCK DR.||COLUMBIA MD 21045|USA|10440 LITTLE PATUXENT PARKWAY|SUITE 900|COLUMBIA MD 21044|USA|STEPHEN A. BERKOWITZ|410-772-0500|Corporation|Pension consulting services, Other|APPROVED|04/26/1999|0|0|0|0|0|0
Philadelphia Regional Office| 111179|801-48201|LASALLE INVESTMENT MANAGEMENT (SECURITIES), L.P.|LASALLE INVESTMENT MANAGEMENT (SECURITIES), L.P.|100 EAST PRATT STREET||BALTIMORE MD 21202|USA|||  ||DAVID DOHERTY|312 228 2057|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|11/30/1994|0|0|0|0|0|0
Philadelphia Regional Office| 111190|801-43935|ASHBRIDGE INVESTMENT MANAGEMENT, LLC|ASHBRIDGE INVESTMENT MANAGEMENT, LLC|ONE SOUTH BROAD STREET - 23RD FLOOR||PHILADELPHIA PA 10107|USA|||  ||GREGORY J. YOUNG|215-568-6610|Limited Liability Company|Financial planning services, Selection of other advisers, Other|APPROVED|05/14/1993|0|0|0|0|0|0
Philadelphia Regional Office| 111241|801-67276|SFG INVESTMENT ADVISORS, INC.|SFG INVESTMENT ADVISORS, INC.|3655 ROUTE 202, SUITE 140|GEORGETOWN CROSSING OFFICES|DOYLESTOWN PA 18902|USA|||  ||CHARLES F. STEEGE|215-345-5601|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|11/13/2006|0|0|0|0|0|0
Philadelphia Regional Office| 111268|801-53367|YOUNGS ADVISORY GROUP, INC.|YOUNGS ADVISORY GROUP, INC.|854 E. EMMAUS AVENUE||ALLENTOWN PA 18103|USA|5029 VERA CRUZ ROAD||CENTER VALLEY PA 18034|USA|WEBSTER YOUNGS|610-791-9940|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|11/27/1996|0|0|0|0|0|0
Philadelphia Regional Office| 111291|801-57871|AZZAD ASSET MANAGEMENT, INC.|AZZAD ASSET MANAGEMENT, INC.|3141 FAIRVIEW PARK DRIVE|SUITE 460|FALLS CHURCH VA 22042|USA|||  ||BASHAR QASEM|703-207-7005|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/21/2000|0|1|0|0|0|0
Philadelphia Regional Office| 111299|801-66644|MORGAN STANLEY ALTERNATIVE INVESTMENT PARTNERS LP|MORGAN STANLEY ALTERNATIVE INVESTMENT PARTNERS LP|ONE TOWER BRIDGE|100 FRONT STREET SUITE 1100|WEST CONSHOHOCKEN PA 19428|USA|||  ||MARY JANE MALONEY|610-940-5113|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|06/09/2006|0|2|16|0|0|0
Philadelphia Regional Office| 111308|801-67977|TUCKER FINANCIAL SERVICES, INC.|TUCKER FINANCIAL SERVICES, INC.|425 PHOENIX DRIVE||CHAMBERSBURG PA 17201|USA|||  ||JOANNA ST. CLAIR|717-267-1426|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|06/15/2007|0|0|0|0|0|0
Philadelphia Regional Office| 111335|801-60111|COHO PARTNERS, LTD.|COHO PARTNERS, LTD.|ONE TOWER BRIDGE, SUITE 1430, 100 FRONT STREET|100 FRONT STREET|WEST CONSHOHOCKEN PA 19428|USA|||  ||ELISA B. MONEYMAKER|610-834-8001|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/30/2001|0|0|0|0|0|0
Philadelphia Regional Office| 111353|801-44462|CONSERVEST CAPITAL ADVISORS INC|CONSERVEST CAPITAL ADVISORS INC|257 E. LANCASTER AVENUE|SUITE 205|WYNNEWOOD PA 19096|USA|||  ||ROBERT J. SCHNEIDER|610-642-9588|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/30/1993|0|0|0|0|0|0
Philadelphia Regional Office| 111450|801-54022|WINSTON CAPITAL MANAGEMENT LLC|WINSTON CAPITAL MANAGEMENT LLC|1750 TYSONS BLVD|SUITE 200|MCLEAN VA 22102-4228|USA|||  ||ANN S. WILLIAMS|(703) 905-9555|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|01/31/1997|0|0|1|0|0|0
Philadelphia Regional Office| 111478|801-15108|DEARDEN, MAGUIRE, WEAVER & BARRETT, LLC|DEARDEN, MAGUIRE, WEAVER & BARRETT, LLC|ONE TWR BRIDGE|STE 560|WEST CONSHOHOCKEN PA 19428|USA|||  ||ALEXANDER A. MAGUIRE|610-832-0277|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/07/1980|0|1|0|0|0|0
Philadelphia Regional Office| 111498|801-56269|PRIME INVESTMENT ADVISORY CORPORATION|PRIME INVESTMENT ADVISORY CORPORATION|7610 OLD GEORGETOWN ROAD|PLAZA LEVEL|BETHESDA MD 20814|USA|||  ||STEPHEN SHEPARD POLAN|301-951-5233|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/12/1999|0|0|0|0|0|0
Philadelphia Regional Office| 111505|801-60097|FIRST COMMONWEALTH ADVISORS|FIRST COMMONWEALTH FINANCIAL ADVISORS, INC.|1001 VILLAGE RUN ROAD||WEXFORD PA 15090|USA|||  ||SUSAN SCHELLIN|724-933-4515|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|03/16/2001|0|0|0|0|0|0
Philadelphia Regional Office| 111509|801-50972|GRANT/GROSSMENDELSOHN, LLC|GRANT/GROSSMENDELSOHN, LLC|36 SOUTH CHARLES STREET|18TH FLOOR|BALTIMORE MD 21201|USA|||  ||CHRISTOPHER E. GRANT|410-685-9685|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/01/1996|0|0|0|0|0|0
Philadelphia Regional Office| 111513|801-58293|MDL CAPITAL MANAGEMENT, INCORPORATED|MDL CAPITAL MANAGEMENT, INCORPORATED|309 SMITHFIELD STREET|FIFTH FLOOR|PITTSBURGH PA 15222|USA|||  ||MIMI FORBES BEAL|(412) 281-1995|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/12/2000|0|0|1|0|0|0
Philadelphia Regional Office| 111540|801-58194|CAPMARK INVESTMENTS LP|CAPMARK INVESTMENTS LP|116 WELSH ROAD||HORSHAM PA 19044|USA|||  ||MICHELLE WOODS VAUGHN|215-328-1303|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/14/2000|0|1|0|0|0|0
Philadelphia Regional Office| 111587|801-46901|AEGIS FINANCIAL CORPORATION|AEGIS FINANCIAL CORPORATION|1100 NORTH GLEBE RD|SUITE 1040|ARLINGTON VA 22201-7788|USA|||  ||SARAH Q. ZHANG|703-528-7788|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/08/1994|0|2|0|0|0|0
Philadelphia Regional Office| 111647|801-61501|RDL FINANCIAL, LC|RDL FINANCIAL, LC|4401 FAIR LAKES COURT|STE 310|FAIRFAX VA 22033|USA|||  ||ROBERT LEN|703-502-9500|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/01/2002|0|0|0|0|0|0
Philadelphia Regional Office| 111685|801-55694|RIGGS STEIGERWALD INC.|RIGGS STEIGERWALD INC.|891-A HARRISON STREET, S.E.||LEESBURG VA 20175|USA|||  ||JOHN STEIGERWALD|(703) 777-8826|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|07/07/1998|0|0|0|0|0|0
Philadelphia Regional Office| 111692|801-55125|MARSDEN CAPITAL MANAGEMENT|MARSDEN JOHN RICHARD JR|1103 POWELL AVENUE||ERIE PA 16505|USA|||  ||JOHN R. MARSDEN|814-836-1800|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|12/16/1997|0|0|0|0|0|0
Philadelphia Regional Office| 111712|801-21673|WILEN MANAGEMENT CO INC|WILEN MANAGEMENT CO INC|GREENSPRING STATION - SUITE #226|2360 WEST JOPPA ROAD|LUTHERVILLE MD 21093|USA|||  ||JAMES WILEN|410-339-7800|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/25/1984|0|0|0|0|0|0
Philadelphia Regional Office| 111740|801-60373|ABUNDANCE WEALTH COUNSELORS, LLC|ABUNDANCE WEALTH COUNSELORS, LLC|232 REGENT COURT||STATE COLLEGE PA 16801|USA|P.O. BOX 106||STATE COLLEGE PA 16804-9908|USA|RONALD P. DREESE|814.861.3810|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|06/25/2001|0|0|0|0|0|0
Philadelphia Regional Office| 111743|801-30504|BRINKER CAPITAL INC|BRINKER CAPITAL INC|1055 WESTLAKES DRIVE|SUITE 250|BERWYN PA 19312|USA|||  ||PATTI MCCABE|610-407-5406|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/26/1988|0|1|0|0|0|0
Philadelphia Regional Office| 111750|801-60133|CONESTOGA CAPITAL ADVISORS, LLC|CONESTOGA CAPITAL ADVISORS, LLC|259 N. RADNOR-CHESTER RD.|RADNOR COURT SUITE 120|RADNOR PA 19087|USA|||  ||DUANE DORAZIO|484-654-1380|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/18/2001|0|0|0|0|0|0
Philadelphia Regional Office| 111755|801-42372|RAULIN INC.|RAULIN INC.|600 TAYLOR WAY, SUITE 201||BRIDGEVILLE PA 15017-1842|USA|||  ||JUSTIN BROOKS LAUVER|(412) 221-3044|Corporation|Pension consulting services, Selection of other advisers|APPROVED|09/23/1992|0|0|0|0|0|0
Philadelphia Regional Office| 111814|801-54969|LYNX INVESTMENT ADVISORY,LLC|LYNX INVESTMENT ADVISORY,LLC|1100 CONNECTICUT AVENUE, NW|SUITE 300|WASHINGTON DC 20036|USA|||  ||KARA LILIAN|202-833-3700|Limited Liability Company|Pension consulting services, Selection of other advisers, Other|APPROVED|10/17/1997|0|0|0|0|0|0
Philadelphia Regional Office| 111827|801-57010|FIDUCIARY COUNSELORS INC.|FIDUCIARY COUNSELORS INC.|700 12TH STREET NW|SUITE 700|WASHINGTON DC 20005-4052|USA|||  ||ELLEN A. HENNESSY|202-558-3141|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|11/29/1999|0|0|0|0|0|0
Philadelphia Regional Office| 111848|801-56148|HERITAGE CAPITAL MANAGEMENT LLC|HERITAGE CAPITAL MANAGEMENT LLC|110 WYLDEROSE DRIVE||MIDLOTHIAN VA 23113|USA|||  ||GEORGE A. HUSS|(804) 423-5695|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|12/31/1998|0|0|0|0|0|0
Philadelphia Regional Office| 111889|801-30978|CAMBRIDGE FINANCIAL SERVICES, LTD|CAMBRIDGE FINANCIAL SERVICES, LTD|804 MOOREFIELD PARK DRIVE|SUITE 102|RICHMOND VA 23236|USA|PO BOX 13680||RICHMOND VA 23225|USA|WILSON DUKE GRKOVIC|804 330-5600|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|11/27/1987|0|1|0|0|0|0
Philadelphia Regional Office| 111907|801-60151|WESBANCO INVESTMENT DEPARTMENT|WESBANCO BANK, INC.|ONE BANK PLAZA|FIFTH FLOOR|WHEELING WV 26003-3565|USA|||  ||DEBORAH FERDON|304-234-9419|Other (specify)|Portfolio management for investment companies|APPROVED|03/30/2001|0|0|0|0|0|0
Philadelphia Regional Office| 111936|801-60297|GREYCOURT & CO., INC.|GREYCOURT & CO., INC.|607 COLLEGE AVENUE||PITTSBURGH PA 15232|USA|||  ||DAVID R. LOVEJOY|412-361-0100|Corporation|Selection of other advisers, Other|APPROVED|06/22/2001|0|1|1|0|0|0
Philadelphia Regional Office| 111940|801-55092|ISS GOVERNANCE SERVICES|INSTITUTIONAL SHAREHOLDER SERVICES INC.|2099 GAITHER ROAD|SUITE 501|ROCKVILLE MD 20850|USA|||  ||MARIA CARMEN S. PINNELL|202-833-7605|Corporation|Pension consulting services, Publication of periodicals or newsletters, Other|APPROVED|12/22/1997|0|0|0|0|0|0
Philadelphia Regional Office| 111962|801-69356|STERLING FINANCIAL ADVISORS, LLC|STERLING FINANCIAL ADVISORS, LLC|1330 BROADCASTING ROAD||WYOMISSING PA 19610-6008|USA|PO BOX 6321||WYOMISSING PA 19619-6008|USA|STEPHANIE A. CONNERTON|610-376-9561|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|07/08/2008|0|0|0|0|0|0
Philadelphia Regional Office| 112070|801-54211|DUNTON AMMON GRESHAM JR|DUNTON AMMON GRESHAM JR|678 RAPPAHANNOCK DR||WHITE STONE VA 22578|USA|||  ||MORGAN WADE ALLEY|(804) 435-4000|Sole Proprietorship|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/04/1997|0|0|0|0|0|0
Philadelphia Regional Office| 112096|801-56592|AGINCOURT CAPITAL MANAGEMENT, LLC|AGINCOURT CAPITAL MANAGEMENT, LLC|600 EAST MAIN STREET|SUITE 2120|RICHMOND VA 23219|USA|||  ||LAURA HAYNIE|804/648-1111|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/01/1999|0|0|0|0|0|0
Philadelphia Regional Office| 112100|801-56954|CMG ADVISORS, INC.|CMG ADVISORS, INC.|150 RADNOR CHESTER ROAD|SUITE A150|RADNOR PA 19087|USA|||  ||STEPHEN B. BLUMENTHAL|610-989-9090|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/05/1999|0|0|0|0|0|0
Philadelphia Regional Office| 112112|801-45568|STANLEY-LAMAN GROUP LTD.|STANLEY-LAMAN GROUP LTD.|1235 WESTLAKES DR|SUITE 295|BERWYN PA 19312|USA|||  ||WILLIAM G. STANLEY|610-993-9100|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|01/06/1994|0|0|0|0|0|0
Philadelphia Regional Office| 112124|801-55004|H. L. LICHSTRAHL & COMPANY, LLC|H. L. LICHSTRAHL & COMPANY, LLC|3976 CHAIN BRIDGE ROAD||FAIRFAX VA 22030-3300|USA|P.O. BOX 309||FAIRFAX VA 22038-0309||HOWARD LAWRENCE LICHSTRAHL|(703)934-4777|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|11/13/1997|0|1|0|0|0|0
Philadelphia Regional Office| 112130|801-42329|SFX FINANCIAL ADVISORY MANAGEMENT ENTERPRISES INC|SFX FINANCIAL ADVISORY MANAGEMENT ENTERPRISES INC|5335 WISCONSIN AVE., NW, SUITE 850||WASHINGTON DC 20015|USA|||  ||GENE MASON|202-721-7225|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|09/21/1992|0|0|0|0|0|0
Philadelphia Regional Office| 112133|801-60973|DECKERT LEAHY|DECKERT LEAHY|812 MOOREFIELD PARK DRIVE STE 110||RICHMOND VA 23236|USA|||  ||THOMAS LEAHY|(804) 421-0063|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/21/2002|0|0|0|0|0|0
Philadelphia Regional Office| 112139|801-60424|HBK SORCE ADVISORY LLC|HBK SORCE ADVISORY LLC|ZUCK ROAD OFFICE PARK|5121 ZUCK ROAD|ERIE PA 16506|USA|||  ||SCOTT A. CROSS|(814)836-5776|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|07/19/2001|0|0|1|0|0|0
Philadelphia Regional Office| 112144|801-48406|RILEY CAPITAL MANAGEMENT INC|RILEY CAPITAL MANAGEMENT INC|121 S. LOUDOUN ST.||WINCHESTER VA 22601|USA|||  ||MARY SCULLY RILEY|540-662-4097|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|02/07/1995|0|0|0|0|0|0
Philadelphia Regional Office| 112222|801-23959|GALOVICH FINANCIAL PLANNING SERVICES INC|GALOVICH FINANCIAL PLANNING SERVICES INC|736 W INGOMAR RD STE 207||INGOMAR PA 15127|USA|||  ||FRED GALOVICH|412-367-1650|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Market timing services|APPROVED|09/30/1985|0|0|0|0|0|0
Philadelphia Regional Office| 112235|801-61759|TULL FINANCIAL GROUP, INC.|TULL FINANCIAL GROUP, INC.|640 INDEPENDENCE PARKWAY|SUITE 300|CHESAPEAKE VA 23320|USA|||  ||KIRSTIN HARK|(757)436-1122|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|01/23/2003|0|0|0|0|0|0
Philadelphia Regional Office| 112242|801-13252|THE CAPITAL MANAGEMENT CORPORATION|THE CAPITAL MANAGEMENT CORPORATION|9030 STONY POINT PKWY STE 150||RICHMOND VA 23235|USA|||  ||KENNETH L WALKER|804-327-0304|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/26/1977|0|0|0|0|0|0
Philadelphia Regional Office| 112282|801-50718|INDEPENDENT INVESTMENT ADVISORS INC.|INDEPENDENT INVESTMENT ADVISORS INC.|# 8 STONECREST DRIVE||HUNTINGTON WV 25701|USA|||  ||PAUL KIRSH JACOBSON|304-697-5768|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|12/04/1995|0|0|0|0|0|0
Philadelphia Regional Office| 112359|801-55994|KT ADMINISTRATORS INC|KT ADMINISTRATORS INC|987 OLD EAGLE SCHOOL ROAD|SUITE 710|WAYNE PA 19087|USA|||  ||GARY L. BEAVER|610-341-0900|Corporation|Pension consulting services|APPROVED|10/30/1998|0|0|0|0|0|0
Philadelphia Regional Office| 112368|801-29207|CROWLEY WEALTH MANAGEMENT, INC.|CROWLEY WEALTH MANAGEMENT, INC.|3201-B MILLCREEK ROAD||WILMINGTON DE 19808|USA|||  ||FREDERICK J. CROWLEY, JR.|302-994-4700|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/20/1987|0|0|0|0|0|0
Philadelphia Regional Office| 112389|801-29022|LAUREL FINANCIAL GROUP INC|LAUREL FINANCIAL GROUP INC|9 DORCHESTER DR||PITTSBURGH PA 15241|USA|||  ||WESLEY R. NICHOLSON|412-831-7800|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|03/19/1987|0|0|0|0|0|0
Philadelphia Regional Office| 112477|801-57306|NATIONAL PENN CAPITAL ADVISORS|NATIONAL PENN CAPITAL ADVISORS, INC.|95 NORTH BROAD ST||DOYLESTOWN PA 18901|USA|||  ||MATTHEW LOFLAND|(215) 230-7171|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|02/22/2000|0|0|0|0|0|0
Philadelphia Regional Office| 112503|801-10281|MFI ASSOCIATES|MFI ASSOCIATES, LTD|25 EAST ATHENS AVENUE||ARDMORE PA 19003-2229|USA|||  ||STEVEN PRUSKY|610-642-3100|Corporation|Market timing services|APPROVED|08/11/1975|0|0|0|0|0|0
Philadelphia Regional Office| 112510|801-60225|INVESTMENT ADVICE LINE|INVESTMENT ADVICE LINE, INC.|300 EAST JOPPA RD.|SUITE 300|TOWSON MD 21286|USA|||  ||MARK CAUCHON|410-828-4900|Corporation|Selection of other advisers, Other|APPROVED|05/01/2001|0|0|0|0|0|0
Philadelphia Regional Office| 112569|801-55295|KALSON & ASSOCIATES|KALSON GRANT D & ASSOCIATES INC|1105 TAYLORSVILLE ROAD|SUITE A|WASHINGTON CROSSING PA 18977|USA|PO BOX 1300||NEWTOWN PA 18940|USA|ELAINE G. KALSON|215-968-6851|Corporation|Pension consulting services, Other|APPROVED|07/10/1998|0|0|1|0|0|0
Philadelphia Regional Office| 112778|801-57384|DINUZZO INVESTMENT ADVISORS INC.|DINUZZO INVESTMENT ADVISORS INC.|1501 THIRD ST.||BEAVER PA 15009|USA|||  ||PATRICK J. DINUZZO|724-728-6564|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Other|APPROVED|04/07/2000|0|0|0|0|0|0
Philadelphia Regional Office| 112884|801-66778|RPH FINANCIAL SERVICES, INC|RPH FINANCIAL SERVICES, INC|HIGHWAY CONTRACT 1 BOX 156||SCIOTA PA 18354|USA|||  ||ROBERT P. HANLON, JR., CFP MSFS|(570) 992-1675|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|08/08/2006|0|0|0|0|0|0
Philadelphia Regional Office| 113051|801-64413|WEALTH MANAGEMENT GROUP|WEALTH MANAGEMENT GROUP, LLC|220 BEISER BLVD||DOVER DE 19904|USA|||  ||SCOTT RICHARD BROWN|302-734-5826|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|06/23/2005|0|0|0|0|0|0
Philadelphia Regional Office| 113088|801-60307|GRAVITAS CAPITAL ADVISORS, INC.|GRAVITAS CAPITAL ADVISORS, INC.|601 PENNSYLVANIA AVENUE, NW|SUITE 900- SOUTH BLDG|WASHINGTON DC 20004|USA|||  ||ERIC-VINCENT GUICHARD|202-434-8341|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|06/08/2001|0|0|0|0|0|0
Philadelphia Regional Office| 113220|801-66497|VIRGINIA CAPITAL STRATEGIES LLC|VIRGINIA CAPITAL STRATEGIES LLC|110 CHURCH AVE. S.W.|SUITE 401|ROANOKE VA 24011|USA|||  ||STEPHEN JAMES BOWERY|540.527.3700|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/19/2006|0|0|0|0|0|0
Philadelphia Regional Office| 113299|801-64567|EDELMAN FINANCIAL SERVICES LLC|EDELMAN FINANCIAL SERVICES LLC|4000 LEGATO ROAD|9TH FLOOR|FAIRFAX VA 22033|USA|||  ||ERAINE J. PARKER|703-251-0167|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|08/23/2005|0|3|0|0|0|0
Philadelphia Regional Office| 113347|801-60362|COMMONWEALTH ADVISORY GROUP, LTD.|COMMONWEALTH ADVISORY GROUP, LTD.|1910 COCHRAN ROAD|MANOR OAK ONE, SUITE 620|PITTSBURGH PA 15220|USA|||  ||ROBERT J. LOHMAN|412-531-6040|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/26/2001|0|0|0|0|0|0
Philadelphia Regional Office| 113426|801-28429|THETFORD INVESTMENT MANAGEMENT, INC.|THETFORD INVESTMENT MANAGEMENT, INC.|823 EAST MAIN STREET|SUITE 1313|RICHMOND VA 23219|USA|P.O. BOX 1397||RICHMOND VA 23218-1397|USA|JOHN F PATAKI|804-782-9338|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|12/15/1986|0|0|0|0|0|0
Philadelphia Regional Office| 113543|801-50228|HARDESTY CAPITAL MANAGEMENT CORP.|HARDESTY CAPITAL MANAGEMENT CORP.|2 EAST READ STREET||BALTIMORE MD 21202|USA|||  ||ERIC P. SCHOPF|410-783-9633|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/10/1995|0|0|0|0|0|0
Philadelphia Regional Office| 113563|801-67637|QUANTUM FINANCIAL ADVISORS INC|QUANTUM FINANCIAL ADVISORS INC|1633 Q. STREET, NW|SUITE 230|WASHINGTON DC 20009|USA|9710 TRAVILLE GATEWAY DRIVE|# 236|ROCKVILLE MD 20850|USA|JOSEPH F. RINALDI|301-529-5312|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Other|APPROVED|03/23/2007|0|2|0|0|0|0
Philadelphia Regional Office| 113625|801-60360|EGE ADVISORS, LTD.|EGE ADVISORS, LTD.|1150 FIRST AVENUE, SUITE 600||KING OF PRUSSIA PA 19406|USA|||  ||ERIC EARNHARDT|610.783.1800|Partnership|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|06/22/2001|0|0|0|0|0|0
Philadelphia Regional Office| 113678|801-61179|STRATEGIC WEALTH MANAGEMENT GROUP, LLC|STRATEGIC WEALTH MANAGEMENT GROUP, LLC|7300 GRACE DRIVE||COLUMBIA MD 21044|USA|||  ||PATRICIA EDDY|410-988-9494|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|05/17/2002|0|0|0|0|0|0
Philadelphia Regional Office| 113750|801-68102|FOCUS ASSET MANAGEMENT COMPANY|FOCUS ASSET MANAGEMENT COMPANY|5101 CLEVELAND ST.|SUITE 104|VIRGINIA BEACH VA 23462|USA|||  ||LAURIE BRADFORD|757.499.5000|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|07/12/2007|0|0|0|0|0|0
Philadelphia Regional Office| 113775|801-1441|WOOD YOUNG & CO INC|WOOD YOUNG & CO INC|209 W. BROAD ST.||QUAKERTOWN PA 18951|USA|||  ||DAVID E. YOUNG|215-536-8620|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/15/1957|0|0|0|0|0|0
Philadelphia Regional Office| 113788|801-60862|MEDALLION ADVISORY SERVICES, LLC|MEDALLION ADVISORY SERVICES, LLC|811 GOV. RITCHIE HIGHWAY|SUITE 25|SEVERNA PARK MD 21146|USA|||  ||LORETTA GIULIANI|(410)544-8400|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/18/2002|0|2|0|0|0|0
Philadelphia Regional Office| 113859|801-60411|COOKE & BIELER, L.P.|COOKE & BIELER, L.P.|1700 MARKET STREET|SUITE 3222|PHILADELPHIA PA 19103|USA|||  ||LINDA NITKA PERNA|215-567-1101|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/08/2001|0|0|0|0|0|0
Philadelphia Regional Office| 113908|801-60468|SPIRE WEALTH MANAGEMENT, LLC|SPIRE WEALTH MANAGEMENT, LLC|12355 SUNRISE VALLEY DR.|SUITE 305|RESTON VA 20191|USA|||  ||SUE MCKEOWN|(703)657-6062|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|08/17/2001|0|0|0|0|0|0
Philadelphia Regional Office| 113989|801-60581|KOHLHEPP INVESTMENT ADVISORS, LTD.|KOHLHEPP INVESTMENT ADVISORS, LTD.|150 EAST STATE STREET||DOYLESTOWN PA 18901-4313|USA|||  ||EDWARD J. KOHLHEPP|215-340-5777|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|09/24/2001|0|0|0|0|0|0
Philadelphia Regional Office| 114057|801-60837|ROUMELL ASSET MANAGEMENT, LLC|ROUMELL ASSET MANAGEMENT, LLC|2 WISCONSIN CIRCLE|SUITE 660|CHEVY CHASE MD 20815|USA|||  ||CRAIG LUKIN|301 656-8500|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|01/10/2002|0|0|0|0|0|0
Philadelphia Regional Office| 114114|801-60603|QUAKER FUNDS, INC.|QUAKER FUNDS, INC.|309 TECHNOLOGY DRIVE||MALVERN PA 19355|USA|||  ||TIMOTHY E. RICHARDS|610-455-2207|Corporation|Portfolio management for investment companies, Selection of other advisers|APPROVED|09/21/2001|0|1|0|0|0|0
Philadelphia Regional Office| 114127|801-60463|HAMILTON-BATES INVESTMENT RESEARCH, INC.|HAMILTON-BATES INVESTMENT RESEARCH, INC.|2 GREENBRIAR LANE||NEWTOWN SQUARE PA 19073|USA|P.O. BOX 270||NEWTOWN SQUARE PA 19073|USA|ALAN DAVID BATES, II|610-355-1970|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/07/2001|0|0|0|0|0|0
Philadelphia Regional Office| 114382|801-62999|GRF WEALTH MANAGEMENT, LLC|GRF WEALTH MANAGEMENT, LLC|4550 MONTGOMERY AVENUE|SUITE 650 NORTH|BETHESDA MD 20814-3250|USA|||  ||JERROLD ROSENBERG|301-951-9090|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|04/14/2004|0|0|0|0|0|0
Philadelphia Regional Office| 114639|801-61027|CAPES CAPITAL MANAGEMENT, INC.|CAPES CAPITAL MANAGEMENT, INC.|300 W. FREEMASON STREET|SUITE 200|NORFOLK VA 23510|USA|||  ||MARY-ANN C. PALMER|757-622-8514|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/25/2002|0|0|0|0|0|0
Philadelphia Regional Office| 114957|801-64045|PROFESSIONAL FINANCIAL SOLUTIONS, LLC|PROFESSIONAL FINANCIAL SOLUTIONS, LLC|10517A WEST DRIVE||FAIRFAX VA 22030-4230|USA|||  ||GLENN MICKELSON|703-385-0870|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|03/15/2005|0|0|0|0|0|0
Philadelphia Regional Office| 114994|801-64256|CAPITOL WEALTH MANAGEMENT, INC.|CAPITOL WEALTH MANAGEMENT, INC.|6723 WHITTIER AVE|SUITE 104|MCLEAN VA 22101|USA|||  ||VIVIAN BRUNNER|703-891-4070 EXT. 2|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/06/2005|0|1|0|0|0|0
Philadelphia Regional Office| 115013|801-69322|PBGH FINANCIAL ADVISORS, INC.|PBGH FINANCIAL ADVISORS, INC.|725 JACKSON STREET|SUITE 210|FREDERICKSBURG VA 22401|USA|||  ||DANIEL J. BENDER|(540) 371-3566|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|07/14/2008|0|1|0|0|0|0
Philadelphia Regional Office| 115130|801-61069|TEAM FINANCIAL SERVICES|TEAM FINANCIAL MANAGERS|800 CORPORATE CIRCLE|SUITE 106|HARRISBURG PA 17110|USA|||  ||JAMES DAILEY|7175407807|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/12/2002|0|0|0|0|0|0
Philadelphia Regional Office| 115148|801-60681|ABINGDON CAPITAL MANAGEMENT LLC|ABINGDON CAPITAL MANAGEMENT LLC|1650 TYSONS BOULEVARD|SUITE 1575|MCLEAN VA 22102|USA|||  ||SCOTT M. BILYEU|(703) 269-3391|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/05/2001|0|0|0|0|0|0
Philadelphia Regional Office| 115164|801-66232|TREGER & ASSOCIATES|TREGER & ASSOCIATES LLC|1495 TURNPIKE ROAD||LEXINGTON VA 24450|USA|P.O. BOX 919||LEXINGTON VA 24450|USA|NEIL TREGER|800-944-9509|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/17/2006|0|0|0|0|0|0
Philadelphia Regional Office| 115289|801-60549|ACORN CAPITAL MANAGEMENT, LLC|ACORN CAPITAL MANAGEMENT, LLC|105 EAST STREET ROAD||KENNETT SQUARE PA 19348|USA|||  ||D.A. WALKER YOUNG|610-444-3287|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/10/2001|0|0|0|0|0|0
Philadelphia Regional Office| 115354|801-62914|WATSON CAPITAL MANAGEMENT, INC.|WATSON CAPITAL MANAGEMENT, INC.|4022 CHANCERY COURT, NW||WASHINGTON DC 20007|USA|||  ||GREGORY WATSON|202-333-6270|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|03/12/2004|0|0|0|0|0|0
Philadelphia Regional Office| 115365|801-60565|MONTCHANIN ASSET MANAGEMENT, LLC|MONTCHANIN ASSET MANAGEMENT, LLC|10 WEST ROCKLAND ROAD||MONTCHANIN DE 19710|USA|P.O. BOX 150||MONTCHANIN DE 19710|USA|DOUGLAS C. MCCOY|302-652-3101|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|09/11/2001|0|0|0|0|0|0
Philadelphia Regional Office| 115380|801-68037|SPECTRUM ADVISORS, INC.|SPECTRUM ADVISORS, INC.|1313 JAMESTOWN ROAD|SUITE 104|WILLIAMSBURG VA 23185|USA|PO BOX 2098||WILLIAMSBURG VA 23187|USA|IRWIN J. EISINGER|(757)565-1840|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|06/15/2007|0|0|0|0|0|0
Philadelphia Regional Office| 115472|801-62918|HENDERSHOT INVESTMENTS, INC.|HENDERSHOT INVESTMENTS, INC.|11321 TRENTON COURT||BRISTOW VA 20136|USA|||  ||INGRID R. HENDERSHOT|703-361-6130|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Publication of periodicals or newsletters|APPROVED|04/06/2004|0|0|0|0|0|0
Philadelphia Regional Office| 115577|801-69066|TURK CAPITAL MANAGEMENT, INC.|TURK CAPITAL MANAGEMENT, INC.|11990 MARKET ST. #1902||RESTON VA 20190|USA|||  ||GREGG TURK|703-481-3401|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|04/23/2008|0|0|0|0|0|0
Philadelphia Regional Office| 115578|801-63657|MJR FINANCIAL ADVISORY, INC.|MJR FINANCIAL ADVISORY, INC.|1705 LOGWOOD CIRCLE||RICHMOND VA 23238-4170|USA|||  ||MICHAEL J. RICHESON|804-741-7558|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/03/2005|0|0|0|0|0|0
Philadelphia Regional Office| 115645|801-62848|MAROTTA WEALTH MANAGEMENT, INC.|MAROTTA ASSET MANAGEMENT, INC.|ONE VILLAGE GREEN CIRCLE|SUITE 100|CHARLOTTESVILLE VA 22903-4619|USA|||  ||DAVID JOHN MAROTTA|434-244-0000|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|03/10/2004|0|0|0|0|0|0
Philadelphia Regional Office| 115662|801-61547|NICHOLAS YRIZARRY & ASSOCIATES LLC|NICHOLAS YRIZARRY & ASSOCIATES LLC INVESTMENT ADVISORY SERVICES|12010 SUNSET HILLS ROAD, SUITE 240||RESTON VA 20170|USA|||  ||STEVEN PHILIP BEILES|703-481-1900|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Other|APPROVED|10/25/2002|0|0|0|0|0|0
Philadelphia Regional Office| 115674|801-68156|INDEPENDENT FINANCIAL PLANNING, INC.|INDEPENDENT FINANCIAL PLANNING, INC.|9100 CHURCH STREET|SUITE 103|MANASSAS VA 20110|USA|||  ||PAUL M. WHITE|703-330-6079|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/11/2007|0|0|0|0|0|0
Philadelphia Regional Office| 115700|801-60640|TOWER BRIDGE ADVISORS|TOWER BRIDGE ADVISORS, INC.|4 TOWER BRIDGE, SUITE 222|200 BARR HARBOR DRIVE|W. CONSHOHOCKEN PA 19428-2979|USA|||  ||MARIS A. OGG|610-260-2200|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|10/05/2001|0|0|0|0|0|0
Philadelphia Regional Office| 115810|801-61451|WAYPOINT ADVISORS, LLC|WAYPOINT ADVISORS, LLC|999 WATERSIDE DRIVE|SUITE 2430|NORFOLK VA 23510|USA|||  ||J. GRAHAM SPIERS|(757)623-1600|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/15/2002|0|0|0|0|0|0
Philadelphia Regional Office| 115840|801-68560|THE HENDERSON GROUP|HG INTERNATIONAL, INC.|1600 N  COALTER STREET|SUITE 301|STAUNTON VA 24401|USA|P. O. BOX 2605||STAUNTON VA 24402||DAVID HENDERSON|540-887-8300|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|11/30/2007|0|0|0|0|0|0
Philadelphia Regional Office| 115888|801-63932|VARIPHASE FINANCIAL PARTNERS, LLC|VARIPHASE FINANCIAL PARTNERS, LLC|2903 TAPERED LANE||BOWIE MD 20715|USA|||  ||JAMES A. ROSSMAN|301-352-1877|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|02/17/2005|0|0|0|0|0|0
Philadelphia Regional Office| 115948|801-60941|MIDDLETON GARDINER GROUP, LLC|MIDDLETON GARDINER GROUP, LLC|601 BALTIMORE-ANNAPOLIS BLVD|SUITE 202|SEVERNA PARK MD 21146|USA|||  ||LINDA LESSEY|410-975-0099|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|02/22/2002|0|0|0|0|0|0
Philadelphia Regional Office| 115991|801-61415|NAVIGATOR WEALTH MANAGEMENT, LLC|NAVIGATOR WEALTH MANAGEMENT, LLC|7601 LEWINSVILLE RD|SUITE 205|MCLEAN VA 22102|USA|||  ||WESTON D. BURNETT|703-847-8900|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|08/28/2002|0|0|0|0|0|0
Philadelphia Regional Office| 116011|801-69130|PORTFOLIO ADVISORY GROUP, INC.|PORTFOLIO ADVISORY GROUP, INC.|5425 DUKE STREET||ALEXANDRIA VA 22304|USA|||  ||DAVID SENDI|703-461-9193|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/12/2008|0|0|0|0|0|0
Philadelphia Regional Office| 116015|801-69396|BAYVIEW INVESTMENT COUNSEL, INC|BAYVIEW INVESTMENT COUNSEL, INC|301 PIER ONE ROAD|SUITE 201|STEVENSVILLE MD 21666-2677|USA|||  ||ERNEST(CHIP)O. BRITTINGHAM, JR|410-604-3800|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/11/2008|0|2|1|0|0|0
Philadelphia Regional Office| 116021|801-60628|PFG FINANCIAL ADVISORS NETWORK|PFG FINANCIAL ADVISORS|270 WALKER DRIVE, STE 108||STATE COLLEGE PA 16801|USA|||  ||KIMBERLI J. FLECK|(814) 231-2221|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|10/05/2001|0|1|0|0|0|0
Philadelphia Regional Office| 116057|801-62973|MILLENNIUM ADVISORY SERVICES, INC.|MILLENNIUM ADVISORY SERVICES, INC.|5340 TWIN HICKORY ROAD||GLEN ALLEN VA 23059|USA|||  ||PAUL HUNT|804-346-1040|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/07/2004|0|0|0|0|0|0
Philadelphia Regional Office| 116068|801-67713|VISTA INVESTMENT MANAGEMENT, LLC|VISTA INVESTMENT MANAGEMENT, LLC|438 RADCLIFF DRIVE||PITTSBURGH PA 15235-5325|USA|||  ||JOHN D. FRANKOLA|(412) 824-5940|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/12/2007|0|1|0|0|0|0
Philadelphia Regional Office| 116105|801-60624|FRIESS ASSOCIATES OF DELAWARE, LLC|FRIESS ASSOCIATES OF DELAWARE,LLC|3711 KENNETT PIKE||GREENVILLE DE 19807|USA|P.O. BOX 4166||GREENVILLE DE 19807|USA|DAVID MARKY|302-656-3017|Limited Liability Company|Portfolio management for investment companies, Other|APPROVED|10/05/2001|0|0|0|0|0|0
Philadelphia Regional Office| 116155|801-67850|TERRY ASSET MANAGEMENT, LLC|TERRY ASSET MANAGEMENT, LLC|2 BOAR'S HEAD PLACE|SUITE 210|CHARLOTTESVILLE VA 22903|USA|P.O. BOX 5404||CHARLOTTESVILLE VA 22905-5404|USA|MICHAEL WHITELAW TERRY|(434) 296-7266|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|05/03/2007|0|0|0|0|0|0
Philadelphia Regional Office| 116167|801-68590|FINANCIAL DESIGNS OF VIRGINIA, INC.|FINANCIAL DESIGNS OF VIRGINIA, INC.|5041 CORPORATE WOODS DRIVE|SUITE 240|VIRGINIA BEACH VA 23462|USA|||  ||MICHAEL TRAVIS|757 473-9022|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Market timing services|APPROVED|12/04/2007|0|0|0|0|0|0
Philadelphia Regional Office| 116186|801-62957|EHB FINANCIAL RESOURCES MANAGEMNT, INC.|EHB FINANCIAL RESOURCES MANAGEMENT, INC.|674 EXTON COMMONS||EXTON PA 19341|USA|||  ||KURT M. EBNER|610-594-2701|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|04/08/2004|0|0|0|0|0|0
Philadelphia Regional Office| 116218|801-62425|WITT MARES FINANCIAL VISION, LLC|WITT MARES FINANCIAL VISION LLC|4801 COURTHOUSE ST.|SUITE 200|WILLIAMSBURG VA 23188|USA|||  ||DAVID BUSH|757.229.7180|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Other|APPROVED|10/21/2003|0|0|0|0|0|0
Philadelphia Regional Office| 116291|801-62802|ALPHA FINANCIAL ADVISORS, LLC|ALPHA FINANCIAL ADVISORS, LLC|8260 GREENSBORO DRIVE|SUITE 125|MCLEAN VA 22102|USA|||  ||ERIC HESS|703-442-7686|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/13/2004|0|0|0|0|0|0
Philadelphia Regional Office| 116322|801-69076|DURBIN FINANCIAL ADVISORS, INC.|DURBIN FINANCIAL ADVISORS, INC.|10450 SHAKER DR|SUITE 113-B|COLUMBIA MD 21046|USA|||  ||PAUL J. DURBIN|(800)805-9764|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/10/2008|0|0|0|0|0|0
Philadelphia Regional Office| 116360|801-63710|MILLENNIUM CAPITAL MANAGEMENT CORP.|MILLENNIUM CAPITAL MANAGEMENT CORP.|4008 GENESEE PLACE|SUITE 201|WOODBRIDGE VA 22192|USA|||  ||JOHN A. FRISCH|703-878-9050|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/14/2005|0|0|0|0|0|0
Philadelphia Regional Office| 116364|801-66601|HAFER AND COMPANY|HAFER, DAVID GENE|3601 PERKIOMEN AVENUE||READING PA 19606|USA|||  ||RICHARD AULENBACH|610-370-2601|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|06/30/2006|0|0|0|0|0|0
Philadelphia Regional Office| 116369|801-66584|ALLEGIANCE FINANCIAL ADVISORS|ALLEGIANCE FINANCIAL ADVISORS, INC.|202 MCKNIGHT PARK DRIVE||PITTSBURGH PA 15237-6501|USA|||  ||CARMEN M. PETOTE|412-369-7755|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|04/24/2006|0|0|0|0|0|0
Philadelphia Regional Office| 116379|801-60824|INVESTMENT COUNSELORS OF MARYLAND|INVESTMENT COUNSELORS OF MARYLAND LLC|803 CATHEDRAL STREET||BALTIMORE MD 21201|USA|||  ||LINDA L. ROSATELLI|410-539-3838|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/30/2001|0|0|0|0|0|0
Philadelphia Regional Office| 116449|801-60785|PHILADELPHIA INTERNATIONAL ADVISORS LP|PHILADELPHIA INTERNATIONAL ADVISORS LP|1650 MARKET STREET|SUITE 1400|PHILADELPHIA PA 19103-7391|USA|||  ||KENT E. WEAVER, CFA|215-419-6687|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/14/2001|0|0|0|0|0|0
Philadelphia Regional Office| 116524|801-64887|MIDATLANTIC CAPITAL MANAGEMENT, INC.|MIDATLANTIC CAPITAL MANAGEMENT, INC.|804 MOOREFIELD PARK DRIVE|SUITE 303|RICHMOND VA 23236|USA|||  ||JOHN F. DEPEW|(804) 272-9200|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|11/18/2005|0|0|0|0|0|0
Philadelphia Regional Office| 116574|801-61553|SAGE FINANCIAL GROUP INC.|SAGE FINANCIAL GROUP INC.|FIVE TOWER BRIDGE|300 BARR HARBOR DRIVE, SUITE 200|WEST CONSHOHOCKEN PA 19428|USA|||  ||JOHN J. SION|484-342-4400|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|10/25/2002|0|1|0|0|0|0
Philadelphia Regional Office| 116670|801-61192|HOULIHAN FINANCIAL RESOURCE GROUP, LTD.|HOULIHAN FINANCIAL RESOURCE GROUP, LTD.|11911 FREEDOM DR|SUITE 580|RESTON VA 20190|USA|11911 FREEDOM DR|SUITE 580|RESTON VA 20190|USA|SEAN HOULIHAN|703-796-0800|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|05/22/2002|0|0|0|0|0|0
Philadelphia Regional Office| 116714|801-69031|BOWEN FINANCIAL SERVICES|BOWEN FINANCIAL SERVICES, LLC|2840 POLO PARKWAY||MIDLOTHIAN VA 23113|USA|||  ||JOHN G. BOWEN|804-897-2850|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|04/03/2008|0|0|0|0|0|0
Philadelphia Regional Office| 116740|801-60766|EUCLID INVESTMENT ADVISORY, LLC|EUCLID INVESTMENT ADVISORY, LLC|4701 SANGAMORE ROAD  #205||BETHESDA MD 20816|USA|||  ||FREDERIC M. SMOAK|301 320-0619|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|12/21/2001|0|0|0|0|0|0
Philadelphia Regional Office| 116744|801-61747|TAYLOR FINANCIAL GROUP, INC.|TAYLOR FINANCIAL GROUP, INC.|3102 BRAMBLETON AVENUE., SW||ROANOKE VA 24018|USA|P.O. BOX 20707||ROANOKE VA 24018|UNITED STATES|J. SAMUEL TAYLOR|540-774-7971|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/17/2003|0|0|0|0|0|0
Philadelphia Regional Office| 116749|801-63269|WEALTHQUEST FINANCIAL SERVICES, LLC|WEALTHQUEST FINANCIAL SERVICES, LLC|555 MAIN STREET|SUITE 1500|NORFOLK VA 23510|USA|||  ||CHERYL A. FURLONG GROSS|757-533-4150|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|06/17/2004|0|0|0|0|0|0
Philadelphia Regional Office| 116763|801-66477|ACORN FINANCIAL ADVISORY SERVICES, INC.|ACORN FINANCIAL ADVISORY SERVICES, INC.|3600 CHAIN BRIDGE RD.||FAIRFAX VA 22030|USA|||  ||BOBBY GLASS|(703) 293-3100|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|05/01/2006|0|2|0|0|0|0
Philadelphia Regional Office| 116807|801-62862|MONTVUE CAPITAL MANAGEMENT, INC.|MONTVUE CAPITAL MANAGEMENT, INC.|3708 OLD FOREST ROAD||LYNCHBURG VA 24501|USA|||  ||SARAH UMBARGER BURNETT|434-455-2795|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/05/2004|0|0|0|0|0|0
Philadelphia Regional Office| 116836|801-61846|FOCUS WEALTH MANAGEMENT, LTD.|FOCUS WEALTH MANAGEMENT, LTD.|201 EAST WASHINGTON STREET||MIDDLEBURG VA 20117|USA|P. O. BOX 327||MIDDLEBURG VA 20118|USA|HELEN L. MODLY|540-687-3987|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|03/21/2003|0|0|0|0|0|0
Philadelphia Regional Office| 116949|801-68119|BRUNSON ADVISORS LLC|BRUNSON ADVISORS LLC|10800 MIDLOTHIAN TURNPIKE|WINCHESTER BLDG. SUITE 101|RICHMOND VA 23235|USA|||  ||LAURA A. KING|804-423-2222|Limited Liability Company|Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters, Other|APPROVED|08/01/2007|0|0|0|0|0|0
Philadelphia Regional Office| 116978|801-61471|AMBASSADOR ADVISORS, LLC|AMBASSADOR ADVISORS, LLC|1755 OREGON PIKE||LANCASTER PA 17601|USA|||  ||ROBERT KAUFFMAN|(717)560-8300|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|09/19/2002|0|3|0|0|0|0
Philadelphia Regional Office| 117010|801-60671|CAMDEN PRIVATE CAPITAL|CAMDEN PARTNERS EQUITY MANAGERS I, LLC|500 EAST PRATT STREET|SUITE 1200|BALTIMORE MD 21202|USA|||  ||DONALD W. HUGHES|410-878-6820|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/01/2001|0|0|0|0|0|0
Philadelphia Regional Office| 117011|801-60669|CAMDEN PARTNERS HOLDINGS, LLC|CAMDEN PARTNERS HOLDINGS, LLC|500 EAST PRATT STREET|SUITE 1200|BALTIMORE MD 21202|USA|||  ||DONALD W. HUGHES|410-878-6820|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/01/2001|0|0|0|0|0|0
Philadelphia Regional Office| 117013|801-60670|CAMDEN PRIVATE CAPITAL|CAMDEN PARTNERS PRIVATE EQUITY ADVISORS, LLC|500 EAST PRATT STREET|SUITE 1200|BALTIMORE MD 21202|USA|||  ||DONALD W. HUGHES|410-878-6820|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/01/2001|0|0|0|0|0|0
Philadelphia Regional Office| 117050|801-60699|MORGAN STANLEY AIP GP LP|MORGAN STANLEY AIP GP LP|ONE TOWER BRIDGE|100 FRONT STREET, SUITE 1100|WEST CONSHOHOCKEN PA 19428|USA|||  ||MARY JANE MALONEY|610-940-5113|Other (specify)|Portfolio management for investment companies, Other|APPROVED|12/17/2001|0|2|16|0|0|0
Philadelphia Regional Office| 117064|801-62076|EAN EQUITY FINANCIAL SERVICES LLC|EAN EQUITY FINANCIAL SERVICES LLC|8370 VETERANS HIGHWAY|SUITE 202|MILLERSVILLE MD 21108|USA|||  ||ERIC A NORBERG|443 274-2302|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/06/2003|0|0|0|0|0|0
Philadelphia Regional Office| 117255|801-65119|CWM FINANCIAL GROUP, INC.|CWM FINANCIAL GROUP, INC.|953 RUSSELL AVENUE|SUITE D|GAITHERSBURG MD 20879-3254|USA|||  ||JOHN PETERSON|301-840-1188|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers, Other|APPROVED|01/13/2006|0|0|0|0|0|0
Philadelphia Regional Office| 117272|801-63027|BARRETT CAPITAL MANAGEMENT,LLC|BARRETT CAPITAL MANAGEMENT,LLC|2318 ROBIOUS STATION CIRCLE||MIDLOTHIAN VA 23113|USA|||  ||CHRISTINE M. SLATE|(804) 419-1100|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/13/2004|0|0|0|0|0|0
Philadelphia Regional Office| 117275|801-69350|ELK HILL ADVISORS, INC.|ELK HILL ADVISORS, INC.|5340 FOX RIDGE RD SW||ROANOKE VA 24018|USA|||  ||SCOTT W. BERGLUND|(540)774-4603|Corporation|Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|07/11/2008|0|0|0|0|0|0
Philadelphia Regional Office| 117401|801-67051|U.S. ADVISORS, INC.|U.S. ADVISORS, INC.|515 KING STREET, SUITE 310||ALEXANDRIA VA 22314-3137|USA|||  ||DIXIE BUTLER|703-706-0885|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/28/2006|0|0|0|0|0|0
Philadelphia Regional Office| 117474|801-68085|BSG FINANCIAL SERVICES, INC.|BSG FINANCIAL SERVICES, INC.|4035 RIDGE TOP RD|SUITE 550|FAIRFAX VA 22030-7403|USA|||  ||DAVID MCKEE|703-591-5200|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|07/11/2007|0|0|0|0|0|0
Philadelphia Regional Office| 117496|801-66879|HOUSTOUN CAPITAL MANAGEMENT, INC.|HOUSTOUN CAPITAL MANAGEMENT, INC.|7272 WISCONSIN AVENUE|SUITE 300|BETHESDA MD 20814|USA|||  ||RICHARD A. HOUSTOUN|301-941-1945|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|06/13/2006|0|0|0|0|0|0
Philadelphia Regional Office| 117808|801-64686|STEBEN & COMPANY, INC.|STEBEN & COMPANY, INC.|2099 GAITHER ROAD, SUITE 200||ROCKVILLE MD 20850|USA|||  ||BARRY GAINSBURG|240-631-9808|Corporation|Selection of other advisers, Other|APPROVED|09/13/2005|0|0|0|0|0|0
Philadelphia Regional Office| 117814|801-60843|ASCENDANT CAPITAL PARTNERS, LLC|ACP INVESTMENTS LP|1235 WESTLAKES DRIVE|SUITE 130|BERWYN PA 19312|USA|||  ||STEPHANIE STRID DAVIS|610-993-9999X1000|Partnership|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/10/2002|0|0|0|0|0|0
Philadelphia Regional Office| 117899|801-60754|WIENER FINANCIAL MANAGEMENT|WIENER, BRUCE MICHAEL|12276 GREENLEAF AVENUE||POTOMAC MD 20854|USA|||  ||BRUCE M. WIENER|301-762-0030|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|12/07/2001|0|0|0|0|0|0
Philadelphia Regional Office| 117901|801-60904|TCG INVESTMENT ADVISORY, INC.|TCG INVESTMENT ADVISORY, INC.|1132 HAMILTON STREET|SUITE 212|ALLENTOWN PA 18101|USA|||  ||STEVEN M. TROLLINGER|610-821-1331|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/01/2002|0|0|0|0|0|0
Philadelphia Regional Office| 117917|801-63515|JAMES RIVER ASSET MANAGEMENT, LLC|JAMES RIVER ASSET MANAGEMENT, LLC|804 MOOREFIELD PARK DRIVE|SUITE 102|RICHMOND VA 23236|USA|||  ||ROBERT L. FITCH|804-323-0517|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/23/2004|0|0|0|0|0|0
Philadelphia Regional Office| 117969|801-62995|ROOF ADVISORY GROUP, INC.|ROOF ADVISORY GROUP, INC.|507 N. FRONT STREET||HARRISBURG PA 17101-1011|USA|||  ||KEVIN S. ROOF|717-260-9281|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/14/2004|0|0|0|0|0|0
Philadelphia Regional Office| 118000|801-68512|ALLIANT FINANCIAL MANAGEMENT, INC.|ALLIANT FINANCIAL MANAGEMENT, INC.|9414 BELAIR ROAD|SUITE # 203|NOTTINGHAM MD 21236|USA|||  ||JUDE A. KOTARIDES|410-256-6630|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|11/09/2007|0|0|0|0|0|0
Philadelphia Regional Office| 118006|801-60886|SMART FINANCIAL ADVISORS, LLC|SMART FINANCIAL ADVISORS, LLC|80 LANCASTER AVENUE|SUITE 100|DEVON PA 19333|USA|||  ||JAMES QUINLAN|610-254-0700|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|02/01/2002|0|0|0|0|0|0
Philadelphia Regional Office| 118032|801-66490|BRUCE A. KRAIG ASSOCIATES|KRAIG, BRUCE ARTHUR|1650 FOX CROSSING||WEST CHESTER PA 19380-6657|USA|||  ||TAMARA L. KRAIG|6106443468|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/16/2006|0|0|0|0|0|0
Philadelphia Regional Office| 118060|801-68468|LIGHTHOUSE FINANCIAL ADVISORS, INC.|LIGHTHOUSE FINANCIAL ADVISORS, INC.|164 WEST MAIN STREET|SUITE F|NEW MARKET MD 21774|USA|P.O. BOX 360||NEW MARKET MD 21774|USA|EDWARD S. KOZLOWSK|301-865-9740|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|10/19/2007|0|0|0|0|0|0
Philadelphia Regional Office| 118107|801-66216|ALPHA ADVISORS, LLC|ALPHA ADVISORS, LLC|3951 WESTERRE PARKWAY|SUITE 130|RICHMOND VA 23233|USA|||  ||STEVE GODFREY, JR.|804-754-8532|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|02/01/2006|0|0|0|0|0|0
Philadelphia Regional Office| 118114|801-63116|HERBEIN WEALTH MANAGEMENT, L.L.C.|HERBEIN WEALTH MANAGEMENT, L.L.C.|2763 CENTURY BLVD.||WYOMISSING PA 19610|USA|||  ||WILLIAM A. MORGAN|610-376-8271|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|05/17/2004|0|1|0|0|0|0
Philadelphia Regional Office| 118186|801-67666|KETTERING FINANCIAL, LTD.|KETTERING FINANCIAL, LTD.|2103-A ELECTRIC ROAD||ROANOKE VA 24018|USA|||  ||LANDON CATRON|540-772-8200|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/23/2007|0|0|0|0|0|0
Philadelphia Regional Office| 118221|801-61507|CORNERSTONE PARTNERS LLC|CORNERSTONE PARTNERS LLC|1900 ARLINGTON BOULEVARD||CHARLOTTESVILLE VA 22903|USA|||  ||PETER C. BROOKS|434-296-2300|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|10/15/2002|0|0|0|0|0|0
Philadelphia Regional Office| 118257|801-66994|ARK FINANCIAL SERVICES, LLC|ARK FINANCIAL SERVICES, LLC|4905 DEL RAY AVE.|SUITE 503|BETHESDA MD 20814|USA|||  ||ANDREW KLINE|301-656-4100|Limited Liability Company|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|07/10/2006|0|0|0|0|0|0
Philadelphia Regional Office| 118458|801-60800|WEALTHTRUST - KANAWHA CAPITAL|KANAWHA CAPITAL MANAGEMENT, LLC|2235 STAPLES MILL ROAD|SUITE 100|RICHMOND VA 23230|USA|P. O. BOX 6862||RICHMOND VA 23230-0682|USA|WILLIFORD, RICHARD S.|804-359-3900|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|11/15/2001|0|1|0|0|0|0
Philadelphia Regional Office| 118641|801-61345|FINANCIAL CONCEPTS UNLIMITED, INC.|FINANCIAL CONCEPTS UNLIMITED, INC.|1803 RESEARCH BLVD.|SUITE 200-A|ROCKVILLE MD 20850|USA|||  ||JOHN R. TAYLOR, JR.|301-315-6344|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|07/29/2002|0|0|0|0|0|0
Philadelphia Regional Office| 118643|801-63803|LOPEZ WEALTH MANAGEMENT, LLC|LOPEZ WEALTH MANAGEMENT, LLC|955 WEST MAIN STREET||ABINGDON VA 24210-2427|USA|||  ||DAVID JONES|276-628-5910|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/28/2005|0|0|0|0|0|0
Philadelphia Regional Office| 118673|801-61299|BERG FAIRCLOTH INVESTMENT ADVISORS CORP.|BERG FAIRCLOTH INVESTMENT ADVISORS CORP.|44135 WOODRIDGE PARKWAY|SUITE 200|LEESBURG VA 20176|USA|||  ||SANDRA S. PRESGRAVES|703-821-1040|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/03/2002|0|0|0|0|0|0
Philadelphia Regional Office| 118772|801-63647|FINANCIAL FREEDOM|FINANCIAL FREEDOM, LLC|7 GREAT VALLEY PARKWAY|SUITE 210|MALVERN PA 19355|USA|P. O. BOX 660||YORK BEACH ME 03910|USA|ALLEN A. OSGOOD|(800) 503-9500|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/03/2005|0|0|0|0|0|0
Philadelphia Regional Office| 118832|801-67614|MACRO ADVISORS, INC.|MACRO ADVISORS, INC.|526 GREENBRIAR ROAD||YORK PA 17404|USA|||  ||JAY M. DESAI|717-764-4566|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/16/2007|0|1|0|0|0|0
Philadelphia Regional Office| 118923|801-61197|LOUNTZIS ASSET MANAGEMENT, LLC|LOUNTZIS ASSET MANAGEMENT, LLC|2201 RIDGEWOOD ROAD|SUITE 410|WYOMISSING PA 19610|USA|||  ||JOHN LOUNTZIS|(610) 375-2585|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/06/2002|0|0|0|0|0|0
Philadelphia Regional Office| 119010|801-60951|CHESAPEAKE INVESTMENT MANAGEMENT LLC|CHESAPEAKE INVESTMENT MANAGEMENT LLC|1629 K STREET, NW|SUITE 800|WASHINGTON DC 20006|USA|||  ||SCOTT E. BECK|202-821-1530|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|02/21/2002|0|0|0|0|0|0
Philadelphia Regional Office| 119066|801-69116|WARREN FINANCIAL SERVICE|WARREN FINANCIAL SERVICE & ASSOCIATES, INC.|7 DOWLIN FORGE RD||EXTON PA 19341|USA|||  ||RANDALL A. WARREN|610-363-2000|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/02/2008|0|1|0|0|0|0
Philadelphia Regional Office| 119092|801-64383|A&F FINANCIAL ADVISORS LLC|A&F FINANCIAL ADVISORS LLC|101 WASHINGTON STREET, EAST||CHARLESTON WV 25301|USA|P. O. BOX 2629||CHARLESTON WV 25329|USA|WILLIAM H. MCKEE, JR.|304-206-3338|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|06/13/2005|0|0|0|0|0|0
Philadelphia Regional Office| 119130|801-62271|E. JOHNSON ASSET MGMT. LTD.|E. JOHNSON ASSET MGMT. LTD.|523 BENFIELD ROAD|SUITE 203|SEVERNA PARK MD 21146|USA|||  ||ERIK JOHNSON|410-384-9100|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/20/2003|0|0|0|0|0|0
Philadelphia Regional Office| 119145|801-66562|IVY LEAGUE FINANCIAL ADVISORS LLC|IVY LEAGUE FINANCIAL ADVISORS LLC|11 NORTH WASHINGTON STREET|SUITE 250|ROCKVILLE MD 20850|USA|||  ||CHRISTOPHER N. BROWN|301-258-1300|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|04/10/2006|0|0|0|0|0|0
Philadelphia Regional Office| 119167|801-60927|C.S. MCKEE, L.P.|C.S. MCKEE, L.P.|ONE GATEWAY CENTER|8TH FLOOR|PITTSBURGH PA 15222|USA|||  ||EUGENE M. NATALI|412-566-1234|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/10/2002|0|0|0|0|0|0
Philadelphia Regional Office| 119224|801-61196|THE REGENCY FOUNDATION|THE REGENCY FOUNDATION|200 MANOR AVENUE||LANGHORNE PA 19047-9989|USA|||  ||DANIEL J. CELIA|215-702-4528|Other (specify)|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters, Other|APPROVED|05/24/2002|0|0|0|0|0|0
Philadelphia Regional Office| 119241|801-67269|HERITAGE ADVISORY SERVICES, INC.|HERITAGE ADVISORY SERVICES, INC.|2 WEST LIBERTY BOULEVARD|SUITE 203|MALVERN PA 19355|USA|||  ||BRIAN KEITH LUREEN|610-854-7000|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|12/01/2006|0|0|0|0|0|0
Philadelphia Regional Office| 119284|801-61967|COMPREHENSIVE INVESTMENT SOLUTIONS, LLC|COMPREHENSIVE INVESTMENT SOLUTIONS, LLC|1002 FLORAL VALE BLVD.||YARDLEY PA 19067|USA|||  ||LINDA WHITAKER|215-497-5050|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|04/01/2003|0|0|0|0|0|0
Philadelphia Regional Office| 119416|801-62793|MARATHON CAPITAL MANAGEMENT|MARATHON CAPITAL MANAGEMENT LLC|4 NORTH PARK DRIVE, SUITE 106||HUNT VALLEY MD 21030|USA|||  ||JIM KENNEDY|410-329-1522|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|02/20/2004|0|0|0|0|0|0
Philadelphia Regional Office| 119449|801-61084|AMERICAN FINANCIAL MANAGEMENT GROUP, LTD.|AMERICAN FINANCIAL MANAGEMENT GROUP, LTD.|1205 WESTLAKES DRIVE|SUITE 365|BERWYN PA 19312|USA|||  ||REGINA RYAN|610-296-3393|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/15/2002|0|0|0|0|0|0
Philadelphia Regional Office| 119458|801-67266|CASTLEMAINE PARTNERS, LLC|CASTLEMAINE PARTNERS, LLC|8229 BOONE BOULEVARD|SUITE 820|VIENNA VA 22182|USA|||  ||ROB ROY MCLALLEN|703 748 9540|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|10/30/2006|0|0|0|0|0|0
Philadelphia Regional Office| 119507|801-61156|PAPALIA ASSET MANAGEMENT, INC.|PAPALIA ASSET MANAGEMENT, INC.|2 WALNUT STREET||DANVILLE PA 17821|USA|||  ||NED M. SHANAHAN|570-271-1855|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|05/17/2002|0|0|0|0|0|0
Philadelphia Regional Office| 119836|801-67950|CAPLAN FINANCIAL GROUP, LLC|CAPLAN FINANCIAL GROUP, LLC|11810 CHAPEL ESTATES DRIVE||CLARKSVILLE MD 21029|USA|841 E. FORT AVE.|STE. 315|BALTIMORE MD 21230|USA|MITCHELL CAPLAN|410-735-1905|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers, Other|APPROVED|05/21/2007|0|0|0|0|0|0
Philadelphia Regional Office| 119848|801-61459|ORTNER, O'BRIEN & ORTNER ADVISORY GROUP, INC.|ORTNER, O'BRIEN & ORTNER ADVISORY GROUP, INC.|4 MYSTIC LANE||MALVERN PA 19355|USA|||  ||FRANK ORTNER III|610-251-9393|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/27/2002|0|0|0|0|0|0
Philadelphia Regional Office| 119897|801-62614|GUIDANCE INVESTMENTS, LLC|GUIDANCE INVESTMENTS, LLC|11109 SUNSET HILLS RD||RESTON VA 20190|USA|||  ||DR. PRABIR DATTA|703.885.0824|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/09/2004|0|0|0|0|0|0
Philadelphia Regional Office| 119910|801-63779|PROFESSIONAL FINANCIAL ADVISORS, INC.|PROFESSIONAL FINANCIAL ADVISORS, INC.|704 LISBURN ROAD, SUITE 102||CAMP HILL PA 17011|USA|704 LISBURN ROAD, SUITE 102||CAMP HILL PA 17011|USA|MATTHEW P. AMOS|(717) 761-4646|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|01/14/2005|0|1|1|0|0|0
Philadelphia Regional Office| 119985|801-61131|MIDDLEBURG INVESTMENT ADVISORS, INC.|MIDDLEBURG INVESTMENT ADVISORS, INC.|1901 NORTH BEAUREGARD STREET|SUITE 300|ALEXANDRIA VA 22311-1705|USA|||  ||JAMES H. PATTERSON|(703) 931-1366|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/07/2002|0|0|0|0|0|0
Philadelphia Regional Office| 120131|801-62686|PLANNING DIRECTIONS, INC.|PLANNING DIRECTIONS, INC.|239 BALTIMORE PIKE||GLEN MILLS PA 19342|USA|||  ||FREDERICK JOHN DUNBAR|610-361-0865|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/14/2004|0|0|0|0|0|0
Philadelphia Regional Office| 120141|801-62867|GLASS JACOBSON INVESTMENT ADVISORS, LLC|GLASS JACOBSON INVESTMENT ADVISORS, LLC|10711 RED RUN BLVD., SUITE 101||OWINGS MILLS MD 21117|USA|||  ||JONATHAN S. DINKINS|410-356-1000|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/12/2004|0|0|0|0|0|0
Philadelphia Regional Office| 120357|801-61135|CAPITAL INVESTMENT SERVICES, INC.|CAPITAL INVESTMENT SERVICES, INC.|140 W GAY ST|SUITE 200|WEST CHESTER PA 19380|USA|||  ||WAYNE GUIDOTTI|484-356-9444|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|05/08/2002|0|0|0|0|0|0
Philadelphia Regional Office| 120499|801-63367|PRIME SOLUTIONS FINANCIAL SERVICES CORP.|PRIME SOLUTIONS FINANCIAL SERVICES CORP.|721 DRESHER ROAD|SUITE 2400|HORSHAM PA 19044|USA|||  ||JAMES R. SMITH|(215)657-9400|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/02/2004|0|0|0|0|0|0
Philadelphia Regional Office| 120522|801-61238|WHARTON CAPITAL GROUP, LLC|WHARTON CAPITAL GROUP, LLC|148 EAST LANCASTER AVENUE||WAYNE PA 19087|USA|||  ||DAVID L. FITZGERALD|610-293-9000|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers, Other|APPROVED|06/07/2002|0|0|0|0|0|0
Philadelphia Regional Office| 120557|801-61143|GLOBAL CAPITAL MANAGEMENT, INC.|GLOBAL CAPITAL MANAGEMENT, INC.|ONE WEST FIRST AVENUE|SUITE 100|CONSHOHOCKEN PA 19428|USA|||  ||ANTHONY W. SOSLOW|610-567-0320|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|05/10/2002|0|0|0|0|0|0
Philadelphia Regional Office| 120640|801-67978|TONER ASSET MANAGEMENT GROUP, INC.|TONER ASSET MANAGEMENT GROUP, INC.|303 34TH STREET|SUITE 4|VIRGINIA BEACH VA 23451|USA|||  ||TROY TONER|757-425-1977|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/08/2007|0|0|0|0|0|0
Philadelphia Regional Office| 120645|801-61293|DIVI-VEST ADVISORS|DIVI-VEST ADVISORS|650 E. SWEDESFORD ROAD|STE 100|WAYNE PA 19087|USA|||  ||R. BRENT BYRNE|610-688-5501|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/09/2002|0|0|0|0|0|0
Philadelphia Regional Office| 120668|801-61220|HOVDE CAPITAL ADVISORS LLC|HOVDE CAPITAL ADVISORS LLC|1826 JEFFERSON PLACE, NW||WASHINGTON DC 20036|USA|||  ||RICHARD JOSEPH PERRY, JR.|202-822-8117|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/20/2002|0|0|0|0|0|0
Philadelphia Regional Office| 120736|801-61427|BROWN ADVISORY SECURITIES, LLC|BROWN ADVISORY SECURITIES, LLC|901 SOUTH BOND STREET|SUITE 400|BALTIMORE MD 21231-3340|USA|||  ||PATRICK J. VENTURA|(410) 537-5517|Limited Liability Company|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|09/06/2002|0|0|0|0|0|0
Philadelphia Regional Office| 120745|801-69379|HUBER, WEAKLAND & ASSOCIATES, INC.|HUBER, WEAKLAND & ASSOCIATES, INC.|3448 ELLICOTT CENTER DRIVE, SUITE 101||ELLICOTT CITY MD 21043|USA|||  ||PHILIP HUBER, JR.|410-461-4111|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|07/10/2008|0|0|0|0|0|0
Philadelphia Regional Office| 121193|801-62985|FUHRMAN MANAGEMENT ASSOCIATES, INC.|FUHRMAN MANAGEMENT ASSOCIATES, INC.|602 OFFICE CENTER DRIVE, SUITE 115||FORT WASHINGTON PA 19034|USA|||  ||SUSAN FUHRMAN HOLIN|215-619-4002|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|04/14/2004|0|0|0|0|0|0
Philadelphia Regional Office| 121202|801-68099|CHRISTINE MESSMER, P.C.|CHRISTINE MESSMER, P.C.|101 OAK STREET||COLLEGEVILLE PA 19426|USA|||  ||CHRISTINE MESSMER|610.489.7925|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/12/2007|0|0|0|0|0|0
Philadelphia Regional Office| 121237|801-64100|PERRY B. SEIFFERT, INVESTMENT MANAGEMENT|SEIFFERT LTD.|4550 MONTGOMERY AVENUE|SUITE 760 N|BETHESDA MD 20814|USA|||  ||PERRY SEIFFERT|301-951-1588|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/07/2005|0|0|0|0|0|0
Philadelphia Regional Office| 121240|801-64113|WOOD & WHITE INVESTMENT ADVISORS, L.L.C.|WOOD & WHITE INVESTMENT ADVISORS, L.L.C.|210 8TH STREET||LYNCHBURG VA 24504|USA|P.O. BOX 717||LYNCHBURG VA 24505|USA|CHARLES BABER WHITE|434-528-4510|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/08/2005|0|0|0|0|0|0
Philadelphia Regional Office| 121258|801-69362|ATLANTIC FINANCIAL SERVICES, INC.|ATLANTIC FINANCIAL SERVICES, INC.|920 PROVIDENCE ROAD|#201|TOWSON MD 21286|USA|||  ||CRAIG GUY FISCHER|4102960470|Corporation|Portfolio management for individuals and/or small businesses, Other|APPROVED|07/01/2008|0|0|0|0|0|0
Philadelphia Regional Office| 121275|801-62954|HOXTON FINANCIAL, INC.|HOXTON FINANCIAL, INC.|8530 SHEPHERDSTOWN PIKE||SHEPHERDSTOWN WV 25443|USA|P.O. BOX E||SHEPHERDSTOWN WV 25443|USA|ARCHIBALD R. (ROB) HOXTON IV|304-876-2619|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|04/01/2004|0|0|0|0|0|0
Philadelphia Regional Office| 121300|801-62560|WRIGHT ASSOCIATES|KATHLEEN S. WRIGHT ASSOCIATES INC.|1500 OXFORD DR.|SUITE 230|BETHEL PARK PA 15102|USA|||  ||KATHLEEN S. WRIGHT|412-854-2100|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|01/02/2004|0|0|0|0|0|0
Philadelphia Regional Office| 121426|801-61921|YELLOWWOOD FINANCIAL ADVISORS, INC.|YELLOWWOOD FINANCIAL ADVISORS, INC.|7910 WOODMONT AVENUE|SUITE 760|BETHESDA MD 20814|USA|||  ||BRIAN R. LIPTON|(301) 984-8437|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/16/2003|0|0|0|0|0|0
Philadelphia Regional Office| 121435|801-68842|BONIFACE PORTFOLIO CONSULTING, INC.|BONIFACE PORTFOLIO CONSULTING, INC.|261 JEFFERSON DRIVE||PITTSBURGH PA 15228|USA|||  ||M. CARLA DEVLIN|412-306-1981|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/11/2008|0|0|0|0|0|0
Philadelphia Regional Office| 121448|801-64344|GROSS INVESTMENTS|AUG, INC.|8 N. QUEEN STREET, 10TH FL.||LANCASTER PA 17603|USA|||  ||ELAINE L WALSH|717-299-4423|Corporation|Portfolio management for individuals and/or small businesses, Other|APPROVED|05/24/2005|0|0|0|0|0|0
Philadelphia Regional Office| 121484|801-61336|ABSOLUTE CAPITAL MANAGEMENT, LLC|ABSOLUTE CAPITAL MANAGEMENT, LLC|101 PENNSYLVANIA BLVD.||PITTSBURGH PA 15228|USA|||  ||PHILLIP BRENDEN GEBBEN|412-388-1600|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Market timing services|APPROVED|09/22/2003|0|1|2|0|0|0
Philadelphia Regional Office| 121492|801-61326|THE FAIRMAN GROUP, LLC|THE FAIRMAN GROUP, LLC|300 BERWYN PARK, SUITE 111||BERWYN PA 19312|USA|||  ||DOUGLAS MORISOLI|610-889-7300|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|07/19/2002|0|0|0|0|0|0
Philadelphia Regional Office| 121534|801-62679|SHAKER FINANCIAL SERVICES|SHAKER FINANCIAL SERVICES, LLC|530 COLLEGE PARKWAY||ANNAPOLIS MD 21409|USA|||  ||RICHARD SHAKER|410-626-7914|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|01/23/2004|0|1|0|0|0|0
Philadelphia Regional Office| 121573|801-63893|KELLNER CAPITAL MANAGEMENT, INC.|KELLNER CAPITAL MANAGEMENT, INC.|1518 WALNUT STREET|SUITE 202|PHILADELPHIA PA 19102-3402|USA|||  ||JEROME ALLEN KELLNER|(215)546-3505|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|09/06/2006|0|0|0|0|0|0
Philadelphia Regional Office| 121583|801-68909|MAIN LINE FINANCIAL ADVISORS, LLC.|MAIN LINE FINANCIAL ADVISORS, LLC.|211 E HIGH STREET||POTTSTOWN PA 19464|USA|||  ||ALFRED F. MATARAZZO, JR.|610-323-5860|Limited Liability Company|Financial planning services, Pension consulting services|APPROVED|03/27/2008|0|0|0|0|0|0
Philadelphia Regional Office| 121636|801-62708|YMSR ADVISORS, INC.|YMSR ADVISORS, INC.|1800 JFK BOULEVARD, 20TH FL.||PHILADELPHIA PA 19103-7496|USA|||  ||ALAN H. MANDELOFF|215-545-4800|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|01/16/2004|0|0|0|0|0|0
Philadelphia Regional Office| 121700|801-62118|RODGERS & ASSOCIATES|RODGERS & ASSOCIATES, LTD.|647 E. ROSEVILLE ROAD||LANCASTER PA 17601|USA|||  ||RICK RODGERS|717-560-3800|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/03/2003|0|0|0|0|0|0
Philadelphia Regional Office| 121734|801-67882|LOEWINGER FINANCIAL PLANNING|LOEWINGER & CO. LLC|7900 WISCONSIN AVE|#402|BETHESDA MD 20814|USA|||  ||STEPHEN J. LOEWINGER|301-656-8388|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/12/2007|0|0|0|0|0|0
Philadelphia Regional Office| 121786|801-66561|DIBIASE & RUSCETTI ASSOCIATES, INC.|DIBIASE & RUSCETTI ASSOCIATES, INC.|TWO GATEWAY CENTER|17TH FLOOR WEST|PITTSBURGH PA 15222|USA|206 SPRINGHOUSE LANE||PITTSBURGH PA 15238|U.S.A.|FRANK RUSCETTI|412-391-1466|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/17/2006|0|4|0|0|0|0
Philadelphia Regional Office| 121797|801-68101|MAIN STREET ADVISORS, LLC|MAIN STREET ADVISORS, LLC|205 EAST MAIN STREET||WESTMINSTER MD 21157|USA|||  ||DAVID R. PELOQUIN|410-840-9200|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/18/2007|0|0|0|0|0|0
Philadelphia Regional Office| 121811|801-68575|HOPKINS INVESTMENT MANAGEMENT, LLC.|HOPKINS INVESTMENT MANAGEMENT, LLC.|1731 RIVER ROAD||ANNAPOLIS MD 21409|USA|||  ||MARTIN L HOPKINS|410-757-7980|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|11/26/2007|0|0|0|0|0|0
Philadelphia Regional Office| 121820|801-68548|CONCORD ATLANTIC, INC.|CONCORD ATLANTIC, INC.|211 KATIE COURT||FALLS CHURCH VA 22046|USA|||  ||STEPHEN E. MOROZ|703.533.1525|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/13/2007|0|0|0|0|0|0
Philadelphia Regional Office| 121856|801-67091|CORNERSTONE FINANCIAL CONSULTING|REA, JOHN DAVID|524 PALMER FARM DRIVE||YARDLEY PA 19067-7228|USA|||  ||JOHN D. REA|(215)741-5533|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|08/17/2006|0|0|0|0|0|0
Philadelphia Regional Office| 121898|801-67744|21ST CENTURY WEALTH MANAGEMENT LLC|21ST CENTURY WEALTH MANAGEMENT LLC|1601 S QUEEN ST||YORK PA 17403|USA|||  ||TODD SPAHR|717-812-9952|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|04/13/2007|0|0|0|0|0|0
Philadelphia Regional Office| 122053|801-65044|HARRY R. HOLM, CHFC|HARRY R. HOLM, CHFC FINANCIAL ADVISORY SERVICES|ONE WEST CHESTNUT ST.||HANOVER PA 17331-2445|USA|||  ||HARRY R HOLM|717-633-6844|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/30/2006|0|0|0|0|0|0
Philadelphia Regional Office| 122141|801-60449|PFM ASSET MANAGEMENT LLC|PFM ASSET MANAGEMENT LLC|ONE KEYSTONE PLAZA|N. FRONT & MARKET STREETS, SUITE 300|HARRISBURG PA 17101-2044|USA|||  ||JENNIFER KRUGER BERRIER|717-231-6200|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|08/03/2001|0|1|0|0|0|0
Philadelphia Regional Office| 122146|801-61395|MALLARD ADVISORS, LLC|MALLARD ADVISORS, LLC|273 EAST MAIN STREET|SUITE E|NEWARK DE 19711|USA|||  ||PAUL S. BAUMBACH|302-737-4546|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|08/27/2002|0|0|0|0|0|0
Philadelphia Regional Office| 122224|801-69059|WILLIAMS ASSOCIATES|WILLIAMS, DAVID ROBERT|9218 WINTERSET DRIVE||POTOMAC MD 20854|USA|||  ||SANDY SAKALA|301-294-7804|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|04/17/2008|0|0|0|0|0|0
Philadelphia Regional Office| 122229|801-66258|R&M WEALTH MANAGEMENT SERVICES, LLC|R&M WEALTH MANAGEMENT SERVICES, LLC|6903 ROCKLEDGE DRIVE|SUITE 1200|BETHESDA MD 20817|USA|||  ||DAVID ALBERT|301-564-3636|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|02/24/2006|0|0|0|0|0|0
Philadelphia Regional Office| 122235|801-61393|SENTINEL WEALTH MANAGEMENT, INC.|SENTINEL WEALTH MANAGEMENT, INC.|11710 PLAZA AMERICA DR.|SUITE 130|RESTON VA 20190|USA|||  ||J. MARK JOSEPH|703-787-5770|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/16/2002|0|0|0|0|0|0
Philadelphia Regional Office| 122282|801-62308|FOUNDING ASSET MANAGEMENT, INC.|FOUNDING ASSET MANAGEMENT, INC.|180 ADMIRAL COCHRANE DRIVE|SUITE 560|ANNAPOLIS MD 21401|USA|||  ||RAYMOND WALHEIM|410.897.9300|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|09/08/2003|0|0|0|0|0|0
Philadelphia Regional Office| 122389|801-61433|BERKSHIRE ADVISORS, INC.|BERKSHIRE ADVISORS, INC.|2240 RIDGEWOOD ROAD|SUITE 101|WYOMISSING PA 19610|USA|||  ||JAY KEMMERER|610-376-6970|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|09/06/2002|0|0|0|0|0|0
Philadelphia Regional Office| 122460|801-64002|RETIREMENT ADVISORS, INC.|RETIREMENT ADVISORS, INC.|538 VALLEY BROOK ROAD|SUITE 100|VENETIA PA 15367|USA|||  ||LISA C. OSTERHAUS|724-747-4952|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|03/15/2005|0|0|0|0|0|0
Philadelphia Regional Office| 122474|801-61508|VIST CAPITAL MANAGEMENT|VIST CAPITAL MANAGEMENT,LLC|1240 BROADCASTING ROAD||WYOMISSING PA 19610|USA|PO BOX 6287||WYOMISSING PA 19610|USA|ROBERT W. MUTI|610.372.7737|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/11/2002|0|0|0|0|0|0
Philadelphia Regional Office| 122478|801-61423|NEW CENTURY ADVISORS, LLC|NEW CENTURY ADVISORS, LLC|7272 WISCONSIN AVENUE|SUITE 300|BETHESDA MD 20814|USA|||  ||NILS OVERDAHL|301 941-1933|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/22/2002|0|0|0|0|0|0
Philadelphia Regional Office| 122482|801-61440|GLADSTONE MANAGEMENT CORPORATION|GLADSTONE MANAGEMENT CORPORATION|1521 WESTBRANCH DRIVE|SUITE 200|MCLEAN VA 22102|USA|||  ||ALLYSON K. WILLIAMS|703-287-5823|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/13/2002|0|0|0|0|0|0
Philadelphia Regional Office| 122497|801-68947|ELDER LAW MANAGEMENT, ELDER LAW PLANNING SERVICES|EASTERN FINANCIAL GROUP, INC|401 WOOD STREET|3RD FL.|PITTSBURGH PA 15222|USA|||  ||SMERALDO TORCHIA|412-456-1230|Corporation|Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|04/03/2008|0|0|0|0|0|0
Philadelphia Regional Office| 122520|801-68492|HANCOCK CAPITAL MANAGEMENT, INC.|HANCOCK CAPITAL MANAGEMENT, INC.|1618 E. PLEASANT VALLEY BLVD.||ALTOONA PA 16602|USA|||  ||ROBERT E. DONLAN|814-944-8849|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|11/20/2007|0|0|0|0|0|0
Philadelphia Regional Office| 122587|801-61443|COVENANT WEALTH ADVISORS, LLC|COVENANT WEALTH ADVISORS, LLC|351 MCLAWS CIRCLE|SUITE 1|WILLIAMSBURG VA 23185|USA|||  ||ROBERT TOPPING|757 259-0111|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/17/2002|0|0|0|0|0|0
Philadelphia Regional Office| 122600|801-68675|CAPITAL INVESTMENT MANAGEMENT INC.|CAPITAL INVESTMENT MANAGEMENT INC.|5950 SYMPHONY WOODS ROAD|SUITE 215|COLUMBIA MD 21044|USA|||  ||MAUREEN D. WALLER|410-997-6755|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|01/07/2008|0|1|0|0|0|0
Philadelphia Regional Office| 122679|801-61489|PALADIN CAPITAL MANAGEMENT, LLC|PALADIN CAPITAL MANAGEMENT, LLC|2001 PENNSYLVANIA AVE., N.W.,|SUITE 400|WASHINGTON DC 20006|USA|||  ||MARK MALONEY|202-595-2963|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/27/2002|0|0|0|0|0|0
Philadelphia Regional Office| 122693|801-66968|KUNTZ LESHER CAPITAL LLC|KUNTZ LESHER CAPITAL LLC|1800 FRUITVILLE PIKE|P. O. BOX 8408|LANCASTER PA 17601|USA|P.O. BOX 8408||LANCASTER PA 17604|USA|ROBIN L. RUSSO|717-291-0667|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|06/30/2006|0|0|0|0|0|0
Philadelphia Regional Office| 122708|801-61464|INDEX INVESTMENTS LLC|INDEX INVESTMENTS LLC|2621 VAN BUREN AVE||NORRISTOWN PA 19403|USA|||  ||GADI BEER|610-666-1330|Limited Liability Company|Portfolio management for investment companies|APPROVED|10/04/2002|0|0|1|0|0|0
Philadelphia Regional Office| 122733|801-66682|PHILADELPHIA INVESTMENT PARTNERS, LP|PHILADELPHIA INVESTMENT PARTNERS, LP|1604 LOCUST STREET 2ND FLOOR||PHILADELPHIA PA 19103|USA|||  ||PETER ZEULI|215-731-9742|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|06/26/2006|0|0|0|0|0|0
Philadelphia Regional Office| 122774|801-68745|ASSET HARVEST GROUP, LLC|ASSET HARVEST GROUP, LLC|1750 TYSONS BLVD|4TH FLOOR|MCLEAN VA 22102|USA|||  ||FEMI SHOTE, CLU, CHFC, CFP, AIF|703-760-0043|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/23/2008|0|0|0|0|0|0
Philadelphia Regional Office| 122777|801-62044|BENCHMARK ASSET MANAGERS, LLC|BENCHMARK ASSET MANAGERS, LLC|1700 SANSOM STREET|11TH FLOOR|PHILADELPHIA PA 19103|USA|||  ||O. SAM FOLIN|215-557-7114|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|05/09/2003|0|0|0|0|0|0
Philadelphia Regional Office| 122889|801-63347|THE JOHNSTON GROUP, INC.|THE JOHNSTON GROUP, INC.|909 GYPSY HILL ROAD||LOWER GWYNEDD PA 19002|USA|||  ||DONN A. JOHNSTON|215-646-0484|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/08/2004|0|0|0|0|0|0
Philadelphia Regional Office| 123095|801-64105|ANNAPOLIS FINANCIAL SERVICES, LLC|ANNAPOLIS FINANCIAL SERVICES, LLC|2103 BAY DRIVE||ANNAPOLIS MD 21409|USA|||  ||WILLIAM J. HUFNELL|410-626-8198|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/13/2005|0|0|0|0|0|0
Philadelphia Regional Office| 123117|801-61523|SOMERS ASSET MANAGEMENT INCORPORATED|SOMERS ASSET MANAGEMENT INCORPORATED|210 GULPH CREEK ROAD||RADNOR PA 19087|USA|||  ||JAMES SOMERS|610 687-9178|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/11/2002|0|0|0|0|0|0
Philadelphia Regional Office| 123161|801-61568|ARTHURS LESTRANGE INVESTMENT ADVISORY, INC.|ARTHURS LESTRANGE INVESTMENT ADVISORY, INC.|1606 CARMODY COURT|SUITE 201|SEWICKLEY PA 15143|USA|||  ||BRIAN G. ORR|724-933-4423|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/15/2002|0|1|0|0|0|0
Philadelphia Regional Office| 123220|801-66915|GM FINANCIAL GROUP|GM FINANCIAL ADVISORS, INC.|4972 MEDICAL CENTER CIRCLE||ALLENTOWN PA 18106|USA|||  ||GARY DONALD MENZIES|610-398-7333|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Market timing services|APPROVED|07/14/2006|0|1|0|0|0|0
Philadelphia Regional Office| 123286|801-61829|ROBLE, BELKO AND COMPANY, INC.|ROBLE, BELKO AND COMPANY, INC.|2200 GEORGETOWNE DRIVE|SUITE 200|SEWICKLEY PA 15143|USA|||  ||ROGER ROBLE|724-935-4990|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/31/2003|0|1|9|0|0|0
Philadelphia Regional Office| 123322|801-68130|MIGHTY OAK STRONG AMERICA INVESTMENT COMPANY|MIGHTY OAK STRONG AMERICA INVESTMENT COMPANY|940 CENTURY DRIVE|SUITE B|MECHANICSBURG PA 17055-4376|USA|||  ||DONALD L. DEMUTH|717-790-9001|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|07/05/2007|0|0|0|0|0|0
Philadelphia Regional Office| 123349|801-67805|KAPUSTA FINANCIAL GROUP|KAPUSTA FINANCIAL GROUP, INC.|110 FORT COUCH ROAD,SUITE 108||PITTSBURGH PA 15241|USA|||  ||BRIDGET K. LOUTZENHISER, CFP|412-851-1400|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/17/2007|0|0|0|0|0|0
Philadelphia Regional Office| 123560|801-62505|CONRAD SIEGEL INVESTMENT ADVISORS|CONRAD SIEGEL INVESTMENT ADVISORS, INC.|501 CORPORATE CIRCLE||HARRISBURG PA 17110|USA|||  ||TARA L. MASHACK-BEHNEY|(717)652-5633|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Publication of periodicals or newsletters, Other|APPROVED|11/14/2003|0|0|0|0|0|0
Philadelphia Regional Office| 123652|801-61699|VALLEY FORGE CAPITAL ADVISORS, INC.|VALLEY FORGE CAPITAL ADVISORS, INC.|11 GENERAL WARREN BLVD.|SUITE ONE|MALVERN PA 19355|USA|||  ||KATHLEEN B. ROMAN|610-232-1777|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/09/2003|0|0|0|0|0|0
Philadelphia Regional Office| 123676|801-61787|ABINGDON CAPITAL MANAGEMENT|ABINGDON CAPITAL MANAGEMENT LTD.|1650 TYSONS BOULEVARD|SUITE 1575|MCLEAN VA 22102|USA|||  ||SCOTT M. BILYEU|(703) 269-3391|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/04/2003|0|0|0|0|0|0
Philadelphia Regional Office| 123718|801-61600|CMS FUND ADVISERS, INC.|CMS FUND ADVISERS, INC.|308 E. LANCASTER AVENUE|SUITE 300|WYNNEWOOD PA 19096-2145|USA|||  ||DONNA M. RITTERSHAUSEN|(610) 896-3017|Corporation|Financial planning services, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|11/01/2002|0|3|0|0|0|0
Philadelphia Regional Office| 124205|801-61693|WTAS LLC|WTAS LLC|1600 TYSONS BOULEVARD|SUITE 300|MCLEAN VA 22102|USA|||  ||MORGAN CHONG|(571) 382-0023|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters, Other|APPROVED|01/09/2003|0|1|0|0|0|0
Philadelphia Regional Office| 124234|801-61680|US ASSET MANAGEMENT, LLC|US ASSET MANAGEMENT, LLC|503 MARTINDALE STREET 7TH FL.||PITTSBURGH PA 15212|USA|||  ||GREGORY VOLITICH|(412)231-8209|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|01/31/2003|0|0|0|0|0|0
Philadelphia Regional Office| 124395|801-61809|ASCO FINANCIAL GROUP, INC.|ASCO FINANCIAL GROUP, INC.|575 PIERCE STREET, SUITE 301||KINGSTON PA 18704|USA|||  ||DONALD P. WILLIAMSON|(570) 714-0720|Corporation|Pension consulting services, Selection of other advisers|APPROVED|02/12/2003|0|0|1|0|0|0
Philadelphia Regional Office| 124811|801-61735|B & L ASSET MANAGEMENT, LLC|B & L ASSET MANAGEMENT, LLC|326 THIRD AVENUE, 4TH FLOOR||PITTSBURGH PA 15222|USA|||  ||MICHAEL H. LEVINE|412-642-6666|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/16/2003|0|0|0|0|0|0
Philadelphia Regional Office| 125025|801-61850|GUIDANCE CAPITAL|GUIDANCE CAPITAL, LLC|500 DELAWARE AVENUE|SUITE 720|WILMINGTON DE 19801|USA|||  ||BARRY BRICK|302-573-6883|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/21/2003|0|1|0|0|0|0
Philadelphia Regional Office| 125216|801-61838|BILKEYKATZ INVESTMENT CONSULTANTS|BILKEYKATZ INVESTMENT CONSULTANTS, INC.|411 SEVENTH AVENUE|SUITE 1425|PITTSBURGH PA 15219-1905|USA|||  ||ELDA J. BERTAN|1-412-803-9900|Corporation|Pension consulting services, Selection of other advisers, Other|APPROVED|02/21/2003|0|0|0|0|0|0
Philadelphia Regional Office| 125409|801-61844|THE ROCK CREEK GROUP, LP|THE ROCK CREEK GROUP, LP|1133 CONNECTICUT AVE., N.W.||WASHINGTON DC 20036|USA|||  ||SHERRI ROSSOFF|(202) 331-3425|Partnership|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|03/10/2003|0|0|0|0|0|0
Philadelphia Regional Office| 125428|801-62041|NEWMARKET CAPITAL PARTNERS, LLC|NEWMARKET CAPITAL PARTNERS, LLC|2000 MARKET STREET|SUITE 720|PHILADELPHIA PA 19103|USA|||  ||PATRICIA YOUNG|215-586-3080|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/06/2003|0|0|0|0|0|0
Philadelphia Regional Office| 125465|801-66883|PIEDMONT INVESTMENT ADVISORS, LLC|PIEDMONT INVESTMENT ADVISORS, LLC|19455 DEERFIELD AVENUE|SUITE 307|LANSDOWNE VA 20176|USA|||  ||WILLIAM MILITELLO|(703) 729-8333|Limited Liability Company|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|06/23/2006|0|0|0|0|0|0
Philadelphia Regional Office| 125749|801-66739|EAGLE ROCK FINANCIAL ADVISERS, LTD.|EAGLE ROCK FINANCIAL ADVISERS, LTD.|26-E EAST ROSEVILLE ROAD||LANCASTER PA 17601|USA|||  ||THOMAS F. RAUBA|717-569-4577|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|06/07/2006|0|0|0|0|0|0
Philadelphia Regional Office| 125803|801-66696|MASON, L. HARDY|MASON, L. HARDY|446 VISTA LANE||SHENANDOAH JUNCTION WV 25442-7007|USA|||  ||L. HARDY MASON|304-876-9268|Sole Proprietorship|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/10/2006|0|0|0|0|0|0
Philadelphia Regional Office| 125949|801-65971|ALBEMARLE ASSET MANAGEMENT LTD|ALBEMARLE ASSET MANAGEMENT LTD|290 FARMINGTON DRIVE||CHARLOTTESVILLE VA 22901|USA|||  ||JOSEPH ERDMAN|434-296-0525/561-789-3171|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/01/2006|0|0|0|0|0|0
Philadelphia Regional Office| 126013|801-61882|OLD GLORY ASSET MANAGEMENT LLC|OLD GLORY ASSET MANAGEMENT LLC|5 GREAT VALLEY PARKWAY|SUITE 326|MALVERN PA 19355|USA|||  ||MARY JEAN DOUGHERTY|610-648-3860|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/03/2003|0|0|0|0|0|0
Philadelphia Regional Office| 126508|801-62046|FRANKLIN PARK|FRANKLIN PARK ASSOCIATES, LLC|THREE BALA PLAZA|SUITE 500 WEST|BALA CYNWYD PA 19004|USA|||  ||KARL HARTMANN|610-822-0503|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|05/09/2003|0|0|0|0|0|0
Philadelphia Regional Office| 126520|801-64380|WESTOVER CAPITAL ADVISORS, LLC|WESTOVER CAPITAL ADVISORS, LLC|1220 N. MARKET STREET|SUITE 800|WILMINGTON DE 19801|USA|||  ||H. MURRAY SAWYER, JR.|302-427-9600|Limited Liability Company|Portfolio management for individuals and/or small businesses, Other|APPROVED|06/03/2005|0|0|0|0|0|0
Philadelphia Regional Office| 126754|801-62763|SBM FINANCIAL, LLC|SBM FINANCIAL, LLC|7315 WISCONSIN AVE|SUITE 1250 WEST|BETHESDA MD 20814|USA|||  ||PHILLIP B. HAYDEN|301-656-4200|Limited Liability Company|Portfolio management for investment companies|APPROVED|02/11/2004|0|0|1|0|0|0
Philadelphia Regional Office| 126793|801-69040|CHAMPION FINANCIAL PLANNING GROUP, LLC|CHAMPION FINANCIAL PLANNING GROUP, LLC|801 COMPASS WAY|SUITE 216|ANNAPOLIS MD 21401|USA|||  ||DAVID A. BALLARD|443-994-8719|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/10/2008|0|0|0|0|0|0
Philadelphia Regional Office| 126819|801-62412|MONTGOMERY CAPITAL MANAGEMENT, LLC|MONTGOMERY CAPITAL MANAGEMENT, LLC|753-B THIMBLE SHOALS BOULEVARD||NEWPORT NEWS VA 23606|USA|||  ||JONATHAN WEST|757/597-9525|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|10/10/2003|0|0|0|0|0|0
Philadelphia Regional Office| 126847|801-66217|BLANKINSHIP CORPORATION|BLANKINSHIP CORPORATION|1210 SOUTH HUNTRESS COURT||MCLEAN VA 22102|USA|||  ||REX BLANKINSHIP|703 356 6121|Corporation|Portfolio management for investment companies|APPROVED|08/10/2006|0|0|0|0|0|0
Philadelphia Regional Office| 126890|801-67223|WEGENER, LLC|WEGENER, LLC|5575 VINCENT GATE TERRACE, #1248||ALEXANDRIA VA 22312|USA|||  ||STEVEN WEGENER|703 282 9380|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies|APPROVED|10/24/2006|0|0|0|0|0|0
Philadelphia Regional Office| 126927|801-62312|PRIVATE WEALTH ADVISORS|PRIVATE WEALTH ADVISORS, INC.|4900 PERRY HIGHWAY|SUITE 300|PITTSBURGH PA 15229|USA|||  ||DAVID RISHEL|412-931-2700|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|09/29/2003|0|1|0|0|0|0
Philadelphia Regional Office| 127155|801-68858|EHD ADVISORY SERVICES, INC.|EHD ADVISORY SERVICES, INC.|115 E. KING STREET||LANCASTER PA 17602|USA|||  ||STEPHEN R. GINGRICH|717-390-4336|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/14/2008|0|0|0|0|0|0
Philadelphia Regional Office| 127181|801-63056|BRUTON FINANCIAL ADVISORS, LLC|BRUTON FINANCIAL ADVISORS, LLC|521 EAST LANCASTER AVENUE||DOWNINGTOWN PA 19335|USA|||  ||JAMES M. BRUTON|610-518-3900|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|04/19/2004|0|0|0|0|0|0
Philadelphia Regional Office| 127270|801-62139|COVINGTON INVESTMENT ADVISORS, INC.|COVINGTON INVESTMENT ADVISORS, INC.|301 EAST MAIN STREET||LIGONIER PA 15658|USA|||  ||PATRICK R. WALLACE|724-238-0151|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|06/19/2003|0|0|0|0|0|0
Philadelphia Regional Office| 127344|801-67280|BRANDYWINE FINANCIAL GROUP, INC.|BRANDYWINE FINANCIAL GROUP, INC.|100 FOUR FALLS CORPORATE CENTER|STE 105|WEST CONSHOHOCKEN PA 19428|USA|||  ||RAYMOND CAROTA|610-828-1155|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|11/28/2006|1|0|0|0|0|0
Philadelphia Regional Office| 127562|801-62217|MORRISON FIDUCIARY ADVISORS,  INC.|MORRISON FIDUCIARY ADVISORS,  INC.|SCOTT TOWN CENTER, SUITE A-113|2101 GREENTREE ROAD|PITTSBURGH PA 15220|USA|||  ||FRANK BURNETTE|412-344-6052|Corporation|Pension consulting services, Selection of other advisers|APPROVED|07/14/2003|0|0|0|0|0|0
Philadelphia Regional Office| 127635|801-69053|PLOTKIN FINANCIAL ADVISORS, LLC|PLOTKIN FINANCIAL ADVISORS, LLC|8401 CONNECTICUT AVENUE|SUITE 403|CHEVY CHASE MD 20815|USA|||  ||SHIMSHON PLOTKIN|301-907-9790|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|05/01/2008|0|2|0|0|0|0
Philadelphia Regional Office| 127725|801-62231|TOLLEFSON GUSTINI & CO. INVESTMENT MANAGEMENT LLC|TOLLEFSON GUSTINI & CO. INVESTMENT MANAGEMENT LLC|5335 WISCONSIN AVENUE, NW|SUITE 440|WASHINGTON DC 20015|USA|PMB #45773, PO BOX 96503||WASHINGTON DC 20090-6503|USA|KIRSTEN TOLLEFSON|202-363-6128|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|07/18/2003|0|0|0|0|0|0
Philadelphia Regional Office| 127783|801-62247|KHF ADVISORS LLC|KHF ADVISORS LLC|1018 KANAWHA BLVD|SUITE 301|CHARLESTON WV 25301|USA|||  ||KNOX HARWELL FUQUA|304.414.2391|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/01/2003|0|0|0|0|0|0
Philadelphia Regional Office| 127816|801-62663|DANIELS + TANSEY, L.L.P.|DANIELS + TANSEY, L.L.P.|3711 KENNETT PIKE|SUITE 130|WILMINGTON DE 19807|USA|||  ||CHRISTOPHER F. DANIELS|302-594-1070|Limited Liability Partnership|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|01/06/2004|0|0|0|0|0|0
Philadelphia Regional Office| 127917|801-62528|SOL CAPITAL INTERNATIONAL LLC|SOL CAPITAL INTERNATIONAL LLC|111 ROCKVILLE PIKE|SUITE 750|ROCKVILLE MD 20850|USA|||  ||SAMUEL SANDLER|301-881-3727|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|12/24/2003|0|0|0|0|0|0
Philadelphia Regional Office| 127927|801-62268|HOPWOOD FINANCIAL SERVICES, INC.|HOPWOOD FINANCIAL SERVICES, INC.|10135 COLVIN RUN ROAD|SUITE 210|GREAT FALLS VA 22066|USA|||  ||HERBERT HOPWOOD, III|703-787-0008|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|08/12/2003|0|0|0|0|0|0
Philadelphia Regional Office| 128171|801-62314|ROCKLEDGE PARTNERS, LLC|ROCKLEDGE PARTNERS, LLC|7501 WISCONSIN AVENUE SUITE 1100|SUITE 1100|BETHESDA MD 20814|USA|||  ||SHAWN M. HENDON|301-493-4600|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/05/2003|0|0|0|0|0|0
Philadelphia Regional Office| 128424|801-62571|FOSTER HOLDINGS, INC.|FOSTER HOLDINGS, INC.|681 ANDERSEN DRIVE,|THIRD FLOOR|PITTSBURGH PA 15220|USA|||  ||DAVID R. MANGENE|412-928-1404|Corporation|Selection of other advisers, Other|APPROVED|01/11/2004|0|0|0|0|0|0
Philadelphia Regional Office| 128499|801-63163|ACTION FUND MANAGEMENT, LLC|ACTION FUND MANAGEMENT, LLC|12309 BRIARBUSH LANE||POTOMAC MD 20854-1032|USA|||  ||STEVEN J. MILLOY|301-258-2852|Limited Liability Company|Portfolio management for investment companies|APPROVED|05/18/2004|0|0|0|0|0|0
Philadelphia Regional Office| 128545|801-64239|CARY STREET PARTNERS INVESTMENT ADVISORY LLC|CARY STREET PARTNERS INVESTMENT ADVISORY LLC|1210 E. CARY STREET|SUITE 200|RICHMOND VA 23219|USA|||  ||TAYLOR J NELSON|804-228-4680|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|08/12/2005|0|1|0|0|0|0
Philadelphia Regional Office| 128590|801-62557|ABACUS WEALTH PARTNERS|ABACUS WEALTH PARTNERS, LLC|1818 MARKET STREET, SUITE 3740||PHILADELPHIA PA 19103|USA|||  ||LISA COLON|215 656 4280|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/02/2004|0|0|0|0|0|0
Philadelphia Regional Office| 128591|801-62441|SCHNEIDER DOWNS WEALTH MANAGEMENT ADVISORS, LP|SCHNEIDER DOWNS WEALTH MANAGEMENT ADVISORS, LP|1133 PENN AVENUE||PITTSBURGH PA 15222|USA|||  ||DON A. LINZER|412-697-5222|Other (specify)|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|10/24/2003|0|0|0|0|0|0
Philadelphia Regional Office| 128610|801-62501|FEDERATED EQUITY MANAGEMENT COMPANY OF PENNSYLVANIA|FEDERATED EQUITY MANAGEMENT COMPANY OF PENNSYLVANIA|FEDERATED INVESTORS TOWER|1001 LIBERTY AVENUE|PITTSBURGH PA 15222-3779|USA|||  ||BRIAN P. BOUDA|412-288-8634|Other (specify)|Portfolio management for investment companies|APPROVED|11/28/2003|0|0|0|0|0|0
Philadelphia Regional Office| 128611|801-62500|FEDERATED ADVISORY SERVICES COMPANY|FEDERATED ADVISORY SERVICES COMPANY|FEDERATED INVESTORS TOWER|1001 LIBERTY AVENUE|PITTSBURGH PA 15222-3779|USA|||  ||BRIAN P. BOUDA|412-288-8634|Other (specify)|Other|APPROVED|11/28/2003|0|0|0|0|0|0
Philadelphia Regional Office| 128699|801-62555|WILLIAMS FINANCIAL GROUP, INC.|WILLIAMS FINANCIAL GROUP, INC.|950 UNITED CENTER|500 VIRGINIA STREET E.|CHARLESTON WV 25301-2128|USA|||  ||JOHN D. WILLIAMS|304-346-6400|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/02/2004|0|0|0|0|0|0
Philadelphia Regional Office| 128716|801-62575|INVESTMENT ADVISORS ASSET MANAGEMENT, LLC|INVESTMENT ADVISORS ASSET MANAGEMENT, LLC|137 NORTH SECOND STREET||EASTON PA 18042|USA|||  ||JAMES A. RICE|610-258-3269|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/02/2004|0|1|0|0|0|0
Philadelphia Regional Office| 129052|801-66195|PNC INVESTMENTS|PNC INVESTMENTS LLC|620 LIBERTY AVENUE|26TH FLOOR|PITTSBURGH PA 15222|USA|||  ||MITCHELL S AVNET|(412)768-3313|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|09/17/2003|1|13|1|0|0|0
Philadelphia Regional Office| 129070|801-64032|ANCHOR CAPITAL MANAGEMENT LLC|ANCHOR CAPITAL MANAGEMENT LLC|1206 YORK ROAD|SUITE 203|LUTHERVILLE MD 21093|USA|||  ||ROXANNE MARSHALL|410-583-9595|Limited Liability Company|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|03/09/2005|0|1|0|0|0|0
Philadelphia Regional Office| 129120|801-62471|ALEXANDRIA FINANCIAL ASSOCIATES|ALEXANDRIA FINANCIAL ASSOCIATES|4900 SEMINARY ROAD|SUITE 105|ALEXANDRIA VA 22311|USA|||  ||ANGELO ALLECA|703 671-5959|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|10/01/2003|0|0|0|0|0|0
Philadelphia Regional Office| 129563|801-68353|STERN INVESTMENT ADVISORY|STERN, STEVEN DAVID CFA|4600 CONNECTICUT AVE. NW|SUITE # 925|WASHINGTON DC 20008|USA|4401-A CONNECTICUT AVE. NW|PMB #213|WASHINGTON DC 20008|USA|STEVEN DAVID STERN|202-248-1762|Sole Proprietorship|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|09/17/2007|0|0|0|0|0|0
Philadelphia Regional Office| 129617|801-62568|MONTGOMERY BROTHERS, CAPPIELLO, LLC|MONTGOMERY BROTHERS, CAPPIELLO, LLC|1020 19TH STREET, NW|STE 200|WASHINGTON DC 20036|USA|||  ||JOHN E MONTGOMERY|301-652-6950|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/02/2004|0|0|0|0|0|0
Philadelphia Regional Office| 129840|801-62700|GOULD INVESTMENT PARTNERS LLC|GOULD INVESTMENT PARTNERS LLC|1235 WESTLAKES DRIVE|SUITE 280|BERWYN PA 19312-2413|USA|||  ||BARBARA GROSSO|610.540.1300|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/28/2004|0|0|0|0|0|0
Philadelphia Regional Office| 129885|801-62648|GOODSTEIN & ASSOCIATES, LLC|GOODSTEIN & ASSOCIATES, LLC|540 PENNSYLVANIA AVENUE|SUITE 323|FORT WASHINGTON PA 19034|USA|||  ||SANDRA E. GOODSTEIN|215-619-4635|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/09/2004|0|0|0|0|0|0
Philadelphia Regional Office| 129954|801-62676|REDSTONE INVESTMENT MANAGEMENT LP|REDSTONE INVESTMENT MANAGEMENT LP|1055 WESTLAKES DRIVE|SUITE 300|BERWYN PA 19312|USA|||  ||VINCE SMALL|610-727-3720|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/23/2004|0|0|0|0|0|0
Philadelphia Regional Office| 130007|801-62759|HAVERFORD FINANCIAL SERVICES, INC.|HAVERFORD FINANCIAL SERVICES, INC.|THREE RADNOR CORPORATE CENTER|SUITE 450|RADNOR PA 19087|USA|||  ||MARIEELENA V. NESS|610-995-8700|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/12/2004|0|0|0|0|0|0
Philadelphia Regional Office| 130099|801-62689|INVESTURE, LLC|INVESTURE, LLC|126 GARRETT STREET|SUITE J|CHARLOTTESVILLE VA 22902|USA|||  ||EDWARD P. MEISSNER|434-220-0284|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|01/20/2004|0|0|0|0|0|0
Philadelphia Regional Office| 130101|801-62685|KEYSTONE ASSET MANAGEMENT, INC.|KEYSTONE ASSET MANAGEMENT, INC.|1430 SPRING HILL RD|STE 425|MCLEAN VA 22102|USA|||  ||DONNA J. PATTERSON|703-734-3400|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/15/2004|0|0|0|0|0|0
Philadelphia Regional Office| 130105|801-62775|BIONDO INVESTMENT ADVISORS LLC|BIONDO INVESTMENT ADVISORS LLC|544 ROUTE 6 & 209||MILFORD PA 18337|USA|PO BOX 909||MILFORD PA 18337|USA|EUGENIA PAVEK|570-296-5525|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/09/2004|0|0|0|0|0|0
Philadelphia Regional Office| 130112|801-68944|MURPHY & ADVISORS, LLC|MURPHY & ADVISORS, LLC|20 WOODSIDE DRIVE||ARDMORE PA 19003|USA|||  ||JAMES J. MURPHY|610-955-8212|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/25/2008|0|0|0|0|0|0
Philadelphia Regional Office| 130131|801-62752|WELLINGTON CAPITAL MANAGEMENT, INC|WELLINGTON CAPITAL MANAGEMENT, INC.|7272 WISCONSIN AVENUE|SUITE 300|BETHESDA MD 29814|USA|||  ||EDMUND WELLINGTON III|301-941-1997|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|01/30/2004|0|0|0|0|0|0
Philadelphia Regional Office| 130159|801-62827|HAVERFORD INVESTMENT MANAGEMENT, INC.|HAVERFORD INVESTMENT MANAGEMENT, INC.|3 RADNOR CORPORATE CENTER|STE 450|RADNOR PA 19087|USA|||  ||MARIEELENA V. NESS|610-995-8700|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/08/2004|0|0|0|0|0|0
Philadelphia Regional Office| 130174|801-62696|MONACO CAPITAL MANAGEMENT, LLC|MONACO CAPITAL MANAGEMENT, LLC|621 LYNNHAVEN PKWY. SUITE 208||VIRGINIA BEACH VA 23452|USA|||  ||ANDREA L MCMURRAN|757-333-7676|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|01/14/2004|0|0|0|0|0|0
Philadelphia Regional Office| 130342|801-65573|PLAINVIEW CAPITAL EQUITY PARTNERS, LLC|PLAINVIEW CAPITAL EQUITY PARTNERS, LLC|401 EAST PRATT STREET|SUITE 2553|BALTIMORE MD 21202|USA|||  ||JASON HODELL|410-528-0205|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/26/2006|0|0|0|0|0|0
Philadelphia Regional Office| 130457|801-64183|SPARTAN CAPITAL MANAGEMENT, LLC|SPARTAN CAPITAL MANAGEMENT, LLC|501 WEST STREET ROAD||WEST CHESTER PA 19382-7212|USA|501 WEST STREET ROAD||WEST CHESTER PA 19382-7212|USA|SUSAN L. BARTELS|610-399-8201|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/18/2005|0|0|0|0|0|0
Philadelphia Regional Office| 130458|801-62818|FINANCIAL INTEGRITY ADVISORS, LLC|FINANCIAL INTEGRITY ADVISORS, LLC|1800 JFK BOULEVARD|SUITE 460|PHILADELPHIA PA 19103|USA|||  ||PHILIP M. HARRIS|215 557-7622|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|03/01/2004|0|0|0|0|0|0
Philadelphia Regional Office| 130540|801-62855|CAMDEN PARTNERS STRATEGIC MANAGER, LLC|CAMDEN PARTNERS STRATEGIC MANAGER, LLC|500 EAST PRATT STREET|SUITE 1200|BALTIMORE MD 21202|USA|||  ||DONALD W. HUGHES|410-878-6820|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/11/2004|0|0|0|0|0|0
Philadelphia Regional Office| 130758|801-62911|VERITABLE LP|VERITABLE LP|6022 WEST CHESTER PIKE||NEWTOWN SQUARE PA 19073|USA|||  ||CHARLES P. KEATES|610-640-9551|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/12/2004|0|0|0|0|0|0
Philadelphia Regional Office| 131024|801-62970|ARTHURS LESTRANGE CAPITAL ADVISORS, INC.|ARTHURS LESTRANGE CAPITAL ADVISORS, INC.|140 SOUTH VILLAGE AVENUE|SUITE 10|EXTON PA 19341|USA|||  ||LESLIE L. BEAR|610.594.7080|Corporation|Other|APPROVED|04/19/2004|0|1|0|0|0|0
Philadelphia Regional Office| 131186|801-63092|SOLENTURE ADVISORS LLC|SOLENTURE ADVISORS LLC|FOUR GATEWAY CENTER|444 LIBERTY AVENUE, SUITE 1105|PITTSBURGH PA 15222|USA|||  ||VITO CEDRO|412-281-5472|Limited Liability Company|Financial planning services, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|04/23/2004|0|0|0|0|0|0
Philadelphia Regional Office| 131381|801-63096|CSA WEALTH MANAGEMENT, LLC|CSA WEALTH MANAGEMENT, LLC|729 COUNTRY PLACE RD||AXTON VA 24054|USA|||  ||CINDI SHOWALTER|276-634-0000|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/17/2004|0|0|0|0|0|0
Philadelphia Regional Office| 131506|801-64898|PORTFOLIO DESIGN SERVICES, LLC|PORTFOLIO DESIGN SERVICES, LLC|100 HILL TOP ROAD||ROANOKE VA 24014|USA|P.O. BOX 20109||ROANOKE VA 24018|USA|BRUCE D. SWANSON|540-400-0053|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|11/29/2005|0|0|0|0|0|0
Philadelphia Regional Office| 131535|801-67033|CREDO CAPITAL MANAGEMENT, LLC|CREDO CAPITAL MANAGEMENT, LLC|225 E. REDWOOD STREET|2ND FLOOR|BALTIMORE MD 21202|USA|||  ||TEDD M. ALEXANDER III|(410) 244-6202|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/21/2006|0|0|0|0|0|0
Philadelphia Regional Office| 131567|801-63449|CMG INVESTMENT ADVISORS,LLC|CMG INVESTMENT ADVISORS,LLC|150 N. RADNOR-CHESTER ROAD|SUITE A150|RADNOR PA 19087|USA|||  ||STEPHEN BLUMENTHAL|610-989-9090|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/23/2004|0|0|0|0|0|0
Philadelphia Regional Office| 131702|801-67683|ANDESA INVESTMENT SOLUTIONS, INC.|ANDESA INVESTMENT SOLUTIONS, INC.|3435 WINCHESTER ROAD|SUITE 402|ALLENTOWN PA 18104|USA|||  ||PAUL C. BARBEHENN|(610) 821-8650|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/22/2007|0|0|0|0|0|0
Philadelphia Regional Office| 131758|801-66515|THAYER | HIDDEN CREEK|TC EQUITY PARTNERS IV, L.L.C.|1455 PENNSYLVANIA AVE, NW|SUITE 350|WASHINGTON DC 20004|USA|||  ||LISA WITHERS|202-371-0150|Limited Liability Company|Other|APPROVED|07/28/2006|0|1|0|0|0|0
Philadelphia Regional Office| 131760|801-66514|THAYER | HIDDEN CREEK|TC EQUITY PARTNERS V, L.L.C.|1455 PENNSYLVANIA AVE, NW|SUITE 350|WASHINGTON DC 20004|USA|||  ||LISA WITHERS|202-371-0150|Limited Liability Company|Other|APPROVED|07/28/2006|0|1|0|0|0|0
Philadelphia Regional Office| 131777|801-65303|FULCRUM ADVISORY SERVICES, INC.|FULCRUM ADVISORY SERVICES, INC.|1650 TYSONS BLVD.|STE 620|MCLEAN VA 22102|USA|||  ||J. PATRICK KEARNS|703-689-4001|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|02/24/2006|0|0|0|0|0|0
Philadelphia Regional Office| 131854|801-63226|HUNDREDFOLD ADVISORS, LLC|HUNDREDFOLD ADVISORS, LLC|2940 N. LYNNHAVEN RD|SUITE 210A|VIRGINIA BEACH VA 23452|USA|||  ||MARY COLLINS|757-463-7797|Limited Liability Company|Portfolio management for investment companies, Other|APPROVED|06/30/2004|0|1|0|0|0|0
Philadelphia Regional Office| 131880|801-63587|ASHFORD CONSULTING GROUP, INC.|ASHFORD CONSULTING GROUP, INC.|ONE WALKERS MILL ROAD||WILMINGTON DE 19807-2317|USA|||  ||ANTHONY M. PETRUCCI|302-655-1750|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|10/19/2004|0|0|0|0|0|0
Philadelphia Regional Office| 131956|801-63292|SBM CAPITAL MANAGEMENT, LLC|SBM CAPITAL MANAGEMENT, LLC|7315 WISCONSIN AVE|SUITE 1250 WEST|BETHESDA MD 20814|USA|||  ||PHILLIP B. HAYDEN|301-656-4200|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/21/2004|0|0|1|0|0|0
Philadelphia Regional Office| 131976|801-63706|D'ORAZIO & ASSOCIATES, INC.|D'ORAZIO & ASSOCIATES, INC.|7600 LEESBURG PIKE|SUITE 460 EAST|FALLS CHURCH VA 22043|USA|||  ||JOSEPH A. D'ORAZIO|703-917-0007|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|12/08/2004|0|0|0|0|0|0
Philadelphia Regional Office| 132005|801-63341|KANAWHA ASSET MANAGEMENT|KANAWHA ASSET MANAGEMENT LLC|2000 DEITRICK BLVD||CHARLESTON WV 25311|USA|||  ||WILLIAM W. CARTER|866-788-3700|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|07/16/2004|0|0|0|0|0|0
Philadelphia Regional Office| 132039|801-63352|KELLY CAPITAL MANAGEMENT, LLC|KELLY CAPITAL MANAGEMENT, LLC|1518 WALNUT STREET|SUITE 204|PHILADELPHIA PA 19102|USA|||  ||JAMES V. KELLY, CFA|215-735-2121|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/15/2004|0|0|0|0|0|0
Philadelphia Regional Office| 132159|801-63329|WEATHERVANE WEALTH MANAGEMENT, LLC|WEATHERVANE WEALTH MANAGEMENT, LLC|707 EAGLEVIEW BLVD|SUITE 104|EXTON PA 19341|USA|||  ||THOMAS D. PAULUS|610-321-2400|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/02/2004|0|0|0|0|0|0
Philadelphia Regional Office| 132191|801-66513|THAYER | HIDDEN CREEK|THAYER | HIDDEN CREEK MANAGEMENT, L.P.|1455 PENNSYLVANIA AVE., NW|SUITE 350|WASHINGTON DC 20004|USA|||  ||LISA WITHERS|202-371-0150|Partnership|Other|APPROVED|04/26/2006|0|1|0|0|0|0
Philadelphia Regional Office| 132221|801-67195|MCDERMOTT INVESTMENT ADVISORS, LLC|MCDERMOTT INVESTMENT ADVISORS, LLC|26 WEST BROAD STREET||BETHLEHEM PA 18018-1889|USA|P.O. BOX 1889||BETHLEHEM PA 18016-1889|USA|DEAN MCDERMOTT|610-882-1460|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|09/25/2006|0|1|0|0|0|0
Philadelphia Regional Office| 132257|801-63324|PROGRESS INVESTMENT MANAGEMENT COMPANY, LLC|PROGRESS INVESTMENT MANAGEMENT COMPANY, LLC|33 NEW MONTGOMERY ST.|SUITE 1900|SAN FRANCISCO DE 94105|USA|||  ||BEVERLY PASLEY-HARRISON|415-512-3480|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/28/2004|0|0|0|0|0|0
Philadelphia Regional Office| 132310|801-66112|GELLER & LEHMANN, LLC|GELLER & LEHMANN, LLC|10749 FALLS ROAD|STE 202|LUTHERVILLE MD 21093|USA|||  ||DAVID LEHMANN|410-583-5540|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|02/01/2006|0|0|0|0|0|0
Philadelphia Regional Office| 132313|801-63470|MILNE LLC|MILNE LLC|LANDMARKS BUILDING|100 WEST STATION SQUARE DRIVE, SUITE 225|PITTSBURGH PA 15219-1122|USA|||  ||JOHN MILNE|412-560-0241|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/27/2004|0|0|0|0|0|0
Philadelphia Regional Office| 132513|801-64185|SBK FINANCIAL, INC.|SBK FINANCIAL, INC.|8720 STONY POINT PARKWAY|SUITE 250|RICHMOND VA 23235|USA|||  ||KEVIN KING|804-237-1700|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|05/09/2005|0|0|0|0|0|0
Philadelphia Regional Office| 132580|801-63529|KIRCHENBAUER FINANCIAL MANAGEMENT & CONSULTING|KIRCHENBAUER, LISA ANNE KIRKPATRICK|200 N. GLEBE ROAD|SUITE 812|ARLINGTON VA 22203|USA|||  ||LISA KIRCHENBAUER|703-387-0919|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|09/30/2004|0|0|0|0|0|0
Philadelphia Regional Office| 132601|801-68750|TRITON WEALTH MANAGEMENT, LLC|TRITON WEALTH MANAGEMENT, LLC|200 HARRY S. TRUMAN PARKWAY|SUITE 110|ANNAPOLIS MD 21401|USA|||  ||THADDEUS 'TED' NORMAN TOAL, JR.|410.224.0097|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/23/2008|0|0|0|0|0|0
Philadelphia Regional Office| 132628|801-67657|TMG INVESTMENT ADVISORY COMPANY|TMG INVESTMENT ADVISORY COMPANY|1430 SPRING HILL ROAD|SUITE 400|MCLEAN VA 22102|USA|||  ||DERRICK J DANSEREAU|703-734-5836|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|03/29/2007|0|0|0|0|0|0
Philadelphia Regional Office| 132669|801-67570|GREENSPRING WEALTH MANAGEMENT, INC.|GREENSPRING WEALTH MANAGEMENT, INC.|8600 LASALLE ROAD|SUITE 618|TOWSON MD 21286|USA|||  ||JOHN PATRICK COLLINS, JR.|443-564-4600|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|02/22/2007|0|0|0|0|0|0
Philadelphia Regional Office| 132735|801-64512|RYDEX ADVISORY SERVICES, LLC|RYDEX ADVISORY SERVICES, LLC|9601 BLACKWELL ROAD|SUITE 500|ROCKVILLE MD 20850|USA|||  ||ALLISON CHARLEY|301-296-5455|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|07/12/2005|0|0|0|0|0|0
Philadelphia Regional Office| 132804|801-63584|BONTEMPO OHLY CAPITAL MANAGEMENT, LLC|BONTEMPO OHLY CAPITAL MANAGEMENT, LLC|7501 WISCONSIN AVE|SUITE 1340|BETHESDA MD 20814|USA|||  ||LISA RUTISHAUSER|240-497-1300|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|10/19/2004|0|0|0|0|0|0
Philadelphia Regional Office| 132828|801-68998|BENSON INVESTMENT MANAGEMENT COMPANY, INC.|BENSON INVESTMENT MANAGEMENT COMPANY, INC.|1161 BELCROFT COURT||ROANOKE VA 24018|USA|||  ||ROBERT D BENSON JR|540-989-3030|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/27/2008|0|0|0|0|0|0
Philadelphia Regional Office| 132959|801-63632|PROXY GOVERNANCE, INC.|PROXY GOVERNANCE, INC.|8000 TOWERS CRESCENT DRIVE|SUITE 1500|VIENNA VA 22182|USA|||  ||JEFFREY SMITH|703-245-4828|Corporation|Other|APPROVED|11/22/2004|0|0|0|0|0|0
Philadelphia Regional Office| 133114|801-63619|TICKNOR, ATHERTON AND ASSOCIATES|ATHERTON CONSULTING INC.|12040 SOUTH LAKES DRIVE|SUITE 201|RESTON VA 20191|USA|||  ||MARK ATHERTON|703-476-3521|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|10/29/2004|0|0|0|0|0|0
Philadelphia Regional Office| 133149|801-65681|RFFM|RESOURCE FINANCIAL FUND MANAGEMENT, INC.|ONE CRESCENT DRIVE, SUITE 203|NAVY YARD CORPORATE CENTER|PHILADELPHIA PA 19112|U.S.A.|||  ||DARSHAN PATEL|212-506-3806|Corporation|Other|APPROVED|01/27/2006|0|1|0|0|0|0
Philadelphia Regional Office| 133169|801-63846|DEKANIA CAPITAL MANAGEMENT, LLC|DEKANIA CAPITAL MANAGEMENT, LLC|2929 ARCH STREET|17TH FLOOR|PHILADELPHIA PA 19104|USA|2929 ARCH STREET|17TH FLOOR|PHILADELPHIA PA 19104|USA|KENNETH SMITH|215 701-9635|Limited Liability Company|Other|APPROVED|02/04/2005|0|2|0|0|0|0
Philadelphia Regional Office| 133171|801-63845|COHEN & COMPANY FINANCIAL MANAGEMENT, LLC|COHEN & COMPANY FINANCIAL MANAGEMENT, LLC|2929 ARCH STREET|17TH FLOOR|PHILADELPHIA PA 19104|USA|||  ||KENNETH SMITH|215 701-9635|Limited Liability Company|Other|APPROVED|02/04/2005|0|2|0|0|0|0
Philadelphia Regional Office| 133211|801-63633|LATUS CAPITAL MANAGEMENT|LATUS CAPITAL, LLC|3607 ROSEMONT AVE|SUITE 403|CAMP HILL PA 17011|USA|||  ||MICHAEL E. SALERNO|717-761-6131|Limited Liability Company|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|11/10/2004|0|0|0|0|0|0
Philadelphia Regional Office| 133229|801-63618|VTL ASSOCIATES, LLC|VTL ASSOCIATES, LLC|2005 MARKET STREET; SUITE 2020||PHILADELPHIA PA 19103|USA|||  ||MICHAEL J. GOMPERS|(215)854-8181|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|11/05/2004|0|0|0|0|0|0
Philadelphia Regional Office| 133230|801-63717|CB RICHARD ELLIS GLOBAL REAL ESTATE SECURITIES, LLC|CB RICHARD ELLIS GLOBAL REAL ESTATE SECURITIES, LLC|250 W. PRATT STREET|SUITE 1700|BALTIMORE MD 21201-2496|USA|||  ||WILLIAM STEVENS CARROLL|410-244-3124|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|01/03/2005|0|0|0|0|0|0
Philadelphia Regional Office| 133246|801-64073|ARCHSTONE INVESTMENT MANAGEMENT|ARCHSTONE INVESTMENT MANAGEMENT|1800 EAST LANCASTER AVE|SUITE 200|PAOLI PA 19301|USA|||  ||CHRISTIAN R. HYLDAHL|610-240-7750|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/11/2005|0|0|0|0|0|0
Philadelphia Regional Office| 133311|801-63668|EXECUTIVE CAPITAL STRATEGIES LLC|EXECUTIVE CAPITAL STRATEGIES LLC|1345 ENTERPRISE DRIVE||WEST CHESTER PA 19380|USA|||  ||GREG ELINSKY|610-701-4370|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|11/23/2004|0|0|0|0|0|0
Philadelphia Regional Office| 133329|801-63649|MARYLAND CAPITAL MANAGEMENT, LLC|MARYLAND CAPITAL MANAGEMENT, LLC|800 NORTH CHARLES STREET|SUITE 300|BALTIMORE MD 21201|USA|||  ||LISA M. FAHERTY|410-547-2666|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/01/2004|0|0|0|0|0|0
Philadelphia Regional Office| 133370|801-63656|LEGG MASON INVESTMENT COUNSEL, LLC|LEGG MASON INVESTMENT COUNSEL, LLC|100 LIGHT STREET|31ST FLOOR|BALTIMORE MD 21202|USA|||  ||JENNIFER M. DOWNS|410-454-3109|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|11/24/2004|0|0|0|0|0|0
Philadelphia Regional Office| 133399|801-65017|LIFETIME WEALTH PLANNING AND MANAGEMENT, LLC|LIFETIME WEALTH PLANNING AND MANAGEMENT, LLC|211 N. UNION STREET|SUITE 100|ALEXANDRIA VA 22314|USA|||  ||DIANA J. BATCHELOR|703-519-1254|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/10/2005|0|0|0|0|0|0
Philadelphia Regional Office| 133415|801-63862|SCHENLEY CAPITAL, INC|SCHENLEY CAPITAL, INC|406 BEAVER STREET, SUITE #1||SEWICKLEY PA 15143-1004|USA|||  ||ELIZABETH H. GENTER|412-749-9256|Corporation|Financial planning services, Selection of other advisers|APPROVED|03/14/2005|0|0|0|0|0|0
Philadelphia Regional Office| 133447|801-63684|BLUE VASE CAPITAL MANAGEMENT|BLUE VASE CAPITAL MANAGEMENT|1720 WASHINGTON ROAD||WASHINGTON PA 15301|USA|1720 WASHINGTON ROAD|PO BOX 837|WASHINGTON PA 15301|US|SUSAN HOLMES|866-606-2913|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|01/03/2005|0|0|0|0|0|0
Philadelphia Regional Office| 133466|801-63727|MMA REALTY CAPITAL ADVISORS, INC.|MMA REALTY CAPITAL ADVISORS, INC.|621 EAST PRATT STREET|SUITE 300|BALTIMORE MD 21202|USA|||  ||ROBERT MCLEWEE|(443)263-2927|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/03/2005|0|0|0|0|0|0
Philadelphia Regional Office| 133561|801-29235|BILL FEW ASSOCIATES, INC.|BILL FEW ASSOCIATES, INC.|4900 PERRY HIGHWAY||PITTSBURGH PA 15229|USA|||  ||DEBRA A. WARFIELD|412-801-4900|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|04/10/1987|0|0|0|0|0|0
Philadelphia Regional Office| 133600|801-63959|KATZ FAMILY FINANCIAL ADVISORS, LLC|KATZ FAMILY FINANCIAL ADVISORS, LLC|7910 WOODMONT AVENUE|SUITE 1307|BETHESDA MD 20814|USA|1605 NW SAMMAMISH ROAD|SUITE 250|ISSAQUAH WA 98027|USA|MARK E. KATZ|301-961-6085|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|02/17/2005|0|0|0|0|0|0
Philadelphia Regional Office| 133613|801-67122|ALBRIGHT CAPITAL MANAGEMENT LLC|ALBRIGHT CAPITAL MANAGEMENT LLC|1101 NEW YORK AVENUE, NW|SUITE 900|WASHINGTON DC 20005-4213|USA|||  ||NELSON OLIVEIRA|202-370-3500|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/31/2006|0|0|0|0|0|0
Philadelphia Regional Office| 133697|801-63790|SCHAEFFER FINANCIAL LLC|SCHAEFFER FINANCIAL LLC|ONE CHURCH STREET|SUITE 901|ROCKVILLE MD 20850|USA|||  ||CAROLE A. BYRD|301-933-5550|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|01/03/2005|0|0|0|0|0|0
Philadelphia Regional Office| 133958|801-63910|FAR MORE CONSULTING|FAR MORE CREDIT UNION CONSULTING|9049 BARHAMSVILLE ROAD||TOANO VA 23168|USA|||  ||DAVID W. FORREST|(757) 566-1461|Limited Liability Company|Other|APPROVED|09/06/2005|0|0|0|0|0|0
Philadelphia Regional Office| 133979|801-63867|HOOVER FINANCIAL ADVISORS, P.C.|HOOVER FINANCIAL ADVISORS, P.C.|112 MOORES ROAD, SUITE 100||MALVERN PA 19355|USA|||  ||PETER K HOOVER|610-651-2777|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|01/28/2005|0|0|0|0|0|0
Philadelphia Regional Office| 134002|801-64285|CAMPION WEALTH MANAGEMENT, LLC|CAMPION WEALTH MANAGEMENT, LLC|8100 BOONE BOULEVARD|SUITE 260|VIENNA VA 22182-2683|USA|||  ||TERENCE BURNS|703-848-0344|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters, Other|APPROVED|03/23/2006|0|0|0|0|0|0
Philadelphia Regional Office| 134012|801-64212|STEWART CAPITAL ADVISORS, LLC|STEWART CAPITAL ADVISORS, LLC|800 PHILADELPHIA STREET||INDIANA PA 15701|USA|||  ||TIMOTHY P. MCKEE|724-465-4457|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|05/06/2005|0|0|0|0|0|0
Philadelphia Regional Office| 134155|801-64181|PROSHARE ADVISORS LLC|PROSHARE ADVISORS LLC|7501 WISCONSIN AVENUE|SUITE 1000|BETHESDA MD 20814-6527|USA|||  ||VICTOR M. FRYE|(240) 497-6506|Limited Liability Company|Portfolio management for investment companies|APPROVED|04/14/2005|0|1|0|0|0|0
Philadelphia Regional Office| 134156|801-63965|THE SEB GROUP, INC.|THE SEB GROUP, INC.|350 SOUTH RIVER ROAD|NO. D-5|NEW HOPE PA 18938|USA|P.O. BOX 418||NEW HOPE PA 18938|USA|SHARON ESTA BINSTOK|215-862-8113|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|02/25/2005|0|0|0|0|0|0
Philadelphia Regional Office| 134183|801-63964|JS ASSET MANAGEMENT|JS ASSET MANAGEMENT|ONE TOWER BRIDGE|100 FRONT STREET, SUITE 501|WEST CONSHOHOCKEN PA 19428|USA|||  ||JERRY SCARPATI|610-234-2202|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/16/2005|0|0|0|0|0|0
Philadelphia Regional Office| 134184|801-64005|BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC|BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC|BLUE BELL EXECUTIVE CAMPUS|470 NORRISTOWN ROAD, SUITE 305|BLUE BELL PA 19422-2322|USA|||  ||JUSTIN CAPETOLA|610-825-3540|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|02/28/2005|0|0|0|0|0|0
Philadelphia Regional Office| 134332|801-64244|CAMPBELL & COMPANY INVESTMENT ADVISER LLC|CAMPBELL & COMPANY INVESTMENT ADVISER LLC|210 WEST PENNSYLVANIA AVENUE|SUITE 770|TOWSON MD 21204|USA|||  ||JENNIFER LEASURE|410-296-3301|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/06/2005|0|0|0|0|0|0
Philadelphia Regional Office| 134353|801-68923|TABERNA CAPITAL MANAGEMENT, LLC|TABERNA CAPITAL MANAGEMENT, LLC|2929 ARCH STREET, 17TH FLOOR|CIRA CENTRE|PHILADELPHIA PA 19104|USA|||  ||CHRISTOPHER PLUMMER|215-243-9036|Limited Liability Company|Other|APPROVED|04/08/2008|0|2|0|0|0|0
Philadelphia Regional Office| 134429|801-64004|AEGIS WEALTH MANAGEMENT LLC|AEGIS WEALTH MANAGEMENT LLC|TWO DEMOCRACY CENTER|6903 ROCKLEDGE DRIVE, STE. 940|BETHESDA MD 20817|USA|||  ||MICHAEL F. BEARER|240.482.2560|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|02/28/2005|0|0|0|0|0|0
Philadelphia Regional Office| 134436|801-64053|MYCIO WEALTH PARTNERS, LLC|MYCIO WEALTH PARTNERS, LLC|CIRA CENTRE|2929 ARCH STREET, SUITE 650|PHILADELPHIA PA 19104|USA|||  ||JAMES BILES|267-295-2280|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|04/07/2005|0|0|0|0|0|0
Philadelphia Regional Office| 134445|801-65821|VERDIS INVESTMENT MANAGEMENT, LLC|VERDIS INVESTMENT MANAGEMENT, LLC|200 FOUR FALLS CORPORATE CENTER|SUITE 201|WEST CONSHOHOCKEN PA 19428|USA|||  ||STEVE KIM|610-397-1600|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/27/2006|0|0|0|0|0|0
Philadelphia Regional Office| 134532|801-67942|THE MUTUAL FUND STORE|TMFS-RICHMOND, LLC|11541 NUCKOLS ROAD|SUITE C|GLEN ALLEN VA 23059|USA|||  ||ERIC SHOENFELD|804-523-4555|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/29/2007|0|0|0|0|0|0
Philadelphia Regional Office| 134541|801-66748|THE MUTUAL FUND STORE|TMFS-WASHINGTON, D.C., LLC|8130 BOONE BOULEVARD|SUITE 220|VIENNA VA 22182|USA|||  ||HENRY  L. BECKER JR|703-288-6689|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/22/2006|0|0|0|0|0|0
Philadelphia Regional Office| 134574|801-64342|GIORDANO ASSET MANAGEMENT LLC|GIORDANO ASSET MANAGEMENT LLC|2530 RIVA ROAD|SUITE 312|ANNAPOLIS MD 21401-7414|USA|||  ||JOSEPH A GIORDANO|410-266-9110|Limited Liability Company|Portfolio management for investment companies|APPROVED|07/13/2005|0|0|0|0|0|0
Philadelphia Regional Office| 134740|801-64076|KENDALL CAPITAL MANAGEMENT|KENDALL CAPITAL MANAGEMENT|17810 MEETING HOUSE ROAD SUITE 100||SANDY SPRING MD 20860|USA|||  ||CLARK ALAN KENDALL|301-260-7935|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|03/25/2005|0|0|0|0|0|0
Philadelphia Regional Office| 134875|801-68593|MARYLAND CAPITAL ADVISORS, INC.|MARYLAND CAPITAL ADVISORS, INC.|1A CHESTER PLAZA||CHESTER MD 21619|USA|||  ||MICHAEL DAMAS|410 604-2741|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|12/06/2007|0|2|0|0|0|0
Philadelphia Regional Office| 134956|801-64194|STRATEGOS CAPITAL MANAGEMENT, LLC|STRATEGOS CAPITAL MANAGEMENT, LLC|2929 ARCH STREET|17TH FLOOR|PHILADELPHIA PA 19104|USA|||  ||KENNETH SMITH|215 701-9635|Limited Liability Company|Other|APPROVED|04/28/2005|0|2|0|0|0|0
Philadelphia Regional Office| 135069|801-68509|THE MUTUAL FUND STORE|TMFS-NORFOLK, LLC|1560 LASKIN ROAD|SUITE 156|VIRGINIA BEACH VA 23451|USA|||  ||DANIEL SCOTT HENDERSON|757-201-7444|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/07/2008|0|0|0|0|0|0
Philadelphia Regional Office| 135130|801-64204|EMERALD MUTUAL FUND ADVISERS TRUST|EMERALD MUTUAL FUND ADVISERS TRUST|1703 OREGON PIKE||LANCASTER PA 17601|USA|P.O. BOX 10666||LANCASTER PA 17605-0666|USA|JAMES A. MEEHAN|717-396-1116|Other (specify)|Portfolio management for investment companies|APPROVED|04/28/2005|0|0|0|0|0|0
Philadelphia Regional Office| 135184|801-64584|MCKINLEY CARTER WEALTH SERVICES, INC.|MCKINLEY CARTER WEALTH SERVICES, INC.|2100 MARKET STREET||WHEELING WV 26003|USA|||  ||DAVID H. MCKINLEY|304-230-2400|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|08/04/2005|0|0|0|0|0|0
Philadelphia Regional Office| 135199|801-66153|VALUE INVESTOR MEDIA, INC.|VALUE INVESTOR MEDIA, INC.|2071 CHAIN BRIDGE ROAD|SUITE 400|VIENNA VA 22182|USA|||  ||JOHN HEINS|703-288-9060|Corporation|Publication of periodicals or newsletters|APPROVED|02/01/2006|0|0|0|0|0|0
Philadelphia Regional Office| 135202|801-64608|PCG INTERNATIONAL LLC|PCG INTERNATIONAL LLC|616 H. STREET N.W.|SUITE 450|WASHINGTON DC 20001|USA|1200 PROSPECT STREET|SUITE 200|LA JOLLA CA 92037|USA|ROBERT D. CONCA|858-456-6000|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|09/23/2005|0|0|0|0|0|0
Philadelphia Regional Office| 135303|801-64223|WARNER FINANCIAL, INC|WARNER FINANCIAL, INC|4550 MONTGOMERY AVE|SUITE 352 NORTH|BETHESDA MD 20814|USA|||  ||BARBARA WARNER|301-961-9505|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/22/2005|0|0|0|0|0|0
Philadelphia Regional Office| 135580|801-64335|BRIDGEWATER WEALTH MANAGEMENT, LLC|BRIDGEWATER WEALTH MANAGEMENT, LLC|7475 WISCONSIN AVENUE, SUITE 600||BETHESDA MD 20814|USA|||  ||RONALD RUBIN|301-656-1200|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|05/24/2005|0|0|0|0|0|0
Philadelphia Regional Office| 135656|801-64324|CALVERT INVESTMENT COUNSEL|CALVERT INVESTMENT COUNSEL, LLC|20 WIGHT AVENUE|SUITE 155|HUNT VALLEY MD 21030|USA|||  ||E. KINGDON HURLOCK, JR.|410-435-3270|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/02/2005|0|0|0|0|0|0
Philadelphia Regional Office| 135729|801-66225|BORER DENTON & ASSOCIATES, INC.|BORER DENTON & ASSOCIATES, INC.|610 SENTRY PARKWAY, SUITE 100||BLUE BELL PA 19422|USA|||  ||EDWARD T BORER|610-238-0888|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|02/07/2006|0|0|0|0|0|0
Philadelphia Regional Office| 135941|801-64858|WORLD CAPITAL ADVISORS, LLC|WORLD CAPITAL ADVISORS, LLC|8730 STONY POINT PARKWAY|SUITE 205|RICHMOND VA 23235|USA|||  ||THOMAS A SHERMAN|(804) 267-7418|Limited Liability Company|Financial planning services, Pension consulting services, Selection of other advisers|APPROVED|11/18/2005|0|0|0|0|0|0
Philadelphia Regional Office| 135948|801-64443|BLACKSTREET CAPITAL ADVISORS, LLC|BLACKSTREET CAPITAL ADVISORS, LLC|4800 MONTGOMERY LANE|SUITE 940|BETHESDA MD 20814|USA|||  ||MURRY GUNTY|240.223.1333|Limited Liability Company|Other|APPROVED|01/24/2006|0|0|0|0|0|0
Philadelphia Regional Office| 135949|801-64444|BLACKSTREET CAPITAL MANAGEMENT, LL|BLACKSTREET CAPITAL MANAGEMENT, LL|4800 MONTGOMERY LANE|SUITE 940|BETHESDA MD 20814|USA|||  ||CAROLINE MILLER|240.223.1323|Limited Liability Company|Other|APPROVED|08/05/2005|0|0|0|0|0|0
Philadelphia Regional Office| 136018|801-64461|MONSOON CAPITAL, LLC|MONSOON CAPITAL, LLC|7475 WISCONSIN AVENUE|SUITE 850|BETHESDA MD 20814|USA|||  ||MONIKA GUPTA|(301) 222-8000|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/07/2005|0|0|0|0|0|0
Philadelphia Regional Office| 136028|801-65461|RADCLIFFE CAPITAL MANAGEMENT, L.P.|RADCLIFFE CAPITAL MANAGEMENT, L.P.|50 MONUMENT ROAD|SUITE 300|BALA CYNWYD PA 19004|USA|||  ||MARIA MCGARRY|610-617-5917|Other (specify)|Other|APPROVED|01/24/2006|0|0|0|0|0|0
Philadelphia Regional Office| 136104|801-64555|SAVESIMPLY ADVISORS, INC.|SAVESIMPLY ADVISORS, INC.|115 EVERGREEN HEIGHTS DRIVE||PITTSBURGH PA 15229|USA|||  ||JIM LANGENWALTER|412-415-5220|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|08/10/2005|0|0|0|0|0|0
Philadelphia Regional Office| 136111|801-65468|DOWNTOWN ASSOCIATES, L.L.C.|DOWNTOWN ASSOCIATES, L.L.C.|674 UNIONVILLE ROAD|SUITE 105|KENNETT SQUARE PA 19348-1704|USA|||  ||LORI K. HOOSIER|610-925-3480 EXT. 13|Limited Liability Company|Other|APPROVED|01/23/2006|0|0|0|0|0|0
Philadelphia Regional Office| 136361|801-65717|DYNAMIS ADVISORS, LLC|DYNAMIS ADVISORS, LLC|310 FOURTH STREET NE, SUITE 101||CHARLOTTESVILLE VA 22902|USA|||  ||JOHN H. BOCOCK|(434) 220-0234|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/01/2006|0|0|0|0|0|0
Philadelphia Regional Office| 136553|801-64650|DOMINION WEALTH MANAGEMENT, INC.|DOMINION WEALTH MANAGEMENT, INC.|1801 ROBERT FULTON DRIVE|SUITE 350|RESTON VA 20191|USA|||  ||MATT BRENNAN|703-673-7999|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|09/01/2005|0|0|0|0|0|0
Philadelphia Regional Office| 136711|801-65763|SEAMARK CAPITAL, LP|SEAMARK CAPITAL, LP|223 WILMINGTON W. CHESTER PIKE|SUITE 115|CHADDS FORD PA 19317-9007|USA|||  ||KIMBERLY A. CHASE|484-840-1530|Partnership|Other|APPROVED|01/27/2006|0|0|0|0|0|0
Philadelphia Regional Office| 136742|801-64661|NFI, LLC|NFI, LLC|200 NORTHPOINT CIRCLE|SUITE 202|SEVEN FIELDS PA 16046|USA|||  ||DANIEL F. REA|724-776-3999|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/30/2005|0|0|1|0|0|0
Philadelphia Regional Office| 136839|801-68827|MJC ADVISORS, LLC|MJC ADVISORS, LLC|11205- B GREENSPRING AVENUE||LUTHERVILLE MD 21093|USA|||  ||MICHAEL J. COOPERMAN|410-458-4934|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/20/2008|0|0|0|0|0|0
Philadelphia Regional Office| 136907|801-65481|MILLRACE ASSET GROUP, INC.|MILLRACE ASSET GROUP, INC.|1205 WESTLAKES DRIVE|SUITE 375|BERWYN PA 19312|USA|||  ||DAN HAMMOND|610-251-2821|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/23/2006|1|0|0|0|0|0
Philadelphia Regional Office| 136971|801-67687|RAFFA WEALTH MANAGEMENT LLC|RAFFA WEALTH MANAGEMENT LLC|1445 RESEARCH BLVD.|SUITE 340|ROCKVILLE MD 20850|USA|||  ||DENNIS P. GOGARTY|240-403-2540|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|03/30/2007|0|0|0|0|0|0
Philadelphia Regional Office| 136996|801-64848|INR ADVISORY SERVICES, LLC|INR ADVISORY SERVICES, LLC|115 W. STATE STREET|SUITE 300|MEDIA PA 19063|USA|||  ||MICHAEL GLACKIN|610-891-1677|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|10/26/2005|0|0|0|0|0|0
Philadelphia Regional Office| 137114|801-65004|SEVEN SUMMITS STRATEGIC INVESTMENTS|SEVEN SUMMITS STRATEGIC INVESTMENT/SSSI, LLC|410 E. WATER STREET|SUITE 200A|CHARLOTTESVILLE VA 22902|USA|||  ||VICTOR H. SCHILLER|434-293-9100|Limited Liability Company|Publication of periodicals or newsletters, Security ratings or pricing services, Other|APPROVED|01/09/2006|0|0|0|0|0|0
Philadelphia Regional Office| 137183|801-65657|ABRAMS BISON INVESTMENTS, L.L.C.|ABRAMS BISON INVESTMENTS, L.L.C.|4800 HAMPDEN LANE|SUITE 1050|BETHESDA MD 20814|USA|||  ||JOHN ROE|301-657-5925|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/27/2006|0|0|0|0|0|0
Philadelphia Regional Office| 137388|801-66569|BRANDYWINE MANAGERS, LLC|BRANDYWINE MANAGERS, LLC|7234 LANCASTER PIKE||HOCKESSIN DE 19707|USA|||  ||KRISTINA SHERMAN|302-234-5750 EXT. 624|Limited Liability Company|Selection of other advisers|APPROVED|05/15/2006|0|0|0|0|0|0
Philadelphia Regional Office| 137406|801-64786|PORTREAL, LLC|PORTREAL, LLC|11800 SHADOW RUN DRIVE||GLEN ALLEN VA 23059-2525|USA|||  ||PETER BENDA|804-360-2701|Limited Liability Company|Financial planning services, Publication of periodicals or newsletters, Other|APPROVED|10/14/2005|0|0|0|0|0|0
Philadelphia Regional Office| 137449|801-68798|WARREN CAPITAL GROUP|WARREN CAPITAL MANAGEMENT, INC.|1701 PENNSYLVANIA AVENUE NW|SUITE 300|WASHINGTON DC 20006|USA|||  ||JOSEPH WARREN|202-244-2246|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|02/08/2008|1|0|0|0|0|0
Philadelphia Regional Office| 137484|801-64803|HERITAGE WEALTH ADVISORS|HERITAGE WEALTH ADVISORS, LLC|11 SOUTH 12TH STREET|SUITE 401|RICHMOND VA 23219|USA|||  ||STEVEN COOKE|804-643-4080|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|10/27/2005|0|0|0|0|0|0
Philadelphia Regional Office| 137497|801-64834|WEST FINANCIAL SERVICES, INC.|WEST FINANCIAL SERVICES, INC.|1355 BEVERLY RD|STE 250|MCLEAN VA 22101|USA|||  ||ANDREW KRONE|703-847-2500|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|10/03/2005|0|0|0|0|0|0
Philadelphia Regional Office| 137604|801-64868|ROSELINE CAPITOL ADVISORS, LLC|ROSELINE CAPITOL ADVISORS, LLC|140 VIRGINIA ST.|SUITE 300|RICHMOND VA 23219|USA|||  ||JEF FLOUNDERS|804-545-7440|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|11/14/2005|0|0|0|0|0|0
Philadelphia Regional Office| 137610|801-64820|SANDS CAPITAL MANAGEMENT, LLC|SANDS CAPITAL MANAGEMENT, LLC|1101 WILSON BLVD.|SUITE 2300|ARLINGTON VA 22209|USA|||  ||ROBERT C. HANCOCK|(703) 562-4050|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/04/2005|0|0|0|0|0|0
Philadelphia Regional Office| 137697|801-64854|CORESTATES CAPITAL ADVISORS, LLC|CORESTATES CAPITAL ADVISORS, LLC|115 PHEASANT RUN|SUITE 112|NEWTOWN PA 18940|USA|||  ||WILLIAM T. SPIROPOULOS|267-759-5000|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|11/08/2005|0|0|0|0|0|0
Philadelphia Regional Office| 137794|801-66846|B&K SECURITIES|B&K SECURITIES, INC.|8133 LEESBURG PIKE|SUITE 360|TYSONS CORNER VA 22182|USA|||  ||ASIM  GHAFOOR|703-992-6849|Corporation|Portfolio management for investment companies|APPROVED-120|06/13/2006|0|0|0|0|0|0
Philadelphia Regional Office| 137806|801-64995|PRIVATE INVESTMENT PARTNERS INC.|PRIVATE INVESTMENT PARTNERS INC.|ONE TOWER BRIDGE|100 FRONT STREET, SUITE 1100|WEST CONSHOHOCKEN PA 19428|USA|||  ||MARY JANE MALONEY|610-940-5113|Corporation|Other|APPROVED|12/16/2005|0|0|0|0|0|0
Philadelphia Regional Office| 137814|801-65080|TLC GROUP INVESTMENT ADVISORS, LLC|TLC GROUP INVESTMENT ADVISORS, LLC|270 WALKER DRIVE||STATE COLLEGE PA 16801|USA|||  ||MARY M. CHUHINKA|814-231-2265|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|01/04/2006|0|0|0|0|0|0
Philadelphia Regional Office| 137886|801-64875|YOGI ADVISORS, LLC|YOGI ADVISORS, LLC|21 DUPONT CIRCLE N.W.|SUITE 500|WASHINGTON DC 20036|USA|||  ||KIMBERLY VINICK|2028286207|Limited Liability Company|Other|APPROVED|11/14/2005|0|0|0|0|0|0
Philadelphia Regional Office| 137945|801-66892|FOUNDERS FINANCIAL SECURITIES, LLC|FOUNDERS FINANCIAL SECURITIES, LLC|1020 CROMWELL BRIDGE ROAD||TOWSON MD 21286|USA|||  ||RICHARD R. BRIGGS|410-308-9988|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|07/13/2006|0|0|0|0|0|0
Philadelphia Regional Office| 138037|801-66119|J.E. ROBERT COMPANY, INC.|J.E. ROBERT COMPANY, INC.|1650 TYSONS BOULEVARD|SUITE 1600|MCLEAN VA 22102-4846|USA|||  ||DANIEL T. WARD|703-714-8071|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/26/2006|0|0|1|0|0|0
Philadelphia Regional Office| 138093|801-68470|MAZDA CAPITAL MANAGEMENT LLC|MAZDA CAPITAL MANAGEMENT LLC|4065 LOWER MOUNTAIN ROAD||NEW HOPE PA 18938-5506|USA|||  ||STEPHEN RUSTOM MAZDA|610-392-2234|Limited Liability Company|Portfolio management for individuals and/or small businesses, Other|APPROVED|10/19/2007|0|0|0|0|0|0
Philadelphia Regional Office| 138164|801-65931|FORTIGENT, LLC|FORTIGENT, LLC|2600 TOWER OAKS BOULEVARD|SUITE 500|ROCKVILLE MD 20852|USA|||  ||JASON ROSENBERG|301-816-1285|Limited Liability Company|Selection of other advisers, Other|APPROVED|01/24/2006|0|0|0|0|0|0
Philadelphia Regional Office| 138196|801-64989|NEA'S MEMBER BENEFITS CORPORATION|NEA'S MEMBER BENEFITS CORPORATION|900 CLOPPER ROAD|SUITE 300|GAITHERSBURG MD 20878|USA|||  ||ELIZABETH SCHRUEFER|301-527-4490|Corporation|Publication of periodicals or newsletters, Other|APPROVED|11/10/2005|0|0|0|0|0|0
Philadelphia Regional Office| 138436|801-65996|PERMIT CAPITAL, LLC|PERMIT CAPITAL, LLC|100 FRONT STREET|STE 900|WEST CONSHOHOCKEN PA 19428|USA|||  ||PAUL FRICK|610-941-5006|Limited Liability Company|Other|APPROVED|01/27/2006|0|0|0|0|0|0
Philadelphia Regional Office| 138636|801-66264|ENHANCED INVESTMENT STRATEGIES, LLC|ENHANCED INVESTMENT STRATEGIES, LLC|182 SPOTNAP ROAD|SUITE B-1|CHARLOTTESVILLE VA 22911|USA|||  ||SANJIV BHATIA|434-295-6682|Limited Liability Company|Other|APPROVED-120|02/13/2006|0|0|0|0|0|0
Philadelphia Regional Office| 138638|801-65091|CORNERSTONE ADVISORS ASSET MANAGEMENT INC.|CORNERSTONE ADVISORS ASSET MANAGEMENT INC.|74 WEST BROAD STREET, SUITE 340||BETHLEHEM PA 18018|USA|||  ||DONNA HUMPHREY|(610) 694-0900|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|01/04/2006|0|0|0|0|0|0
Philadelphia Regional Office| 138706|801-65154|REDMOND ASSET MANAGEMENT, LLC|REDMOND ASSET MANAGEMENT, LLC|8001 FRANKLIN FARMS DRIVE|SUITE 208|RICHMOND VA 23229|USA|||  ||R. SCOTT REDMOND|804-288-6080|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/21/2005|0|0|0|0|0|0
Philadelphia Regional Office| 138718|801-65200|RIVANNA CAPITAL, LLC|RIVANNA CAPITAL, LLC|600 PETER JEFFERSON PARKWAY|SUITE 370|CHARLOTTESVILLE VA 22911|USA|||  ||SANDRA M. POWELL|434-220-0430|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/18/2006|0|0|0|0|0|0
Philadelphia Regional Office| 138764|801-67387|STRATEGIC ADVISORY SOLUTIONS, LLC|STRATEGIC ADVISORY SOLUTIONS, LLC|1401 ALANTON DRIVE||VIRGINIA BEACH VA 23454|USA|||  ||MARK E. WILLIAMS|757-412-1112|Limited Liability Company|Selection of other advisers, Market timing services|APPROVED|02/09/2007|0|1|0|0|0|0
Philadelphia Regional Office| 138768|801-65308|MCDERMOTT ADVISORY GROUP, LLC|MCDERMOTT ADVISORY GROUP, LLC|900 FOULK ROAD|STE 202|WILMINGTON DE 19803|USA|||  ||DANIEL M. MCDERMOTT|302-778-5677|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|01/13/2006|0|0|0|0|0|0
Philadelphia Regional Office| 138782|801-69109|ARC STONE CAPITAL, LLC|ARC STONE CAPITAL, LLC|4 NORTH PARK DRIVE|SUITE 106|HUNT VALLEY MD 21030|USA|||  ||RALPH KRUGER|410-329-1516|Limited Liability Company|Other|APPROVED|04/23/2008|0|0|0|0|0|0
Philadelphia Regional Office| 138791|801-65187|MCGINN, MCKEAN & O'NEILL, INC.|MCGINN, MCKEAN & O'NEILL, INC.|201 N. UNION STREET|SUITE 100|ALEXANDRIA VA 22314|USA|||  ||ALICIA J. HILER|703-837-3176|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/10/2006|0|0|0|0|0|0
Philadelphia Regional Office| 138854|801-65725|EJF CAPITAL LLC|EJF CAPITAL LLC|2107 WILSON BOULEVARD|SUITE 410|ARLINGTON VA 22201|USA|||  ||NEAL J. WILSON|703-875-0591|Limited Liability Company|Other|APPROVED|01/27/2006|0|2|1|0|0|0
Philadelphia Regional Office| 138881|801-65214|TRAYNOR CAPITAL MANAGEMENT|TRAYNOR, KEITH THOMAS|33 MEADOW CREEK LN.||MALVERN PA 19355|USA|||  ||KEITH T. TRAYNOR|610 993 9050|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/12/2006|0|0|0|0|0|0
Philadelphia Regional Office| 138923|801-65346|OUTFITTER FINANCIAL CORP.|OUTFITTER FINANCIAL CORP.|1497 CHAIN BRIDGE ROAD|SUITE 200|MCLEAN VA 22101|USA|||  ||MARIA A. BURKE|703-356-8611|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/31/2006|0|0|0|0|0|0
Philadelphia Regional Office| 138936|801-65988|HIGHVIEW ADVISORS, L.P.|HIGHVIEW ADVISORS, L.P.|41 LEOPARD ROAD|SUITE #104|PAOLI PA 19301-1549|USA|||  ||LOURDE JOHN CONSTABLE|610-889-3224|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/27/2006|0|0|0|0|0|0
Philadelphia Regional Office| 139034|801-65709|MV CAPITAL MANAGEMENT, INC.|MV CAPITAL MANAGEMENT, INC.|4520 EAST WEST HIGHWAY|SUITE 400|BETHESDA MD 20814-3353|USA|||  ||VIRGINIA A CARROLL|301.656.6545|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|01/20/2006|0|0|0|0|0|0
Philadelphia Regional Office| 139061|801-65994|EMERALD FIXED INCOME ADVISERS, LLC|EMERALD FIXED INCOME ADVISERS, LLC|1703 OREGON PIKE||LANCASTER PA 17601|USA|P.O. BOX 10666||LANCASTER PA 17605-0666|USA|JAMES A. MEEHAN|717-396-1116|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/01/2006|0|0|0|0|0|0
Philadelphia Regional Office| 139071|801-67686|THOMAFIN & ASSOCIATES LLC|THOMAFIN & ASSOCIATES LLC|536 EPPING FOREST RD.||ANNAPOLIS MD 21401|USA|P.O. BOX 6100||ANNAPOLIS MD 21401|U.S.A.|HEINZ XAVER THOMA|410-849-3188|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|03/28/2007|0|0|0|0|0|0
Philadelphia Regional Office| 139096|801-65840|BLB & B ADVISORS, LLC|BLB & B ADVISORS, LLC|516 N. BETHLEHEM PIKE||AMBLER PA 19002|USA|P.O. BOX 950||SPRING HOUSE PA 19477|USA|WILLIAM D. KARRASH|215-643-9100|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/08/2006|0|4|0|0|0|0
Philadelphia Regional Office| 139160|801-67834|HJ WEALH MANAGEMENT LLC|HJ WEALTH MANAGEMENT LLC|1000 GERMANTOWN PIKE,|SUITE H-1|PLYMOUTH MEETING PA 19462|USA|||  ||BRIAN KOHUTE|610-272-4700|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|04/27/2007|0|0|0|0|0|0
Philadelphia Regional Office| 139163|801-65934|BELL ROCK CAPITAL, LLC|BELL ROCK CAPITAL, LLC|1800 E. LANCASTER AVENUE|FIRST FLOOR|PAOLI PA 19301|USA|||  ||CASSANDRA TOROIAN|610-640-3325|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/24/2006|0|0|0|0|0|0
Philadelphia Regional Office| 139231|801-66111|PARAGON WEALTH MANAGEMENT, LLC|PARAGON WEALTH MANAGEMENT, LLC|1201 S. BRADDOCK AVENUE||PITTSBURGH PA 15218|USA|||  ||ROBERT BARMEN|412-265-4545 EXT. 1|Limited Liability Company|Portfolio management for individuals and/or small businesses, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|02/13/2006|0|1|0|0|0|0
Philadelphia Regional Office| 139236|801-68776|BONWELL CAPITAL MANAGEMENT, LLC|BONWELL CAPITAL MANAGEMENT, LLC|5700 WEST GRACE STREET|SUITE 107|RICHMOND VA 23226|USA|||  ||WILLIAM S. BONWELL|804-285-1546|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/22/2008|0|0|0|0|0|0
Philadelphia Regional Office| 139347|801-66159|FOX, JOSS & YANKEE|FOX, JOSS & YANKEE, LLC|1925 ISAAC NEWTON SQUARE|SUITE 400|RESTON VA 20190|USA|||  ||DANIEL D. JOSS|703.889.1111|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|01/30/2006|0|0|0|0|0|0
Philadelphia Regional Office| 139379|801-66114|KEEL POINT ADVISORS, LLC|KEEL POINT ADVISORS, LLC|8065 LEESBURG PIKE|SUITE 300|VIENNA VA 22182|USA|||  ||THOMAS F. HINES, JR.|703-807-2020|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/26/2006|0|0|0|0|0|0
Philadelphia Regional Office| 139410|801-68425|STONE HOUSE WEALTH MANAGEMENT, LLC|STONE HOUSE WEALTH MANAGEMENT, LLC|28 MAPLE STREET||MONTROSE PA 18801-1223|USA|||  ||RAYMOND SCOTT STONE|(570)278-6926|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Market timing services, Other|APPROVED|10/19/2007|0|1|0|0|0|0
Philadelphia Regional Office| 139464|801-66594|THE HOERNER PLANNING GROUP, LLC|THE HOERNER PLANNING GROUP, LLC|5 NORTH HAMILTON STREET||MIDDLEBURG VA 20117|USA|P.O. BOX 1326||MIDDLEBURG VA 20118|USA|HENRY R. HOERNER III|540-687-5090|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|04/18/2006|0|1|0|0|0|0
Philadelphia Regional Office| 139500|801-66283|LEHMAN FINANCIAL RESOURCES, INC.|LEHMAN FINANCIAL RESOURCES, INC.|1215 WEST BALTIMORE PIKE|SUITE 8|MEDIA PA 19063|USA|||  ||RICHARD D. DERAFELO|610-565-2343|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/23/2006|0|0|0|0|0|0
Philadelphia Regional Office| 139521|801-69347|FINANCIAL RESOURCES GROUP|KILNER FINANCIAL GROUP, LLC|438 N. FREDERICK AVENUE|SUITE 465|GAITHERSBURG MD 20877|USA|||  ||JOSEPH F. KILNER|301.840.0501|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|07/03/2008|0|0|0|0|0|0
Philadelphia Regional Office| 139603|801-66600|COHEN & COMPANY MANAGMENT, LLC|COHEN & COMPANY MANAGEMENT, LLC|2929 ARCH STREET|17TH FLOOR|PHILADELPHIA PA 19104|USA|||  ||KENNETH SMITH|215 701-9635|Limited Liability Company|Other|APPROVED|05/03/2006|0|2|0|0|0|0
Philadelphia Regional Office| 139605|801-67013|NS INVESTMENT PARTNERS, LLC|NS INVESTMENT PARTNERS, LLC|1055 WESTLAKES DRIVE|SUITE 300|BERWYN PA 19312|USA|||  ||MARK F. SCHLEGEL|610-727-4062|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/17/2006|0|0|0|0|0|0
Philadelphia Regional Office| 139607|801-66727|GLASGOW PARTNERS, LLC|GLASGOW PARTNERS, LLC|4036 YORKTOWN DR.||BOOTHWYN PA 19061-2459|USA|P.O. BOX 2283||BOOTHWYN PA 19061-2283|USA|F. THOMAS CAMPBELL|610-494-1322|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/06/2006|0|0|0|0|0|0
Philadelphia Regional Office| 139652|801-66595|ARROW INVESTMENT ADVISORS, LLC|ARROW INVESTMENT ADVISORS, LLC|2943 OLNEY-SANDY SPRING RD.|SUITE A|OLNEY MD 20832|USA|||  ||PATRICK BASSETT|301-260-2934|Limited Liability Company|Portfolio management for investment companies|APPROVED|04/24/2006|0|0|0|0|0|0
Philadelphia Regional Office| 139655|801-66484|RJONES ADVISORY SERVICES|RJONES ADVISORY SERVICES|929 SHORE ACRES ROAD||ARNOLD MD 21012|USA|||  ||RUSSELL N. JONES|410-991-5786|Limited Liability Company|Financial planning services|APPROVED-120|05/02/2006|0|0|0|0|0|0
Philadelphia Regional Office| 139656|801-66290|PHILADELPHIA PARTNERS CAPITAL MANAGEMENT LLC|PHILADELPHIA PARTNERS CAPITAL MANAGEMENT LLC|1143 PEBBLE SPRING DRIVE||BERWYN PA 19312|USA|PO BOX 697||BERWYN PA 19312-0697|USA|MICHAEL A. GALANTINO|215-564-5750|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/06/2006|0|0|0|0|0|0
Philadelphia Regional Office| 139741|801-66405|SUNDANCE ADVISORS|SUNDANCE ADVISORS, INC.|330 GRANT STREET|SUITE 1130|PITTSBURGH PA 15219|USA|||  ||DALE BROWNE|412-471-0751|Corporation|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|04/10/2006|0|0|0|0|0|0
Philadelphia Regional Office| 139830|801-66582|LEGACY ADVISORS, LLC|LEGACY ADVISORS, LLC|401 PLYMOUTH ROAD|SUITE 150|PLYMOUTH MEETING PA 19462|USA|||  ||JASON BRAUN|610-943-3022|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|04/11/2006|0|0|0|0|0|0
Philadelphia Regional Office| 139874|801-66418|CAPITAL ADVISORY GROUP|CAG ACQUISITION, LLC|7100 FOREST AVE.|SUITE 301|RICHMOND VA 23226|USA|||  ||TOMMY FRENCH|804-565-9277|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|03/20/2006|0|0|0|0|0|0
Philadelphia Regional Office| 139888|801-67077|ARCHSTONE PORTFOLIO SOLUTIONS, LLC|ARCHSTONE PORTFOLIO SOLUTIONS, LLC|1312 BELLONA AVENUE|SUITE 300|LUTHERVILLE MD 21093|USA|||  ||ALEX G FISHER|410-825-0444|Limited Liability Company|Pension consulting services, Selection of other advisers, Other|APPROVED|08/10/2006|0|1|0|0|0|0
Philadelphia Regional Office| 139904|801-66625|PNC REALTY INVESTORS, INC.|PNC REALTY INVESTORS, INC.|TWO HOPKINS PLAZA, SUITE 804||BALTIMORE MD 21201|USA|1601 K STREET NW SUITE 1100||WASHINGTON DC 20006|USA|JOSE A. SANTIAGO|410-237-5639|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/12/2006|0|1|1|0|0|0
Philadelphia Regional Office| 139978|801-66792|BLUE INVESTMENT MANAGEMENT LLC|BLUE INVESTMENT MANAGEMENT LLC|888 16TH STREET NW|SUITE 800|WASHINTON DC 20006|USA|||  ||BUCK OWEN|202-265-1320|Limited Liability Company|Portfolio management for investment companies|APPROVED|05/22/2006|0|0|0|0|0|0
Philadelphia Regional Office| 140011|801-66526|BEACH INVESTMENT MANAGEMENT LLC.|BEACH INVESTMENT MANAGEMENT LLC.|300 BARR HARBOR DRIVE|SUITE 220|CONSHOHOCKEN PA 19428|USA|||  ||AUBREY LINDH|610-940-1111 EXT. 5|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/05/2006|0|0|0|0|0|0
Philadelphia Regional Office| 140133|801-67080|RLJ SELECT INVESTMENTS, LLC|RLJ SELECT INVESTMENTS, LLC|3 BETHESDA METRO CENTER|SUITE 1000|BETHESDA MD 20814|USA|||  ||ALICIA MARSHALL|301-280-7726|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|08/22/2006|0|0|0|0|0|0
Philadelphia Regional Office| 140413|801-66664|CHESWOLD LANE ASSET MANAGEMENT, LLC|CHESWOLD LANE ASSET MANAGEMENT, LLC|100 FRONT STREET|SUITE 960|WEST CONSHOHOCKEN PA 19428|USA|||  ||COLLEEN QUINN SCHARPF|610-940-5332|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/01/2006|0|0|0|0|0|0
Philadelphia Regional Office| 140444|801-13545|FOLGER NOLAN FLEMING DOUGLAS CAPITAL MANAGEMENT, INC.|FOLGER NOLAN FLEMING DOUGLAS CAPITAL MANAGEMENT, INC.|725 15TH STREET N.W.||WASHINGTON DC 20005|USA|||  ||JOSEPH URBAN|202-626-5300|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/12/1977|0|1|0|0|0|0
Philadelphia Regional Office| 140557|801-68440|THE MUTUAL FUND STORE|TMFS-PHILADELPHIA I, LLC|38 EAST GERMANTOWN PIKE||EAST NORRITON PA 19401|USA|||  ||KRIS BONOCORE|610-239-8323|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|10/15/2007|0|0|0|0|0|0
Philadelphia Regional Office| 140609|801-67233|WILMINGTON FAMILY OFFICE, INC.|WILMINGTON FAMILY OFFICE, INC.|1100 NORTH MARKET STREET||WILMINGTON DE 19890-2800|USA|||  ||DEBORAH ANN POTTER|302-651-1248|Corporation|Financial planning services, Selection of other advisers, Other|APPROVED|10/20/2006|0|0|0|0|0|0
Philadelphia Regional Office| 140710|801-66769|STERLING INVESTMENT ADVISORS LTD.|STERLING INVESTMENT ADVISORS LTD.|1055 WESTLAKES DRIVE|SUITE 150|BERWYN PA 19312|USA|||  ||MICHELLE R. SMALTZ|610-560-0400|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|05/31/2006|0|0|0|0|0|0
Philadelphia Regional Office| 140752|801-68248|HAWTHORN CAPITAL MANAGEMENT, LLC|HAWTHORN CAPITAL MANAGEMENT, LLC|42 STATE CIRCLE||ANNAPOLIS MD 21401|USA|||  ||BRIAN LESHNER|410-216-6633|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/27/2007|0|0|0|0|0|0
Philadelphia Regional Office| 140796|801-67828|BAY CAPITAL ADVISORS, LLC|BAY CAPITAL ADVISORS, LLC|2309 MARINERS MARK WAY|#401|VIRGINIA BEACH VA 23451|USA|||  ||JAMES H. FLINCHUM|757-963-5699|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/24/2007|0|0|0|0|0|0
Philadelphia Regional Office| 141014|801-68116|EAGLESTONE WEALTH ADVISORS, INC.|EAGLESTONE WEALTH ADVISORS, INC.|16528 EMORY LANE, SUITE 300||ROCKVILLE MD 20853|USA|||  ||JAMES WARRING|301-260-0809|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|07/13/2007|0|0|0|0|0|0
Philadelphia Regional Office| 141039|801-66958|TRINITY INVESTMENT ADVISORS, LLC|TRINITY INVESTMENT ADVISORS, LLC|136 NORTH CHURCH||WEST CHESTER PA 19380|USA|||  ||MICHAEL MCCABE|610-344-9300|Limited Liability Company|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|06/30/2006|0|0|0|0|0|0
Philadelphia Regional Office| 141084|801-66964|BARTON INVESTMENT MANAGEMENT, LLC|BARTON INVESTMENT MANAGEMENT, LLC|100 FOUR FALLS CORPORATE CTR|SUITE 202|W. CONSHOHOCKEN PA 19428|USA|||  ||PETER H. HAVENS|610-260-0453|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|06/29/2006|0|0|0|0|0|0
Philadelphia Regional Office| 141141|801-67496|GROSVENOR INVESTMENT MANAGEMENT US INC.|GROSVENOR INVESTMENT MANAGEMENT US INC|1600 MARKET STREET|SUITE 1310|PHILADELPHIA PA 19103|USA|||  ||MIKE MCPAUL|215-446-8117|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|07/05/2007|0|0|0|0|0|0
Philadelphia Regional Office| 141202|801-67074|BHR FUND ADVISORS, L.P.|BHR FUND ADVISORS, L.P.|1160 WEST SWEDESFORD ROAD|SUITE 140|BERWYN PA 19312|USA|||  ||BRIAN FERKO|610-854-0904|Limited Liability Partnership|Portfolio management for investment companies|APPROVED|08/16/2006|0|0|0|0|0|0
Philadelphia Regional Office| 141252|801-67107|THE CONTE-BROWNE GROUP, LLC|THE CONTE-BROWNE GROUP, LLC|2009 MARKET STREET||CAMP HILL PA 17011|USA|||  ||DENNIS BROWNE|717-975-8800|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|08/24/2006|0|0|0|0|0|0
Philadelphia Regional Office| 141323|801-67114|COMPASS INVESTMENTS LLC|COMPASS INVESTMENTS LLC|1604 EAST THIRD ST||WILLIAMSPORT PA 17701-9307|USA|||  ||JULIA C. REED|570-326-6465|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|08/31/2006|0|0|0|0|0|0
Philadelphia Regional Office| 141389|801-67090|GARNET GROUP LLC|GARNET GROUP LLC|ONE DEMOCRACY PLAZA|6701 DEMOCRACY BLVD., STE 505|BETHESDA MD 20817|USA|||  ||VEENA KUTLER|301-564-3000|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/10/2006|0|0|0|0|0|0
Philadelphia Regional Office| 141470|801-67173|MILL CREEK CAPITAL ADVISORS, LLC|MILL CREEK CAPITAL ADVISORS, LLC|300 CONSHOHOCKEN STATE ROAD|SUITE 665|CONSHOHOCKEN PA 19428|USA|||  ||RICHARD W. STEVENS|610-941-7713|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|09/19/2006|0|0|0|0|0|0
Philadelphia Regional Office| 141799|801-67169|PRINTZ CAPITAL MANAGEMENT, LLC|PRINTZ CAPITAL MANAGEMENT, LLC|401 S. 2ND STREET|SUITE 205|PHILADELPHIA PA 19147|USA|P.O. BOX 63927||PHILADELPHIA PA 19147|USA|A. CLAY LUDLUM, III|215-925-7445|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|09/19/2006|0|0|0|0|0|0
Philadelphia Regional Office| 142056|801-67273|INVESTMENT SECURITY GROUP, LLC|INVESTMENT SECURITY GROUP, LLC|575 LYNNHAVEN PARKWAY|SUITE 160|VIRGINIA BEACH VA 23452|USA|||  ||ROBERT SILVIO|757-226-8175|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Publication of periodicals or newsletters|APPROVED|11/17/2006|0|0|0|0|0|0
Philadelphia Regional Office| 142094|801-67296|LIBERTY ASSET MANAGEMENT|LIBERTY ASSET MANAGEMENT, LLC|915 NURSERY STREET||FOGELSVILLE PA 18051|USA|||  ||RICK FRABLE|610-706-0240|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Market timing services|APPROVED|11/17/2006|0|0|0|0|0|0
Philadelphia Regional Office| 142195|801-67291|INDEPENDENCE WEALTH ADVISORS INC.|INDEPENDENCE WEALTH ADVISORS INC.|300 NORTH WASHINGTON STREET|SUITE 102|FALLS CHURCH VA 22046|USA|||  ||KATHY DUFFY|703-752-6003|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|12/08/2006|0|0|0|0|0|0
Philadelphia Regional Office| 142219|801-67411|LEGG MASON PRIVATE PORTFOLIO GROUP, LLC|LEGG MASON PRIVATE PORTFOLIO GROUP, LLC|100 LIGHT STREET||BALTIMORE MD 21202|USA|||  ||FRED JENSEN|212-805-6059|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|01/19/2007|0|0|0|0|0|0
Philadelphia Regional Office| 142292|801-67261|WALDEN CAPITAL ADVISORS, LLC|WALDEN CAPITAL ADVISORS, LLC|TWO BALA PLAZA, SUITE 300||BALA CYNWYD PA 19004|USA|||  ||JILL BRODER STEINBERG|610-660-7718|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|11/02/2006|0|0|0|0|0|0
Philadelphia Regional Office| 142359|801-68058|CORNERSTONE ADVISORY LLP|CORNERSTONE ADVISORY LLP|1 EAST FRANKLIN STREET|SUITE 300|BALTIMORE MD 21202|USA|||  ||DONALD S. HUBER, JR.|410-468-1694|Limited Liability Partnership|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/05/2007|0|0|0|0|0|0
Philadelphia Regional Office| 142415|801-67295|AQUA TERRA ASSET MANAGEMENT LLC|AQUA TERRA ASSET MANAGEMENT LLC|FOUR TOWER BRIDGE, 200 BARR HARBOR DRIVE|SUITE 300|WEST CONSHOHOCKEN PA 19428|USA|||  ||STACEY RIVKIN|610-684-5425|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/13/2006|0|0|0|0|0|0
Philadelphia Regional Office| 142430|801-67336|C5 WEALTH MANAGEMENT, LLC|C5 WEALTH MANAGEMENT, LLC|746 WALKER ROAD|SUITE 26|GREAT FALLS VA 22066|USA|||  ||MARK E. WEBER|703-759-7007|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|11/20/2006|0|0|0|0|0|0
Philadelphia Regional Office| 142542|801-67341|HIGHLINE WEALTH MANAGEMENT, LLC|HIGHLINE WEALTH MANAGEMENT, LLC|6550 ROCK SPRING DRIVE|SUITE 210|BETHESDA MD 20817|USA|||  ||CAITE STEVENS|301-564-9500|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|12/14/2006|0|0|0|0|0|0
Philadelphia Regional Office| 142595|801-67499|DISCOVERY FINANCIAL GROUP, LLC|DISCOVERY FINANCIAL GROUP, LLC|707 WEST DEKAKLB PIKE||KING OF PRUSSIA PA 19406|USA|||  ||GERALD J. ZULLI|610-398-9700|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|02/15/2007|0|4|0|0|0|0
Philadelphia Regional Office| 142616|801-67357|MTX WEALTH MANAGEMENT, LLC|MTX WEALTH MANAGEMENT, LLC|7475 WISCONSIN AVENUE|SUITE 600|BETHESDA MD 20814|USA|||  ||NINA MITCHELL|240-482-4180|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/03/2007|0|0|0|0|0|0
Philadelphia Regional Office| 142821|801-67490|SENSENIG CAPITAL ADVISORS, INC.|SENSENIG CAPITAL ADVISORS, INC.|3100 MILL ROAD||FAIRVIEW VILLAGE PA 19409-0245|USA|3100 MILL ROAD|P. O. BOX 245|FAIRVIEW VILLAGE PA 19409-0245|USA|CARL B. SENSENIG|610-584-9700|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|02/06/2007|0|0|0|0|0|0
Philadelphia Regional Office| 142876|801-67483|PG CAPITAL MANAGEMENT, LLC|PG CAPITAL MANAGEMENT, LLC|1055 THOMAS JEFFERSON STREET, NW|SUITE 650|WASHINGTON DC 20007|USA|||  ||PAUL GAMBAL|202-965-2166|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|01/30/2007|0|0|0|0|0|0
Philadelphia Regional Office| 142911|801-69359|METROPOLITAN CAPITAL STRATEGIES LLC|METROPOLITAN CAPITAL STRATEGIES LLC|10655 LOMOND DRIVE|SUITE 105|MANASSAS VA 20109|USA|||  ||SHARON M. SNOW|571-379-8586|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|07/24/2008|0|0|0|0|0|0
Philadelphia Regional Office| 143008|801-67529|GIERL AUGUSTINE ADVISORY SERVICES, INC|GIERL AUGUSTINE ADVISORY SERVICES, INC|344 NORTH PIKE ROAD||SARVER PA 16055|USA|||  ||TIMOTHY AUGUSTINE|724-353-1800|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/21/2007|0|0|0|0|0|0
Philadelphia Regional Office| 143234|801-68187|YESKE BUIE INC.|YESKE BUIE INC.|301 MAPLE AVE. WEST|SUITE 600|VIENNA VA 22180|USA|||  ||ELISSA BUIE|703-538-2116|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|08/28/2007|0|0|0|0|0|0
Philadelphia Regional Office| 143257|801-67617|BLACK KNIGHT ASSET MANAGEMENT|BLACK KNIGHT ASSET MANAGEMENT|1225 I STREET NW|SUITE 100|WASHINGTON DC 20005-3914|USA|||  ||DARYL DENNIS|202-962-0255|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|03/12/2007|0|0|0|0|0|0
Philadelphia Regional Office| 143562|801-67703|SAGE FINANCIAL MANAGEMENT GROUP, INC.|SAGE FINANCIAL MANAGEMENT GROUP, INC.|7101 WISCONSIN AVENUE|SUITE 1114|BETHESDA MD 20814|USA|||  ||JENNIFER E. MYERS|(301) 961-0222|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|03/30/2007|0|0|0|0|0|0
Philadelphia Regional Office| 143580|801-67844|RDK STRATEGIES, LLC|RDK STRATEGIES, LLC|2406 POT SPRING ROAD||TIMONIUM MD 21093|USA|||  ||BILL MCVAY|410-560-1828|Limited Liability Company|Pension consulting services, Selection of other advisers, Other|APPROVED|04/26/2007|0|0|0|0|0|0
Philadelphia Regional Office| 143594|801-69041|VIRGINIA GLOBAL ASSET MANAGEMENT, LLC|VIRGINIA GLOBAL ASSET MANAGEMENT, LLC|409 YARMOUTH STREET||NORFOLK VA 23510|USA|||  ||DAVID R. KENERSON, JR.|757 962-7976|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/14/2008|0|0|0|0|0|0
Philadelphia Regional Office| 143633|801-67753|LOGAN CIRCLE PARTNERS, L.P.|LOGAN CIRCLE PARTNERS, L.P.|1717 ARCH STREET, SUITE 1500||PHILADELPHIA PA 19103|USA|||  ||RITA A. RAUSCHER|267-330-0000|Partnership|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/12/2007|0|0|0|0|0|0
Philadelphia Regional Office| 143719|801-67788|CONVERGENT WEALTH ADVISORS, LLC|CONVERGENT WEALTH ADVISORS, LLC|2600 TOWER OAKS BLVD|SUITE 300|ROCKVILLE MD 20852|USA|||  ||DAVID ELLIOTT|(301) 998-0322|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/25/2007|0|0|0|0|0|0
Philadelphia Regional Office| 144068|801-68256|MUTUALDECISION.COM|WOLVERINE PARTNERS, LLC|1100 NORTH GLEBE RD|SUITE 1010|ARLINGTON VA 22201|USA|||  ||WILLIAM G. BYRNES|703-224-8068|Limited Liability Company|Publication of periodicals or newsletters, Other|APPROVED|08/24/2007|0|0|0|0|0|0
Philadelphia Regional Office| 144094|801-67955|EAGLE INVESTMENT ADVISORS|EAGLE INVESTMENT ADVISORS, LLC|110 HOPEWELL ROAD|SUITE #210|DOWNINGTOWN PA 19335-1047|USA|||  ||DAVID SUMMERS|610-269-0269|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/05/2007|0|0|0|0|0|0
Philadelphia Regional Office| 144171|801-68226|VILLANOVA FINANCIAL SERVICES, INC.|VILLANOVA FINANCIAL SERVICES, INC.|40 DARBY ROAD||PAOLI PA 19301|USA|||  ||WILL MULLIN|6102966370|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/08/2007|0|0|0|0|0|0
Philadelphia Regional Office| 144244|801-68067|NAVY FEDERAL ASSET MANAGEMENT, LLC|NAVY FEDERAL ASSET MANAGEMENT, LLC|12851 WORLDGATE DRIVE||HERNDON VA 20170|USA|||  ||PATRICIA PRICE|703-206-1346|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|06/21/2007|0|0|0|0|0|0
Philadelphia Regional Office| 144453|801-68165|KINETIC VENTURES, L.L.C.|KINETIC VENTURES, L.L.C.|TWO WISCONSIN CIRCLE, SUITE 620||CHEVY CHASE MD 20815|UNITED STATES|||  ||SYDNEY SHEPHERD|301-652-8066|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/30/2007|0|0|0|0|0|0
Philadelphia Regional Office| 144494|801-68266|EDELMAN FINANCIAL ADVISORS LLC|EDELMAN FINANCIAL ADVISORS  LLC|4000 LEGATO ROAD, 9TH FLOOR||FAIRFAX VA 22033|USA|||  ||ERAINE PARKER|703-251-0167|Limited Liability Company|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|08/29/2007|0|2|0|0|0|0
Philadelphia Regional Office| 144511|801-68172|BARNSTONE ADVISORS LLC|BARNSTONE ADVISORS LLC|3411 SILVERSIDE RD.|SUITE 107, THE WELDIN BUILDING|WILMINGTON DE 19810|USA|||  ||J. BRINTON DETWILER|302-478-3410|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/23/2007|0|0|0|0|0|0
Philadelphia Regional Office| 144571|801-68167|WESTBOURNE INVESTMENT ADVISORS INC.|WESTBOURNE INVESTMENT ADVISORS INC.|2101 WILSON BLVD., S. 525||ARLINGTON VA 22201|USA|||  ||WILFRED GOODWYN|703 294-6848|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|07/19/2007|0|0|0|0|0|0
Philadelphia Regional Office| 144714|801-68204|CAPITAL FIDUCIARY ADVISORS, INC.|CAPITAL FIDUCIARY ADVISORS, INC.|604 S. KING STREET|SUITE 101|LEESBURG VA 20175|USA|||  ||BRIAN ULLSPERGER|703-777-5855|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|08/07/2007|0|1|0|0|0|0
Philadelphia Regional Office| 144758|801-68322|1607 CAPITAL PARTNERS, LLC|1607 CAPITAL PARTNERS, LLC|4991 LAKE BROOK DR.|SUITE 125|GLEN ALLEN VA 23060|UNITED STATES|||  ||KIRK TATTERSALL|804.525.1740|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|09/14/2007|0|0|0|0|0|0
Philadelphia Regional Office| 144764|801-68235|TAMRO CAPITAL PARTNERS LLC|TAMRO CAPITAL PARTNERS LLC|1660 DUKE STREET|SUITE 200|ALEXANDRIA VA 22314|USA|||  ||BETSY M. MOSZETER|703-740-1000|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/30/2007|0|0|0|0|0|0
Philadelphia Regional Office| 144820|801-68475|ACADEMY ASSET MANAGEMENT LLC|ACADEMY ASSET MANAGEMENT LLC|1735 MARKET STREET, SUITE 3930||PHILADELPHIA PA 19103|USA|||  ||DAVID JACOVINI|215-979-3754|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|10/22/2007|0|0|0|0|0|0
Philadelphia Regional Office| 144837|801-68238|ADVISORS FINANCIAL, INC.|ADVISORS FINANCIAL, INC.|510 N. WASHINGTON STREET|SUITE 300|FALLS CHURCH VA 22046|USA|||  ||JOSEPH M. VAN NAME, III|703-883-0300|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|08/03/2007|0|0|0|0|0|0
Philadelphia Regional Office| 144853|801-68352|ADDISON CAPITAL|ADDISON CAPITAL CO.|1244 E. SUSQUEHANNA AVE||PHILADELPHIA PA 19125|USA|1244 E. SUSQUEHANNA AVE, UNIT 3||PHILADELPHIA PA 19125|UNITED STATES|SANDRA LASTER|215 485 8883|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/27/2007|0|0|0|0|0|0
Philadelphia Regional Office| 144926|801-69106|BUTTONWOOD FINANCIAL ADVISORS, INC.|BUTTONWOOD FINANCIAL ADVISORS, INC.|5850 WATERLOO ROAD|STE. 140|COLUMBIA MD 21045|USA|||  ||REHAN DAWER|888-706-9232 EXT 1000|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/18/2008|0|0|0|0|0|0
Philadelphia Regional Office| 144958|801-68375|GUARDIAN ASSET ADVISORS, LLC|GUARDIAN ASSET ADVISORS, LLC|5000 RITTER RD|SUITE 202|MECHANICSBURG PA 17055|USA|||  ||DAVID W. MARRAZZO, CLU|717-691-3003|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|10/19/2007|0|0|0|0|0|0
Philadelphia Regional Office| 144960|801-68294|VALLEY FORGE ADVISORS, LLC|VALLEY FORGE ADVISORS, LLC|120 SOUTH WARNER ROAD|SUITE 280|KING OF PRUSSIA PA 19406|USA|||  ||CHARLOTTE IRELAND|610-687-2400|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|09/07/2007|0|0|0|0|0|0
Philadelphia Regional Office| 145051|801-68333|JFS WEALTH ADVISORS, LLC|JFS WEALTH ADVISORS, LLC|1479 N. HERMITAGE RD.||HERMITAGE PA 16148|USA|||  ||LAURA J. BLAIRE|724-962-3200|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|10/02/2007|0|0|0|0|0|0
Philadelphia Regional Office| 145076|801-68408|PALLADIUM REGISTERED INVESTMENT ADVISORS|PALLADIUM PARTNERS, LLC|999 WATERSIDE DRIVE, SUITE 800||NORFOLK VA 23510|USA|||  ||DICKINSON B. PHILLIPS|757-305-1500|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/19/2007|0|0|0|0|0|0
Philadelphia Regional Office| 145186|801-68405|AXIOM ASSET MANAGEMENT|WEALTHTRUST AXIOM, LLC|3 RADNOR CORPORATE CENTER|SUITE 420|RADNOR PA 19087|USA|||  ||ALBERT C. MATT|610-688-0050|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|10/04/2007|0|0|0|0|0|0
Philadelphia Regional Office| 145256|801-68502|KISTLER-TIFFANY ADVISORS|KISTLER-TIFFANY COMPANIES, LLC|1205 WESTLAKES DRIVE|SUITE 290|BERWYN PA 19312|USA|||  ||DEREK RALPH|610-722-3300|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|11/02/2007|0|0|0|0|0|0
Philadelphia Regional Office| 145261|801-68450|FISCHER & HUTCHINSON WEALTH ADVISORS, LLC|FISCHER & HUTCHINSON WEALTH ADVISORS, LLC|18327 COASTAL HIGHWAY||LEWES DE 19958|USA|||  ||TED FISCHER|302.644.3540|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|11/16/2007|0|0|0|0|0|0
Philadelphia Regional Office| 145426|801-68525|ADVICEOVERWEB|TKT INC.|1313 N. MARKET STREET|SUITE 5100|WILMINGTON DE 19801|USA|||  ||DAVID RON|302-777-6500|Corporation|Selection of other advisers|APPROVED|11/16/2007|0|0|0|0|0|0
Philadelphia Regional Office| 145463|801-68485|BERKSHIRE ASSET MANAGEMENT, LLC|BERKSHIRE ASSET MANAGEMENT, LLC|46 PUBLIC SQUARE|SUITE 700|WILKES-BARRE PA 18701-2609|USA|||  ||MARILYN MILLINGTON|570-825-2600|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/01/2007|0|0|0|0|0|0
Philadelphia Regional Office| 145589|801-68535|LARA, SHULL & MAY, LLC|LARA, SHULL & MAY, LLC|7600 LEESBURG PIKE|SUITE 120 EAST|FALLS CHURCH VA 22043|USA|||  ||JENNIFER L SZARO|703-827-2300|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|11/26/2007|0|7|0|0|0|0
Philadelphia Regional Office| 145742|801-68757|NATIONS FIRST FINANCIAL GROUP INC.|NATIONS FIRST FINANCIAL GROUP INC.|1055 WESTLAKES DRIVE|SUITE 300|BERWYN PA 19312|USA|||  ||JASON C. WEIGAND|609-937-9302|Corporation|Financial planning services, Pension consulting services|APPROVED-120|02/14/2008|0|1|0|0|0|0
Philadelphia Regional Office| 145917|801-68708|LAMBERT ADVISORS|LAMBERT ADVISORS, LLC|1500 MARKET STREET|12TH FLOOR, EAST TOWER|PHILADELPHIA PA 19102|USA|||  ||MARYANN LAMBERT|215-246-3434|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED-120|01/08/2008|0|0|0|0|0|0
Philadelphia Regional Office| 145923|801-68663|GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC|GLOBAL CURRENTS INVESTMENT MANAGEMENT, LLC|DELAWARE CORPORATE CENTER II|SUITE 100, 2 RIGHTER PARKWAY|WILMINGTON DE 19803|USA|||  ||JOSEPH J. MCNERNEY|302-476-3824|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/21/2008|0|0|0|0|0|0
Philadelphia Regional Office| 145935|801-68748|THAYER | HIDDEN CREEK|THCP MANAGEMENT II, L.P.|1455 PENNSYLVANIA AVENUE|SUITE 350|WASHINGTON DC 20004|USA|||  ||LISA WITHERS|202-371-0150|Partnership|Other|APPROVED|02/06/2008|0|1|0|0|0|0
Philadelphia Regional Office| 145987|801-68718|LONGSTREET ADVISORS, LLC|LONGSTREET ADVISORS, LLC|7272 WISCONSIN AVENUE|SUITE 300|BETHESDA MD 20814|USA|||  ||RICHARD HOUSTOUN|301-941-1945|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|01/22/2008|0|0|0|0|0|0
Philadelphia Regional Office| 145989|801-68729|BENNETT GROUP FINANCIAL SERVICES, LLC|BENNETT GROUP FINANCIAL SERVICES, LLC|1400 K STREET, NW|SUITE 501|WASHINGTON DC 20005|USA|||  ||TIM AUGUSTIN|202-216-4880|Limited Liability Company|Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|01/10/2008|0|0|0|0|0|0
Philadelphia Regional Office| 146024|801-68740|IRONOAK ADVISORS LLC|IRONOAK ADVISORS LLC|919 EAST MAIN STREET||RICHMOND VA 23219|USA|||  ||JOSIE C ROSSON|804-782-5414|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|02/11/2008|0|0|0|0|0|0
Philadelphia Regional Office| 146037|801-68993|ETF ASSOCIATES, LLC|ETF ASSOCIATES, LLC|DEVON SQUARE  II , SUITE 250|744 W. LANCASTER AVENUE|WAYNE PA 19087|USA|||  ||ALEX J. RIGOLIZZO|484-253-4570|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED-120|04/09/2008|0|0|0|0|0|0
Philadelphia Regional Office| 146162|801-68855|HARVEST FINANCIAL PARTNERS, LLC|HARVEST FINANCIAL PARTNERS, LLC|159 LANCASTER AVENUE|SUITE THREE|PAOLI PA 19301|USA|||  ||JOHN FATTIBENE|610-240-4740|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED-120|02/26/2008|0|0|0|0|0|0
Philadelphia Regional Office| 146221|801-68810|RIVERFRONT INVESTMENT GROUP, LLC|RIVERFRONT INVESTMENT GROUP, LLC|9011 ARBORETUM PARKWAY|SUITE 110|RICHMOND VA 23236|USA|||  ||PETER J. QUINN, JR.|804-549-4800|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/14/2008|0|0|0|0|0|0
Philadelphia Regional Office| 146252|801-68846|HARPSWELL CAPITAL MANAGEMENT, LLC|HARPSWELL CAPITAL MANAGEMENT, LLC|771 EAST LANCASTER AVE.|SUITE 200|VILLANOVA PA 19085|USA|||  ||ANNE-JARRELL LOCASALE|610-525-1225|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/21/2008|0|0|0|0|0|0
Philadelphia Regional Office| 146340|801-68814|BUSHIDO CAPITAL PARTNERS LLC|BUSHIDO CAPITAL PARTNERS LLC|21 DUPONT CIRCLE NW|SUITE 500|WASHINGTON DC 20036|USA|||  ||JOHN BEATSON|(202) 828-6216|Limited Liability Company|Other|APPROVED|01/28/2008|0|0|0|0|0|0
Philadelphia Regional Office| 146341|801-68924|RAIT PARTNERSHIP, LP|RAIT PARTNERSHIP, LP|CIRA CENTRE, 17TH FLOOR|2929 ARCH STREET|PHILADELPHIA PA 19104|USA|||  ||CHRISTOPHER PLUMMER|215-243-9036|Partnership|Other|APPROVED|05/07/2008|0|1|0|0|0|0
Philadelphia Regional Office| 146374|801-69013|CITRIN COOPERMAN WEALTH MANAGEMENT, LP|CITRIN COOPERMAN WEALTH MANAGEMENT, LP|1800 JFK BLVD., 20TH FLOOR||PHILADELPHIA PA 19103|USA|||  ||SEAN BERGIN|215-545-4800|Other (specify)|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED-120|04/02/2008|0|0|0|0|0|0
Philadelphia Regional Office| 146383|801-68819|MORSE CAPITAL PARTNERS, LLC|MORSE CAPITAL PARTNERS, LLC|420 NORTH RIDGE ROAD|2ND FLOOR|RICHMOND VA 23229|USA|||  ||BRENT MORSE|804.767.2143|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/07/2008|0|0|0|0|0|0
Philadelphia Regional Office| 146448|801-68856|BISHOP & COMPANY INVESTMENT MANAGEMENT, LLC|BISHOP & COMPANY INVESTMENT MANAGEMENT, LLC|SUITE A-201, 3939 WEST RIDGE ROAD||ERIE PA 16506|USA|||  ||MICHAEL W. BISHOP, CFA|814-314-0344|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/12/2008|0|0|0|0|0|0
Philadelphia Regional Office| 146497|801-69125|WS WEALTH MANAGERS, INC.|WS WEALTH MANAGERS, INC.|SHREWSBURY PROFESSIONAL BUILDING - SUITE 230|73 E FORREST AVE|SHREWSBURY PA 17361|USA|||  ||WAYNE STROUT|717-993-5514|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|05/02/2008|0|0|0|0|0|0
Philadelphia Regional Office| 146509|801-68868|YANNI PARTNERS, A DIVISION OF GBS INVESTMENT CONSULTING, LLC|GBS INVESTMENT CONSULTING, LLC|310 GRANT STREET, SUITE 3000||PITTSBURGH PA 15219-2302|USA|||  ||MICHAEL J. DICENSO|609-658-3331|Limited Liability Company|Pension consulting services, Selection of other advisers|APPROVED|03/17/2008|0|1|0|0|0|0
Philadelphia Regional Office| 146528|801-68894|ROYAL OAK CAPITAL MANAGEMENT, LLC|ROYAL OAK CAPITAL MANAGEMENT, LLC|1101 NEW YORK AVENUE, NW|SUITE 801|WASHINGTON DC 20005|USA|||  ||MARY CLARK|202-842-9880|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|03/20/2008|0|0|0|0|0|0
Philadelphia Regional Office| 146551|801-68985|SCHOONER INVESTMENT GROUP LLC|SCHOONER INVESTMENT GROUP LLC|RADNOR FINANCIAL CENTER|150 RADNOR-CHESTER RD, STE F-200|RADNOR PA 19087|USA|||  ||JEREMY MCCANN|610-977-2090|Limited Liability Company|Portfolio management for investment companies, Other|APPROVED-120|03/24/2008|0|0|0|0|0|0
Philadelphia Regional Office| 146607|801-69179|ZEKE CAPITAL ADVISORS, LLC|ZEKE CAPITAL ADVISORS, LLC|1235 WESTLAKES DRIVE|SUITE 400|BERWYN PA 19312|USA|||  ||LUANN MOLINO|610-296-1400|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED-120|05/21/2008|0|0|0|0|0|0
Philadelphia Regional Office| 146675|801-68935|GEEWAX + PARTNERS, LLC|GEEWAX + PARTNERS, LLC|129 HICKS ROAD||WEST GROVE PA 19390|USA|PO BOX 1730||CHADDS FORD PA 19317|USA|JOHN J. GEEWAX|1-888-433-9297|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|04/03/2008|0|0|0|0|0|0
Philadelphia Regional Office| 146682|801-68928|BATTLEFIELD CAPITAL MANAGEMENT, LLC|BATTLEFIELD CAPITAL MANAGEMENT, LLC|620 FREEDOM BUSINESS CENTER|SUITE 205|KING OF PRUSSIA PA 19406|USA|||  ||ALEXANDER MAGUIRE|610-205-6111|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/11/2008|0|0|0|0|0|0
Philadelphia Regional Office| 146763|801-69104|WALDMAN FINANCIAL ADVISERS|WALDMAN FINANCIAL ADVISERS, LLC|501 CHURCH ST NE|SUITE 110|VIENNA VA 22180|US|||  ||GAIL WALDMAN|703-281-7100|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|04/23/2008|0|0|0|0|0|0
Philadelphia Regional Office| 146774|801-69063|GCC FAMILY WEALTH MANAGEMENT CORPORATION|GCC FAMILY WEALTH MANAGEMENT CORPORATION|8300 GREENSBORO DRIVE|SUITE 225|MCLEAN VA 22102|USA|||  ||IRVING LUNSFORD|703-893-0021|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED-120|04/21/2008|0|0|0|0|0|0
Philadelphia Regional Office| 146790|801-69011|COVERED BRIDGE TACTICAL, LLC|COVERED BRIDGE TACTICAL, LLC|708 FLORAL VALE BOULEVARD||YARDLEY PA 19067|USA|||  ||DONALD J. GRIFFIN|215.579.5760|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|04/03/2008|0|0|0|0|0|0
Philadelphia Regional Office| 146951|801-69272|DRYSTONE LLC|DRYSTONE LLC|2400 FOXPATH COURT|SUITE 101|CHARLOTTESVILLE VA 22901-9421|US|||  ||CHRISTOPHER H JACKSON|434.872.3168|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED-120|06/05/2008|0|0|0|0|0|0
Philadelphia Regional Office| 146975|801-69086|THE ITHAKA GROUP, LLC|THE ITHAKA GROUP, LLC|1100 N. GLEBE ROAD|SUITE 1010|ARLINGTON VA 22201|UNITED STATES OF AMERICA|||  ||WILLIAM L. JOHNSON|703-224-8067|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|04/23/2008|0|0|0|0|0|0
Philadelphia Regional Office| 147026|801-69100|NATIONAL REAL ESTATE ADVISORS, LLC|NATIONAL REAL ESTATE ADVISORS, LLC|900 SEVENTH STREET, N.W.|9TH FLOOR|WASHINGTON DC 20001|USA|||  ||JEFFREY J. KANNE|202-496-1250|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|05/01/2008|0|0|0|0|0|0
Philadelphia Regional Office| 147036|801-69123|HILL-TOWNSEND CAPITAL, LLC|HILL-TOWNSEND CAPITAL, LLC|5425 WISCONSIN AVE|SUITE 703|CHEVY CHASE MD 20815|USA|||  ||WILLIAM E. PELLINEN|301-215-4303|Limited Liability Company|Other|APPROVED-120|05/05/2008|0|0|0|0|0|0
Philadelphia Regional Office| 147049|801-69111|FB INCOME ADVISOR, LLC|FB INCOME ADVISOR, LLC|2929 ARCH STREET|SUITE 675|PHILADELPHIA PA 19104|USA|||  ||RYAN D. CONLEY|215-495-1174|Limited Liability Company|Portfolio management for investment companies|APPROVED-120|05/07/2008|0|0|0|0|0|0
Philadelphia Regional Office| 147134|801-69357|FIDUCIA GROUP, LLC|FIDUCIA GROUP, LLC|EIGHT PENN CENTER WEST|SUITE 101|PITTSBURGH PA 15276|USA|||  ||CHARLES KENNEDY|412-246-0759|Limited Liability Company|Pension consulting services|APPROVED-120|07/11/2008|0|0|0|0|0|0
Philadelphia Regional Office| 147151|801-69172|BLAZER INVESTMENT ADVISORS, LLC|BLAZER INVESTMENT ADVISORS, LLC|136 KENYON ROAD||PITTSBURGH PA 15205|USA|||  ||JAMES GREFENSTETTE|412.913.8208|Limited Liability Company|Portfolio management for investment companies|APPROVED-120|05/19/2008|0|0|0|0|0|0
Philadelphia Regional Office| 147178|801-69218|BLAZER CAPITAL MANAGEMENT, LLC|BLAZER CAPITAL MANAGEMENT, LLC|136 KENYON ROAD||PITTSBURGH PA 15205|UNITED STATES|||  ||JAMES GREFENSTETTE|412-913-8208|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED-120|05/20/2008|0|0|0|0|0|0
Philadelphia Regional Office| 147228|801-69175|LAWRENCE WEALTH MANAGEMENT, LLC|LAWRENCE WEALTH MANAGEMENT, LLC|600 WEST GERMANTOWN PIKE, SUITE 400||PLYMOUTH MEETING PA 19462|USA|||  ||RICHARD STUART LAWRENCE|610-940-1611|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED-120|05/22/2008|0|0|0|0|0|0
Philadelphia Regional Office| 147235|801-69226|LONGVIEW FINANCIAL ADVISORS,LLC|LONGVIEW FINANCIAL ADVISORS,LLC|3512 SILVERSIDE ROAD , SUITE 9A||WILMINGTON DE 19810|USA|||  ||CHRISTIAN MYERS WAGNER|3023534720|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED-120|06/12/2008|0|0|0|0|0|0
Philadelphia Regional Office| 147275|801-69310|FAMILY OFFICE GROUP LLC|LPB CAPITAL, LLC|72 EAST STATE STREET||DOYLESTOWN PA 18901|USA|||  ||GARY PAPPAS|609-489-1328|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED-120|07/07/2008|0|0|0|0|0|0
Philadelphia Regional Office| 147360|801-69242|MARK PARTNERS, LLC|COURAGE PARTNERS, LLC.|WORLD TRADE CENTER|101 W. MAIN STREET, SUITE 720|NORFOLK VA 23510|USA|||  ||RALPH COURAGE|757-390-3100|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED-120|06/12/2008|0|0|0|0|0|0
Philadelphia Regional Office| 147445|801-69313|TCM ADVISORS LLC|TCM ADVISORS LLC|246 TASLEY COURT||MARTINSBURG WV 25403|USA|484 WILLIAMSPORT PIKE #127||MARTINSBURG WV 25404|USA|SHELLEY RENE CHINN|(304)283-1925|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|06/23/2008|0|0|0|0|0|0
Philadelphia Regional Office| 147448|801-69293|GPS INVESTMENT GROUP LLC|GPS INVESTMENT GROUP LLC|150 STRAFFORD AVENUE|SUITE 225|WAYNE PA 19087|USA|||  ||ROBERT GUNZENHAUSER|973-714-7728|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED-120|06/20/2008|0|0|0|0|0|0
Philadelphia Regional Office| 147792|801-69467|CARTICA MANAGEMENT, LLC|CARTICA MANAGEMENT, LLC|1775 EYE STREET NW SUITE 800||WASHINGTON DC 20006|USA|||  ||STEVE J. QUAMME|202-367-3003|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|07/25/2008|0|0|0|0|0|0
San Francisco Regional Office|     38|801-57838|AMERICAN INVESTORS CO|L.S.Y., INC|2682 BISHOP DR., SUITE 123|PO BOX 1307|SAN RAMON CA 94583|USA|||  ||NICHOLAS COWLES COCHRAN|925/866-2882X103|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/22/2000|0|3|0|0|0|0
San Francisco Regional Office|    199|801-45761|D.A. DAVIDSON & CO.|D.A. DAVIDSON & CO.|8 THIRD STREET NORTH||GREAT FALLS MT 59401|USA|||  ||JOELLA BLOOMGREN|406-791-7343|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|02/08/1994|0|10|6|0|0|0
San Francisco Regional Office|    329|801-60335|RUSSELL INVESTMENTS|RUSSELL IMPLEMENTATION SERVICES INC.|909 A STREET||TACOMA WA 98402|USA|PO BOX 1616||TACOMA WA 98402-1616|USA|KRISTIN L. GAERTTNER|253-439-2477|Corporation|Portfolio management for investment companies, Other|APPROVED|06/13/2001|0|17|1|0|0|0
San Francisco Regional Office|    908|801-150|WULFF, HANSEN & CO.|WULFF, HANSEN & CO.|351 CALIFORNIA STREET|SUITE 1000|SAN FRANCISCO CA 94104|USA|||  ||CHARLES, CHRISTOPHER|415-421-8900|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/05/1941|0|4|0|0|0|0
San Francisco Regional Office|   1027|801-57293|FOOTHILL SECURITIES, INC.|FOOTHILL SECURITIES, INC.|150 E. DANA STREET||MOUNTAIN VIEW CA 94041|USA|||  ||CHRISTINE FLYNN|650 625-9701|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|02/22/2000|0|3|2|0|0|0
San Francisco Regional Office|   1254|801-67179|STRAND, ATKINSON, WILLIAMS & YORK INC.|STRAND, ATKINSON, WILLIAMS & YORK, INC.|200 SW MARKET ST. SUITE 1900||PORTLAND OR 97201|USA|||  ||TERRI D. GORECKI|503-546-2443|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|09/28/2006|0|1|0|0|0|0
San Francisco Regional Office|   1378|801-10902|GRIFFON MAY, INC.|GRIFFON MAY, INC.|696 MCVEY AVE|SUITE 201|LAKE OSWEGO OR 97034|USA|||  ||ROGER A. MAY|503-635-8844|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/28/1975|0|1|0|0|0|0
San Francisco Regional Office|   1489|801-56354|COLLINS & COMPANY, LLC|COLLINS & COMPANY, LLC|100 LARKSPUR LANDING CIRCLE|STE 102|LARKSPUR CA 94939|USA|||  ||BRUCE RAABE|415-925-4000|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/12/1999|0|0|0|0|0|0
San Francisco Regional Office|   3866|801-11375|KMS FINANCIAL SERVICES, INC|KMS FINANCIAL SERVICES, INC.|2001 SIXTH AVE STE 2801||SEATTLE WA 98121|USA|||  ||WESTBERG, ERIC S.|206-441-2885 X290|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Market timing services|APPROVED|04/06/1976|0|5|0|0|0|0
San Francisco Regional Office|   5393|801-29938|CHARLES SCHWAB & CO., INC.|CHARLES SCHWAB & CO., INC.|101 MONTGOMERY ST|SF120KNY-12-345|SAN FRANCISCO CA 94104|USA|120 KEARNY STREET|12TH FLOOR|SAN FRANCISCO CA 94108|USA|BEVERLY NEILSON|415-636-3686|Corporation|Financial planning services, Selection of other advisers, Other|APPROVED|07/24/1987|1|20|0|0|0|0
San Francisco Regional Office|   5670|801-68618|PAULSON INVESTMENT COMPANY, INC.|PAULSON INVESTMENT COMPANY, INC.|811 SW NAITO PARKWAY|SUITE 200|PORTLAND OR 97204|USA|||  ||ISAAC W. JAMESON|503-243-6034|Corporation|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|01/02/2008|0|30|1|0|0|1
San Francisco Regional Office|   6082|801-10299|PROTECTED INVESTORS OF AMERICA|PROTECTED INVESTORS OF AMERICA|235 MONTGOMERY STREET|SUITE 1050|SAN FRANCISCO CA 94104|USA|||  ||DIANE HOESSL|415.398.4363 X 5973|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|11/20/1974|0|5|0|0|0|0
San Francisco Regional Office|   6681|801-66192|FIRST WASHINGTON CORPORATION|FIRST WASHINGTON CORPORATION|601 UNION STREET SUITE 3701||SEATTLE WA 98101|USA|||  ||TERESA MCINTYRE|206-624-8320|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/30/2006|0|0|0|0|0|0
San Francisco Regional Office|  10331|801-16773|STANFORD INVESTMENT GROUP, INC.|STANFORD INVESTMENT GROUP, INC.|2570 W. EL CAMINO REAL|SUITE 520|MOUNTAIN VIEW CA 94040|USA|||  ||HELEN A. DIETZ|650-941-1717|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|01/29/1982|0|0|0|0|0|0
San Francisco Regional Office|  10489|801-66098|CALDWELL SECURITIES, INCORPORATED|CALDWELL SECURITIES, INCORPORATED|931 HARTZ WAY #100||DANVILLE CA 94526-3400|USA|||  ||JOHN C. HELMER|(925) 838-5525|Corporation|Portfolio management for individuals and/or small businesses, Other|APPROVED|02/08/2006|0|0|0|0|0|0
San Francisco Regional Office|  10582|801-58211|WELLS FARGO INVESTMENTS, LLC|WELLS FARGO INVESTMENTS, LLC|420 MONTGOMERY STREET|FIFTH FLOOR|SAN FRANCISCO CA 94104|USA|550 CALIFORNIA STREET, 6TH FLOOR|MAC #A0112-060|SAN FRANCISCO CA 94104|USA|KATHERINE VAN HAGAN|(415) 222-5621|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|10/02/1987|0|38|0|0|0|0
San Francisco Regional Office|  10603|801-16717|LYLE & FORSYTH INVESTMENT MANAGERS|LYLE, ALLAN GLEN|145 NORTH REDWOOD DRIVE||SAN RAFAEL CA 94903-1974|USA|||  ||ALLAN G. LYLE|415 492-9240|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|01/14/1982|0|0|0|0|0|0
San Francisco Regional Office|  10639|801-61716|SEATTLE-NORTHWEST ASSET MANAGEMENT LLC|SEATTLE-NORTHWEST ASSET MANAGEMENT LLC|1420 FIFTH AVE. SUITE 4300||SEATTLE WA 98101|USA|||  ||MICHAEL NEWHOUSE|206-628-2882|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/28/2003|0|2|0|0|0|1
San Francisco Regional Office|  14377|801-41346|WEALTH ASSET MANAGERS|NELSON SECURITIES,INC.|601 W MAIN AVE.|STE 1118|SPOKANE WA 99201|USA|||  ||SHYLA S. COLLINS|(509) 838-1313|Corporation|Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|05/07/1992|0|0|0|0|0|0
San Francisco Regional Office|  14797|801-61535|SOUTH VALLEY WEALTH MANAGEMENT|ELLIOTT-LEDGERWOOD & COMPANY|810 MAIN STREET||KLAMATH FALLS OR 97601|USA|||  ||MARTIN R. LEDGERWOOD|541-882-5488|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|10/17/2002|0|0|0|0|0|0
San Francisco Regional Office|  15883||PARNASSUS INVESTMENTS|PARNASSUS INVESTMENTS|ONE MARKET - STEUART TOWER|SUITE #1600|SAN FRANCISCO CA 94105|USA|||  ||WILLIAM FRASER|415-778-0200|Corporation|Portfolio management for investment companies|APPROVED|11/20/1984|0|1|0|0|0|0
San Francisco Regional Office|  16761|801-61982|GLOBAL CROWN CAPITAL, LLC|GLOBAL CROWN CAPITAL, LLC|101 CALIFORNIA STREET,|SUITE 4550|SAN FRANCISCO CA 94111|USA|101 CALIFORNIA STREET,|SUITE 4550|SAN FRANCISCO CA 94111|USA|PHILLIP FLOTOW|415-402-0900|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Security ratings or pricing services, Market timing services|APPROVED|04/28/2003|0|1|0|0|0|0
San Francisco Regional Office|  16906|801-60744|GBS FINANCIAL CORP.|GBS FINANCIAL CORP.|558 B STREET|SUITE 200|SANTA ROSA CA 95401-5274|USA|558 B STREET|SUITE 200|SANTA ROSA CA 95401-5274|USA|LYNN MORRILL|707-568-2400|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|12/12/2001|0|1|0|0|0|0
San Francisco Regional Office|  18005|801-27679|R.V. KUHNS AND ASSOCIATES, INC.|R.V. KUHNS & ASSOCIATES, INC.|1000 SW BROADWAY SUITE 1680||PORTLAND OR 97205|USA|||  ||ROGERS, LINDA D|(503)221-4200|Corporation|Pension consulting services|APPROVED|08/15/1986|0|0|0|0|0|0
San Francisco Regional Office|  19061|801-66750|SYMETRA INVESTMENT SERVICES, INC.|SYMETRA INVESTMENT SERVICES, INC.|777 108TH AVENUE NE|SUITE 1200|BELLEVUE WA 98004|USA|P.O. BOX 34695||SEATTLE WA 98124-1695|USA|BRIDGET BURGESS|425-256-6326|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|05/15/2006|0|4|0|0|0|0
San Francisco Regional Office|  21242|801-56873|RICHARD A. SASO INVESTMENT ADVISORY SERVICES|SASO, RICHARD ANTHONY|3130 CROW CANYON PL STE 200||SAN RAMON CA 94583|USA|||  ||RICHARD ANTHONY SASO|925-275-9111|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/28/1999|0|1|0|0|0|0
San Francisco Regional Office|  22509|801-56248|KELMOORE INVESTMENT CO INC|KELMOORE INVESTMENT COMPANY, INC.|2465 E BAYSHORE RD|SUITE 300|PALO ALTO CA 94303-3206|USA|||  ||NORMAN H MOORE JR|650 354 3811|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/25/1999|0|9|0|0|0|0
San Francisco Regional Office|  22649|801-62299|PILLAR FINANCIAL SERVICES, INC.|PILLAR FINANCIAL SERVICES, INC.|1600 SOUTH MAIN STREET|SUITE 335|WALNUT CREEK CA 94596|USA|||  ||HAITHAM E ASHOO|925-407-0320|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|08/29/2003|0|0|0|0|0|0
San Francisco Regional Office|  25586|801-35428|SATURNA CAPITAL CORPORATION|SATURNA CAPITAL CORPORATION|1300 N. STATE ST||BELLINGHAM WA 98225-4730|USA|||  ||NICHOLAS F. KAISER|360-594-9900|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Security ratings or pricing services|APPROVED|10/30/1989|0|1|0|0|0|0
San Francisco Regional Office|  31012|801-63974|FINANCIAL TELESIS, INC.|JHW FINANCIAL SERVICES INC.|4340 REDWOOD HIGHWAY|A23|SAN RAFAEL CA 94903|USA|||  ||JIM WILLIAMS|415-492-8975|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|03/02/2005|0|0|0|0|0|0
San Francisco Regional Office|  35800|801-63879|PHILLIPS & COMPANY|PHILLIPS & COMPANY SECURITIES INC.|1300 SW FIFTH AVE|SUITE 2100|PORTLAND OR 97201|USA|||  ||JAMES SMITH|503.224.0858|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/18/2005|0|2|0|0|0|0
San Francisco Regional Office|  37182|801-56495|MORTON CLARKE FU & METCALF, INC.|MORTON CLARKE FU & METCALF, INC.|520 PIKE ST|SUITE 2250|SEATTLE WA 98101|USA|||  ||SUSAN METCALF|206.484.7334|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/30/1999|0|0|0|0|0|0
San Francisco Regional Office|  37550|801-56576|RUSSELL INVESTMENTS|RUSSELL CAPITAL INC.|909 A STREET||TACOMA WA 98402|USA|P.O. BOX 1616||TACOMA WA 98402-1616|USA|PAULA BURGESS|253-439-2354|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/08/1999|0|17|1|0|0|0
San Francisco Regional Office|  37813|801-64354|FSIC|FINANCIAL SERVICES INTERNATIONAL CORP.|701 FIFTH AVENUE|SUITE 6870|SEATTLE WA 98104|USA|||  ||CANDACE J. LEE, NCM, CFP|206-386-5474|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|06/14/2005|0|0|0|0|0|0
San Francisco Regional Office|  40395|801-51940|BRECEK & YOUNG ADVISORS, INC.|BRECEK & YOUNG ADVISORS, INC.|1110 IRON POINT RD STE 100||FOLSOM CA 95630|USA|||  ||LEIA FARMER|916-932-4100 X6179|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers, Other|APPROVED|05/22/1996|1|7|0|0|0|0
San Francisco Regional Office|  43242|801-49302|SILICON VALLEY CAPITAL MANAGEMENT|SILICON VALLEY CAPITAL MANAGEMENT|335 MAIN STREET|SUITE B|LOS ALTOS CA 94022|USA|||  ||THORN, JAMES M|(650) 917-2900|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|06/05/1995|0|0|0|0|0|0
San Francisco Regional Office|  43285|801-57304|M HOLDINGS SECURITIES, INC.|M HOLDINGS SECURITIES, INC.|1125 N.W. COUCH STREET|SUITE 900|PORTLAND OR 97209|USA|||  ||BEN BRAMER|503-414-7368|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|03/14/2000|0|0|0|0|0|0
San Francisco Regional Office|  44274|801-63835|THINKPANMURE|THINKPANMURE LLC|600 MONTGOMERY STREET|3RD FLOOR|SAN FRANCISCO CA 94111|USA|||  ||HARRIET BRITT|415-249-6321|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|01/14/2005|0|2|0|0|0|0
San Francisco Regional Office|  44960|801-66970|PLAN FINANCIAL INC.|PLAN LIFE & WEALTH MANAGEMENT, INC.|1318 E SHAW AVE, STE 313||FRESNO CA 93710|USA|||  ||JOHN R. HOOPER|559-226-2333|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/14/2006|0|0|0|0|0|0
San Francisco Regional Office|  45053|801-53674|PRIVATE CONSULTING GROUP, INC.|PRIVATE CONSULTING GROUP, INC.|4650 S.W. MACADAM AVENUE|SUITE 100|PORTLAND OR 97239-4263|USA|||  ||LORI LEE|(503) 972-1500|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/17/1997|0|1|2|0|0|0
San Francisco Regional Office|  45641|801-56237|GOLDEN TRIANGLE SECURITIES LLC|GOLDEN TRIANGLE SECURTIES LLC|3785 VIA NONA MARIE|SUITE 314|CARMEL CA 93923|USA|||  ||STEVE HOLBER|831-626-5570|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|01/29/1999|0|0|2|0|0|0
San Francisco Regional Office|  45899|801-55918|MCADAMS WRIGHT RAGEN CAPITAL MANAGEMENT|MCADAMS WRIGHT RAGEN, INC.|925 FOURTH AVENUE|SUITE #3900|SEATTLE WA 98104|USA|||  ||MICHELLE HEYNE|206-664-8865|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters, Other|APPROVED|10/05/1998|0|4|0|0|0|0
San Francisco Regional Office|  46206|801-56684|LEADER CAPITAL CORP.|LEADER CAPITAL CORP.|121 SW MORRISON STREET|STE 425|PORTLAND OR 97204|USA|||  ||CANDY DILLON|503-294-1010|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/16/1999|0|1|1|0|0|0
San Francisco Regional Office|  46237|801-56577|THOMAS WEISEL PARTNERS LLC|THOMAS WEISEL PARTNERS LLC|ONE MONTGOMERY STREET|SUITE 3700|SAN FRANCISCO CA 94104|USA|||  ||MARK FISHER|(415) 364-2676|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/10/1999|0|23|1|0|0|0
San Francisco Regional Office| 103747|801-69038|HANSON MCCLAIN|HANSON MCCLAIN RETIREMENT NETWORK, LLC|3620 FAIR OAKS BLVD.|SUITE 400|SACRAMENTO CA 95864|USA|||  ||TRACY M. KLIEWER|(916) 608-1525|Limited Liability Company|Other|APPROVED|04/17/2008|0|0|0|0|0|0
San Francisco Regional Office| 104214|801-62971|MKG CAPITAL ADVISORS|MKG FINANCIAL GROUP, INC.|1500 SW FIRST AVE.|SUITE 1000|PORTLAND OR 97201-5834|USA|||  ||PAM BODELL|503-226-6700|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|04/07/2004|0|1|0|0|0|0
San Francisco Regional Office| 104510|801-55196|FINANCIAL ENGINES ADVISORS LLC|FINANCIAL ENGINES ADVISORS LLC|1804 EMBARCADERO ROAD|SUITE 100|PALO ALTO CA 94303|USA|||  ||NESHIE TIWARI|650-565-7759|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Security ratings or pricing services|APPROVED|01/14/1998|0|0|0|0|0|0
San Francisco Regional Office| 104517|801-26292|FRANKLIN ADVISERS, INC.|FRANKLIN ADVISERS, INC.|ONE FRANKLIN PARKWAY||SAN MATEO CA 94403-1906|USA|||  ||SELENA L. HOLMES|(727) 299-7201|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/30/1986|0|5|2|0|0|0
San Francisco Regional Office| 104531|801-18935|KUNATH KARREN RINNE & ATKIN INC.|KUNATH KARREN RINNE & ATKIN INC.|1000 SECOND AVENUE , SUITE 4000||SEATTLE WA 98104-1054|USA|||  ||LEANA ALVARADO|206-621-7400|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/18/1983|0|0|0|0|0|0
San Francisco Regional Office| 104532|801-51559|SCM ADVISORS LLC|SCM ADVISORS LLC|909 MONTGOMERY STREET|FIFTH FLOOR|SAN FRANCISCO CA 94133|USA|||  ||PALMER, MARK|415-486-6726|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/05/1996|0|3|5|0|0|0
San Francisco Regional Office| 104535|801-42418|SIGMA INVESTMENT MANAGEMENT COMPANY|SIGMA INVESTMENT MANAGEMENT COMPANY|121 SW MORRISON ST.|SUITE 800|PORTLAND OR 97204|USA|||  ||JAMES VAN HORN|503-419-3938|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Other|APPROVED|09/29/1992|0|0|0|0|0|0
San Francisco Regional Office| 104540|801-21230|LAKESIDE ADVISORS INC|LAKESIDE ADVISORS INC|1115 EAST DENNY WAY||SEATTLE WA 98122-2427|USA|||  ||FREY, ROBERT E|206-285-1730|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/10/1984|0|0|0|0|0|0
San Francisco Regional Office| 104547|801-57420|OBERON FINANCIAL TECHNOLOGY, INC.|OBERON FINANCIAL TECHNOLOGY, INC.|150 MATHILDA PLACE|SUITE 306|SUNNYVALE CA 94086|USA|||  ||GEORGE L. ALVIN|312-827-3965|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/03/2000|0|0|0|0|0|0
San Francisco Regional Office| 104554|801-28179|KASPICK & COMPANY, LLC|KASPICK & COMPANY, LLC|203 REDWOOD SHORES PARKWAY|SUITE 300|REDWOOD SHORES CA 94065-6121|USA|||  ||STUART REDMAN BRUNET|415-882-3645|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|10/23/1986|0|1|0|0|0|0
San Francisco Regional Office| 104557|801-55119|PACIFIC CENTER FOR FINANCIAL SERVICES|PACIFIC CENTER FOR FINANCIAL SERVICES|2355 SAN RAMON VALLEY BLVD||SAN RAMON CA 94583|USA|||  ||SCHLIESSER, STEPHEN F.|(925) 838-7700|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|12/16/1997|0|1|0|0|0|0
San Francisco Regional Office| 104565|801-4855|EDGE ASSET MANAGEMENT, INC.|EDGE ASSET MANAGEMENT, INC.|601 UNION STREET|SUITE #2200|SEATTLE WA 98101|USA|||  ||AL GHAZANFARI|206-913-5813|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/22/1968|0|0|0|0|0|0
San Francisco Regional Office| 104573|801-46893|KEN ROBERTS INVESTMENT MANAGEMENT, INC.|KEN ROBERTS INVESTMENT MANAGEMENT, INC.|W 601 RIVERSIDE AVENUE|SUITE 1670|SPOKANE WA 99201|USA|||  ||YATES, LESLIE|(509)624-5591|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/30/1994|0|0|0|0|0|0
San Francisco Regional Office| 104587|801-39393|ACCESSOR CAPITAL MANAGEMENT LP|ACCESSOR CAPITAL MANAGEMENT LP|1420 FIFTH AVE|SUITE 3600|SEATTLE WA 98101|USA|||  ||STANSBERY, CHRISTINE J.|206-521-3829|Partnership|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other, Portfolio management for investment companies|APPROVED|07/19/1991|0|0|0|0|0|0
San Francisco Regional Office| 104596|801-1895|DODGE & COX|DODGE & COX|555 CALIFORNIA STREET|40TH FLOOR|SAN FRANCISCO CA 94104|USA|||  ||THOMAS M. MISTELE|415-981-1710|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/14/1959|0|0|0|0|0|0
San Francisco Regional Office| 104601|801-29775|SUNGARD ADVISOR TECHNOLOGIES, INC.|SUNGARD ADVISOR TECHNOLOGIES, INC.|2399 GATEWAY OAKS DRIVE, SUITE 200||SACRAMENTO CA 95833|USA|||  ||DEBRA J. DEVOE|630-789-4227|Corporation|Selection of other advisers, Other|APPROVED|07/02/1987|0|2|0|0|0|0
San Francisco Regional Office| 104638|801-4424|BURROUGHS HUTCHINSON, INC.|BURROUGHS HUTCHINSON, INC.|877 W. MAIN  STE 602||BOISE ID 83702|USA|||  ||WILSON, JILL S|208-343-7556|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/04/1967|0|0|0|0|0|0
San Francisco Regional Office| 104649|801-8374|HOERTKORN RICHARD CHARLES|HOERTKORN RICHARD CHARLES|919 SIR FRANCIS DRAKE BLVD.|SUITE 201|KENTFIELD CA 94904|USA|||  ||HOERTKORN, RICHARD CHARLES|415-482-8899|Sole Proprietorship|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/03/1972|0|0|0|0|0|0
San Francisco Regional Office| 104661|801-24109|CPIC INTERNATIONAL|CALIFORNIA PRIVATE INVESTMENT CORP.|388 MARKET ST SUITE 1450||SAN FRANCISCO CA 94111|USA|||  ||BONOMO, THOMAS J|415-989-1915|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|05/03/1985|0|0|0|0|0|0
San Francisco Regional Office| 104685|801-18475|PORTFOLIO STRATEGIES INC|PORTFOLIO STRATEGIES INC|1724 WEST UNION #200||TACOMA WA 98405|USA|||  ||SCHROETER, EMANUEL BERNARD|253-284-9565|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies|APPROVED|03/15/1983|0|0|0|0|0|0
San Francisco Regional Office| 104688|801-35998|AKJ ASSET MANAGEMENT, LLC|AKJ ASSET MANAGEMENT, LLC|1180 HARKER AVENUE||PALO ALTO CA 94301|USA|||  ||BILODEAU, KENNETH R|650 326-9090|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/01/1990|0|0|0|0|0|0
San Francisco Regional Office| 104692|801-11188|FERGUSON WELLMAN CAPITAL MANAGEMENT, INC.|FERGUSON WELLMAN CAPITAL MANAGEMENT, INC.|888 SW 5TH AVE STE 1200||PORTLAND OR 97204|USA|||  ||YOUNG, KERRIE D.|503-226-1444|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/01/1975|0|0|0|0|0|0
San Francisco Regional Office| 104696|801-32795|CLASSIC PORTFOLIO MANAGEMENT INC|CLASSIC PORTFOLIO MANAGEMENT INC|644 MENLO AVENUE, SUITE 203||MENLO PARK CA 94025|USA|||  ||KLEIN, AMY EILEEN|650 322-9700|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|09/30/1988|0|0|0|0|0|0
San Francisco Regional Office| 104698|801-35777|GW CAPITAL INC|GW CAPITAL INC|10900 NE 8TH STREET, SUITE 1010||BELLEVUE WA 98004|USA|||  ||TOM PARKHURST|425-455-4551|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/29/1989|0|0|0|0|0|0
San Francisco Regional Office| 104720|801-25205|CCM PARTNERS|CCM PARTNERS|44 MONTGOMERY ST STE 2100||SAN FRANCISCO CA 94104|USA|||  ||YEE, RODNEY D.|(415) 398-2727|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/12/1985|0|0|0|0|0|0
San Francisco Regional Office| 104723|801-30085|ASSET STRATEGIES & MANAGEMENT INC|ASSET STRATEGIES & MANAGEMENT INC|55 N THIRD ST, STE 201||CAMPBELL CA 95008|USA|||  ||HOLT, MICHAEL GARY|408-364-9100|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|08/13/1987|0|0|0|0|0|0
San Francisco Regional Office| 104749|801-12784|MOUNTAIN PACIFIC INVESTMENT ADVISERS INC|MOUNTAIN PACIFIC INVESTMENT ADVISERS INC|877 MAIN ST STE #704||BOISE ID 83702|USA|||  ||REEDER,BRUCE A|(208)336-1422|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/12/1977|0|0|0|0|0|0
San Francisco Regional Office| 104798|801-14599|THOMPSON RUBINSTEIN INVESTMENT MANAGEMENT INC|THOMPSON RUBINSTEIN INVESTMENT MANAGEMENT INC|715 SW MORRISON SUITE 604||PORTLAND OR 97205-3102|USA|||  ||RICHARD A. RUBINSTEIN|503-224-1488|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/09/1979|0|0|0|0|0|0
San Francisco Regional Office| 104810|801-31834|SEACAP INVESTMENT ADVISORS|SEATTLE CAPITAL MANAGEMENT CO|701 5TH AVE, STE 6710||SEATTLE WA 98104|USA|||  ||NICHOLS, LAURIE J.|206-654-0484|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/14/1988|0|0|0|0|0|0
San Francisco Regional Office| 104835|801-34772|MARATHON FINANCIAL ADVISORS|JOHNSON LYNDA ANN|6365 EL PASEO DR.||SAN JOSE CA 95120|USA|P.O. BOX 20517||SAN JOSE CA 95160|U.S.|REBECCA ULRICH|408-323-8395|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/30/1989|0|0|0|0|0|0
San Francisco Regional Office| 104890|801-18362|OLSON INVESTMENT ADVISORS, LLC|OLSON INVESTMENT ADVISORS LLC|520 PIKE STREET #2225||SEATTLE WA 98101-4093|USA|||  ||MITCHELL, COLLETTE|206-839-4541|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/17/1983|0|0|0|0|0|0
San Francisco Regional Office| 104923|801-2820|MILLER, FLEMING & ASSOCIATES|MILLER FLEMING & ASSOCIATES|220 MONTGOMERY ST., STE 1069||SAN FRANCISCO CA 94104|USA|||  ||ANNAMANTHODO, GUY ANTHONY|(415)392-8577|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|01/28/1962|0|0|0|0|0|0
San Francisco Regional Office| 104931|801-20248|EVERGREEN CAPITAL MANAGEMENT LLC|EVERGREEN CAPITAL MANAGEMENT LLC|500 108TH AVE. N.E.|SUITE 720|BELLEVUE WA 98004|USA|||  ||ROSANN WATSON|425-467-4607|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/01/1983|0|0|0|0|0|0
San Francisco Regional Office| 104935|801-11279|GUARDIAN INVESTMENT MANAGEMENT|GUARDIAN INVESTMENT MANAGEMENT|425 CALIFORNIA STREET, 17TH FLR.|181 SECOND AVE. SAN MATEO,CA.|SAN FRANCISCO CA 94104|USA|||  ||ROBERT TOMASELLO MICHAEL|415-765-6860|Partnership|Portfolio management for individuals and/or small businesses|APPROVED|01/22/1976|0|0|0|0|0|0
San Francisco Regional Office| 104973|801-21122|WELLS CAPITAL MANAGEMENT INC|WELLS CAPITAL MANAGEMENT INCORPORATED|525 MARKET ST|10TH FLOOR|SAN FRANCISCO CA 94105|USA|||  ||GEOFFREY MOORE|(415) 222-5705|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|04/27/1984|0|0|0|0|0|0
San Francisco Regional Office| 105013|801-19781|CAPITAL PLANNING CORP|CAPITAL PLANNING CORP|10900 NE 4TH STREET|SUITE 2000|BELLEVUE WA 98004|USA|||  ||JAMES E KELLEY|425-643-1800|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|10/03/1983|0|0|0|0|0|0
San Francisco Regional Office| 105034|801-15376|WAYCROSS INVESTMENT MANAGEMENT CO|WAYCROSS INVESTMENT MANAGEMENT COMPANY|1326 COMMERCIAL ST.||BELLINGHAM WA 98225|USA|PO BOX 1618||BELLINGHAM WA 98227-1618|USA|MICHAEL F. RYAN|(360)671-0148|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/07/1980|0|0|0|0|0|0
San Francisco Regional Office| 105046|801-16670|ICM ASSET MANAGEMENT INC|ICM ASSET MANAGEMENT INC|601 WEST MAIN AVENUE, SUITE 600||SPOKANE WA 99201-0613|USA|||  ||ROBERT J. LAW|509-455-3588|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|12/31/1981|1|1|0|0|0|0
San Francisco Regional Office| 105052|801-33162|PLANNED SOLUTIONS, INC.|PLANNED SOLUTIONS FINANCIAL & INSURANCE SERVICES, INC.|9833 HORN RD. STE E||SACRAMENTO CA 95827-1945|USA|||  ||SMITH, ROGER T.|916-361-0100|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|11/25/1988|0|0|0|0|0|0
San Francisco Regional Office| 105063|801-20933|FORD & ASSOCIATES|FORD THOMAS FRANCIS|2685 MARINE WAY #1220||MOUNTAIN VIEW CA 94043|USA|||  ||FORD, THOMAS F.|650-964-7770|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/12/1984|3|1|0|0|0|0
San Francisco Regional Office| 105086|801-13209|ARISTON CAPITAL MANAGEMENT CORP|ARISTON CAPITAL MANAGEMENT CORP|9705 NE 13TH ST.||CLYDE HILL WA 98004|USA|227 BELLEVUE WAY NE #71||BELLEVUE WA 98004|USA|RICHARD B. RUSSELL|425-454-1600|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/28/1977|0|0|0|0|0|0
San Francisco Regional Office| 105087|801-15722|BRISTOL GROUP INC|BRISTOL GROUP INC|400 MONTGOMERY STREET|SUITE 400|SAN FRANCISCO CA 94104|USA|||  ||MCLAY, TODD J|415-398-1022|Corporation|Other|APPROVED|01/12/1981|0|0|0|0|0|0
San Francisco Regional Office| 105091|801-27092|MCCORMICK CAPITAL MANAGEMENT|MCCORMICK CAPITAL MANAGEMENT|1325 4TH AVE|SUITE 1744|SEATTLE WA 98101|USA|||  ||MCCORMICK, RICHARD SKEEN|(206)624-5863|Corporation|Portfolio management for investment companies|APPROVED|06/20/1986|0|0|0|0|0|0
San Francisco Regional Office| 105102|801-35762|BENNICAS & ASSOCIATES|BENNICAS GEORGIA LEE|2995 WOODSIDE RD, STE 250||WOODSIDE CA 94062|USA|||  ||BENNICAS, GEORGIA|650-851-4600|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|12/29/1989|0|0|0|0|0|0
San Francisco Regional Office| 105168|801-16142|MARSHALL & SULLIVAN, INC.|MARSHALL & SULLIVAN INC|1001 FOURTH AVE PLAZA STE 4131||SEATTLE WA 98154|USA|||  ||ROBINSON, GREG S|206-621-9014|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|06/11/1981|0|0|0|0|0|0
San Francisco Regional Office| 105180|801-33740|MOSAIC FINANCIAL PARTNERS, INC.|MOSAIC FINANCIAL PARTNERS, INC.|140 GEARY STREET, 6TH FLOOR||SAN FRANCISCO CA 94108|USA|||  ||MORSE, SUSAN S.|415 788-1952|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/23/1989|0|0|0|0|0|0
San Francisco Regional Office| 105195|801-34890|BTR CAPITAL MANAGEMENT INC|BTR CAPITAL MANAGEMENT INC|550 KEARNY STREET|SUITE 510|SAN FRANCISCO CA 94108|USA|||  ||FORMICOLA, ANNA M|4159890100|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/28/1989|0|0|0|0|0|0
San Francisco Regional Office| 105203|801-18151|THE PACIFIC FINANCIAL GROUP, INC.|PACIFIC FINANCIAL GROUP INC|10900 NE 8TH STREET|SUITE 1523|BELLEVUE WA 98004|USA|||  ||MCCLENDON, JAMES C.|425-451-7722|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Publication of periodicals or newsletters|APPROVED|01/10/1983|0|0|3|0|0|0
San Francisco Regional Office| 105247|801-22609|BARCLAYS GLOBAL FUND ADVISORS|BARCLAYS GLOBAL FUND ADVISORS|400 HOWARD STREET||SAN FRANCISCO CA 94105|USA|||  ||PARK, CHARLES|415-597-2724|Corporation|Portfolio management for investment companies, Other|APPROVED|11/15/1984|0|1|1|0|0|0
San Francisco Regional Office| 105253|801-14263|WASHINGTON CAPITAL MANAGEMENT INC|WASHINGTON CAPITAL MANAGEMENT INC|1301 5TH AVE|SUITE 1500|SEATTLE WA 98101-2632|USA|||  ||REITERMAN, LORRIE|(206) 382-0825|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/01/1978|0|0|0|0|0|0
San Francisco Regional Office| 105281|801-32726|JENSEN INVESTMENT MANAGEMENT INC.|JENSEN INVESTMENT MANAGEMENT INC|5300 MEADOWS ROAD|SUITE 250|LAKE OSWEGO OR 97035-8234|USA|||  ||FERRIE, BRIAN S.|503-726-4384|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/19/1988|0|0|0|0|0|0
San Francisco Regional Office| 105283|801-48432|ALAN BILLER AND ASSOCIATES|ALAN D BILLER & ASSOCIATES, INC.|535 MIDDLEFIELD RD.|SUITE 230|MENLO PARK CA 94025|USA|||  ||BURROWS, AILEEN|650.328.7283|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|02/08/1995|0|0|0|0|0|0
San Francisco Regional Office| 105292|801-25400|DITZLER & COMPANY|DITZLER HUGH WICKHAM JR|6114 LASALLE AVENUE STE 443||OAKLAND CA 94611-2802|USA|6114 LASALLE AVE PMB 443||OAKLAND CA 94611-2802|USA|HUGH WICKHAM DITZLER JR|510-548-5903|Sole Proprietorship|Portfolio management for individuals and/or small businesses, Other|APPROVED|10/03/1985|0|0|0|0|0|0
San Francisco Regional Office| 105318|801-13697|WAKLEY & ROBERTON INC|WAKLEY & ROBERTON INC|500 108TH AVENUE NE|SUITE 1770|BELLEVUE WA 98004-5532|USA|||  ||JOHNSON, MARGE A|425-646-6730|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/31/1978|0|0|0|0|0|0
San Francisco Regional Office| 105339|801-20608|MORLEY CAPITAL MANAGEMENT, INC.|MORLEY CAPITAL MANAGEMENT, INC.|1300 SW FIFTH AVENUE, SUITE 3300||PORTLAND OR 97201-5602|USA|||  ||AL GHAZANFARI|206-913-5813|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/23/1984|0|0|0|0|0|0
San Francisco Regional Office| 105359|801-14344|THE PORTOLA GROUP INC|THE PORTOLA GROUP INC|3000 SAND HILL RD|BUILDING 2-145|MENLO PARK CA 94025-7103|USA|||  ||THOMAS W. SIX|650-854-7550|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|01/25/1979|0|0|0|0|0|0
San Francisco Regional Office| 105364|801-34450|CERTIFIED PLANNERS INC|CERTIFIED PLANNERS INC|2694 BISHOP DRIVE, SUITE 240||SAN  RAMON CA 94583|USA|||  ||MILLER, ANNA MARI|925-866-1246|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/18/1989|0|0|0|0|0|0
San Francisco Regional Office| 105379|801-14844|STEWART J INVESTMENTS|STEWART J INVESTMENTS|235 MONTGOMERY ST|SUITE 869|SAN FRANCISCO CA 94104|USA|||  ||KAILIKOLE, MEG|707-884-1530|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|09/18/1979|0|0|0|0|0|0
San Francisco Regional Office| 105396|801-13945|PETERSEN FLYNN & DINSMORE INC|PETERSEN FLYNN & DINSMORE INC|ONE MARKET PLAZA|1208 STEUART TOWER|SAN FRANCISCO CA 94105|USA|||  ||CARBAJAL, YOLANDA MARIE|415-777-0344|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/10/1978|0|0|0|0|0|0
San Francisco Regional Office| 105411|801-28744|LOVELESS & CO INC|LOVELESS & CO INC|222 KEARNY STREET|SUITE 604|SAN FRANCISCO CA 94108-4510|USA|||  ||LOVELESS, WILLIAM R|(415) 397-4949|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/30/1987|0|0|0|0|0|0
San Francisco Regional Office| 105421|801-18395|OSTERWEIS CAPITAL MANAGEMENT INC|OSTERWEIS CAPITAL MANAGEMENT INC|ONE MARITIME PLAZA, STE 800||SAN FRANCISCO CA 94111|USA|||  ||TAVERNETTI, JOHN F.|415-434-4441|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/03/1983|0|0|0|0|0|0
San Francisco Regional Office| 105437|801-19247|JOHN W. BROOKER & CO., CPAS,PC|JOHN W. BROOKER & CO., CPAS, PC|80 SWAN WAY|SUITE 300|OAKLAND CA 94621-1443|USA|||  ||BEATTY, DANIEL K|510-638-1815|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/15/1983|0|0|0|0|0|0
San Francisco Regional Office| 105458|801-22418|APPROPRIATE BALANCE FINANCIAL SERVICES INC|APPROPRIATE BALANCE FINANCIAL SERVICES INC|500 - 108TH AVENUE NE, SUITE 910||BELLEVUE WA 98004|USA|||  ||YATES, BRUCE|425-451-0499|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|10/12/1984|0|4|0|0|0|0
San Francisco Regional Office| 105478|801-12134|R.A.RIGG & CO|RIGG RICHARD ARTHUR|2001 SACRAMENTO ST.|NO. 3|SAN FRANCISCO CA 94109|USA|||  ||RIGG, RICHARD ARTHUR|415-441-0400|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|10/14/1976|0|0|0|0|0|0
San Francisco Regional Office| 105508|801-18799|SCHARF INVESTMENTS|SCHARF JEFFREY ROBERT|340 SOQUEL AVENUE SUITE 115||SANTA CRUZ CA 95062|USA|||  ||SCHARF, JEFFREY ROBERT|831-429-6513|Sole Proprietorship|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/06/1983|0|0|0|0|0|0
San Francisco Regional Office| 105531|801-10227|SETON SMOKE CAPTAL MANAGEMENT|SETON SMOKE CAPITAL MANAGEMENT|100 DRAKE'S LANDING ROAD|SUITE 260|GREENBRAE CA 94904-3121|USA|||  ||JONGEWARD, SARAH E.|415-925-1130|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|09/18/1974|0|0|0|0|0|0
San Francisco Regional Office| 105538|801-11975|DOOLITTLE & GANOS INVESTMENT COUNSEL, LLC|DOOLITTLE & GANOS INVESTMENT COUNSEL, LLC|100 CLOCK TOWER PLACE|SUITE 210|CARMEL CA 93923|USA|P.O. BOX 221610||CARMEL CA 93922|USA|GANOS, TODD C|831-624-3317|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/01/1976|0|0|0|0|0|0
San Francisco Regional Office| 105556|801-35638|RAINIER INVESTMENT MANAGEMENT,INC.|RAINIER INVESTMENT MANAGEMENT, INC.|601 UNION ST STE 2801||SEATTLE WA 98101-2327|USA|||  ||THENELL. LISA|206-518-6686|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/07/1989|0|0|0|0|0|0
San Francisco Regional Office| 105562|801-17866|MCDONALD CAPITAL INVESTORS INC|MCDONALD CAPITAL INVESTORS INC|4 ORINDA WAY|SUITE 120-D|ORINDA CA 94563|USA|||  ||UDALL, LINDA|925-258-5401|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|10/26/1982|0|0|0|0|0|0
San Francisco Regional Office| 105570|801-34586|INSIGHT CAPITAL RESEARCH & MANAGEMENT INC|INSIGHT CAPITAL RESEARCH & MANAGEMENT INC|2121 NORTH CALIFORNIA BLVD|SUITE 560|WALNUT CREEK CA 94596|USA|||  ||FRANCES CHIU|925-948-2000|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|06/08/1989|0|0|0|0|0|0
San Francisco Regional Office| 105583|801-31081|PACIFIC ADVISORY GROUP INC|PACIFIC ADVISORY GROUP INC|3301 EL CAMINO REAL, STE 250||ATHERTON CA 94027|USA|||  ||SMITH, JAYNE LOUISE|650-368-9900|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/11/1987|0|0|0|0|0|0
San Francisco Regional Office| 105607|801-34145|KAREL CAPITAL, INC.|KAREL CAPITAL INC|1204 BURLINGAME AVENUE|STE 3|BURLINGAME CA 94010|USA|||  ||PISANO, ROBERT EDMOND|650-340-0215|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/24/1989|0|0|0|0|0|0
San Francisco Regional Office| 105613|801-34047|MOLUMPHY CAPITAL MANAGEMENT|MOLUMPHY CAPITAL MANAGEMENT|332 PINE ST, STE 210||SAN FRANCISCO CA 94104|USA|||  ||MOLUMPHY, THOMAS J|415-421-5932|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/01/1989|0|0|0|0|0|0
San Francisco Regional Office| 105621|801-15279|TUKMAN GROSSMAN CAPITAL MANAGEMENT, INC.|TUKMAN GROSSMAN CAPITAL MANAGEMENT, INC.|60 E SIR FRANCIS DRAKE BLVD|#204|LARKSPUR CA 94939|USA|||  ||ROSEN, SCOTT R.|415-461-6833|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/12/1980|0|0|0|0|0|0
San Francisco Regional Office| 105630|801-25385|THE HEADLANDS GROUP, INC|THE HEADLANDS GROUP, INC|100 LARKSPUR LANDING CIRCLE|SUITE 202|LARKSPUR CA 94939|USA|||  ||O'NEILL, THERESA D|(415) 464-9144|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|09/30/1985|0|0|0|0|0|0
San Francisco Regional Office| 105634|801-15225|PETERSON INVESTMENT MANAGEMENT INC|PETERSON INVESTMENT MANAGEMENT INC|421 W RIVERSIDE AVE, STE 315||SPOKANE WA 99201-0402|USA|||  ||PETERSON, ROBB M.|509-838-4438|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/16/1980|0|0|0|0|0|0
San Francisco Regional Office| 105671|801-22733|D.B. FITZPATRICK & CO.|D.B. FITZPATRICK & CO., INC.|225 N 9TH STREET|SUITE 810|BOISE ID 83702-5778|USA|||  ||CHRISTENSEN, TERRI|208-342-2280|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|11/15/1984|0|0|0|0|0|0
San Francisco Regional Office| 105698|801-36720|GENOVESE BURFORD & BROTHERS ASSET MANAGEMENT|GENOVESE BURFORD & BROTHERS WEALTH & RETIREMENT PLAN MGMT, INC.|1515 RESPONSE ROAD||SACRAMENTO CA 95815|USA|||  ||ANGIE BUTLER|916-924-7527 EXT 101|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/01/1990|0|0|0|0|0|0
San Francisco Regional Office| 105702|801-33527|SCHMITZ & ASSOCIATES|SCHMITZ STEVEN JOSEPH|655 REDWOOD HWY|STE 109|MILL VALLEY CA 94941|USA|||  ||SCHMITZ, STEVEN JOSEPH|415-381-9075|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Publication of periodicals or newsletters|APPROVED|12/23/1988|0|0|0|0|0|0
San Francisco Regional Office| 105703|801-30656|CLBI INVESTMENTS INC|CLBI INVESTMENTS INC|100 PRINGLE AVE STE 760||WALNUT CREEK CA 94596-7339|USA|||  ||CANTON, ALSIDA M|925-947-0261|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/29/1987|0|0|0|0|0|0
San Francisco Regional Office| 105705|801-31899|V.H. KING ASSOCIATES|KING VIRGINIA HIMMELSTEIB|2014 LOS ANGELES AVE||BERKELEY CA 94707-2429|USA|||  ||KING, VIRGINIA HIMMELSTEIB|510-528-0271|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/25/1988|0|0|0|0|0|0
San Francisco Regional Office| 105717|801-29500|MERRIMAN BERKMAN NEXT, INC|MERRIMAN BERKMAN NEXT, INC|800 FIFTH AVENUE, SUITE 2900||SEATTLE WA 98104|USA|||  ||LINDSTROM, COLLEEN|206-285-8877|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|05/01/1987|0|0|0|0|0|0
San Francisco Regional Office| 105719|801-12138|LINCAP MANAGEMENT COMPANY|LINCAP MANAGEMENT COMPANY|130 JUDAH STREET||SAN FRANCISCO CA 94122|USA|||  ||GARVIN, BENJAMIN RUSSELL|415 882 9909|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|10/14/1976|0|0|0|0|0|0
San Francisco Regional Office| 105734|801-17141|RUSSELL INVESTMENTS|RUSSELL INVESTMENT MANAGEMENT COMPANY|909 A STREET||TACOMA WA 98402|USA|P.O. BOX 1616||TACOMA WA 98402-1616|USA|CHERYL B. WICHERS|253-439-1735|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|05/21/1982|0|17|2|0|0|0
San Francisco Regional Office| 105739|801-17157|RUSSELL INVESTMENT GROUP|FRANK RUSSELL COMPANY|909 A STREET||TACOMA WA 98402|USA|P.O. BOX 1616||TACOMA WA 98402-1616|USA|J. DAVID GRISWOLD|253-439-5381|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|06/01/1982|0|18|2|0|0|0
San Francisco Regional Office| 105748|801-35938|BROOKSIDE CAPITAL INC.|BROOKSIDE CAPITAL INC.|2372 BAY STREET||SAN FRANCISCO CA 94123|USA|2269 CHESTNUT STREET|#400|SAN FRANCISCO CA 94123|USA|JAMES T. REA|415.233.4640|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/10/1990|0|0|0|0|0|0
San Francisco Regional Office| 105764|801-19785|MELLON CAPITAL MANAGEMENT CORPORATION|MELLON CAPITAL MANAGEMENT CORPORATION|50 FREMONT STREET|SUITE 3900|SAN FRANCISCO CA 94105|USA|||  ||LEE, LAWRENCE P.|415-975-3564|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|09/30/1983|0|0|0|0|0|0
San Francisco Regional Office| 105774|801-21730|ROSENBLUM SILVERMAN SUTTON SF INC|ROSENBLUM SILVERMAN SUTTON SF INC|1388 SUTTER ST STE 725||SAN FRANCISCO CA 94109|USA|||  ||PHILIP HUFF|415-771-4500|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/15/1984|0|1|0|0|0|0
San Francisco Regional Office| 105805|801-27298|HUSIC CAPITAL MANAGEMENT|HUSIC CAPITAL MANAGEMENT|ONE FRONT STREET, 36TH FLOOR||SAN FRANCISCO CA 94111|USA|||  ||LESLEY JONES|(415)398-0800|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/26/1986|0|0|0|0|0|0
San Francisco Regional Office| 105824|801-35059|INFORMED INVESTORS GROUP|KOENIG STEVEN MARK|4701 37TH AVE NE||SEATTLE WA 98105|USA|4701 37TH AVE NE||SEATTLE WA 98105|USA|KOENIG, STEVEN|206-524-6511|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|08/11/1989|0|0|0|0|0|0
San Francisco Regional Office| 105830|801-29349|SPECTRUM CAPITAL MANAGEMENT|SPECTRUM CAPITAL MANAGEMENT|13620 LINCOLN WAY|SUITE 290|AUBURN CA 95603|USA|||  ||FULMER, JEFFREY Y|(530) 888-9000|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|04/10/1987|0|0|0|0|0|0
San Francisco Regional Office| 105844|801-55127|BROWN ARMSTRONG FINANCIAL SERVICES INC.|BROWN ARMSTRONG FINANCIAL SERVICES, INC.|2177 SW MAIN ST||PORTLAND OR 97205-1190|USA|||  ||THAKKAR, MANISHA P.|503-221-1776|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|01/26/1998|0|0|0|0|0|0
San Francisco Regional Office| 105864|801-30972|SCHILL S R & ASSOCIATES INC|SCHILL S R & ASSOCIATES INC|2448 - 76TH AVE SE|SUITE 208|MERCER ISLAND WA 98040|USA|||  ||SCHILL STANLEY R|206-275-2700|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|11/02/1987|0|4|0|0|0|0
San Francisco Regional Office| 105888|801-36794|EMPYRION WEALTH MANAGEMENT, INC.|EMPYRION WEALTH MANAGEMENT, INC.|3741 DOUGLAS BLVD STE 130||ROSEVILLE CA 95661|USA|||  ||MORRISON, RENEE|916-786-7626|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|07/13/1990|0|0|0|0|0|0
San Francisco Regional Office| 105939|801-33939|IMS CAPITAL MANAGEMENT|IMS CAPITAL MANAGEMENT|8995 S.E. OTTY ROAD||PORTLAND OR 97086|USA|||  ||STEELE, SUSAN|503-788-4200|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Publication of periodicals or newsletters|APPROVED|03/23/1989|0|1|0|0|0|0
San Francisco Regional Office| 106010|801-42200|FINANCIAL CLARITY, INC.|FINANCIAL CLARITY, INC.|2570 WEST EL CAMINO REAL|SUITE 600|MOUNTAIN VIEW CA 94040|USA|||  ||YOUNG, STANFORD THOMAS|650-559-9900|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|08/26/1992|0|0|0|0|0|0
San Francisco Regional Office| 106017|801-41892|LASECKE WEIL WEALTH ADVISORY GROUP, LLC|LASECKE WEIL WEALTH ADVISORY GROUP, LLC|624 UNIVERSITY AVENUE||PALO ALTO CA 94301-2019|USA|||  ||WEIL, CURT|650-323-3700|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|07/07/1992|0|0|0|0|0|0
San Francisco Regional Office| 106021|801-52702|MC TAYLOR ASSOCIATES|TAYLOR MARY CATHERINE|ONE KAISER PLAZA, STE 1465||OAKLAND CA 94612|USA|||  ||TAYLOR, MARY CATHERINE|510-987-8282|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|08/19/1996|0|0|0|0|0|0
San Francisco Regional Office| 106025|801-34567|PCA REAL ESTATE ADVISORS, INC.|PCA REAL ESTATE ADVISORS, INC.|150 SPEAR STREET|STE 1850|SAN FRANCISCO CA 94105|USA|||  ||PAM ALSTERLIND|415-442-0700|Corporation|Pension consulting services, Publication of periodicals or newsletters|APPROVED|06/05/1989|0|0|0|0|0|0
San Francisco Regional Office| 106028|801-46328|STOCKLIN CAPITAL MANAGEMENT|STOCKLIN WILLIAM JAMES|2180 SAND HILL ROAD|SUITE 100|MENLO PARK CA 94025|USA|||  ||STOCKLIN, WILLIAM JAMES|650-234-1345|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|06/03/1994|0|0|0|0|0|0
San Francisco Regional Office| 106029|801-40244|SULLIVAN & SERWITZ|SULLIVAN & SERWITZ INVESTMENT ADVISORS INC|779 ALTOS OAKS DRIVE||LOS ALTOS CA 94024|USA|||  ||SULLIVAN, ROBERT J|650-949-2221|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Publication of periodicals or newsletters, Other|APPROVED|12/04/1991|0|0|0|0|0|0
San Francisco Regional Office| 106033|801-44477|PATTEN INVESTMENT ADVISORS INC|PATTEN INVESTMENT ADVISORS INC|1263 N. RIVERSIDE DRIVE|SUITE 6|MEDFORD OR 97501|USA|||  ||PATTERN, MARK STEVEN|541-770-9494|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/12/1993|0|0|0|0|0|0
San Francisco Regional Office| 106036|801-64934|LIBERTY GROUP, LLC|LIBERTY GROUP, LLC|3923 GRAND AVENUE||OAKLAND CA 94610|USA|||  ||KENNETH BOCHAT|510 903-5489|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|01/03/2006|0|0|0|0|0|0
San Francisco Regional Office| 106046|801-42715|SPF INC|SPF INC|9115 FORTUNA DRIVE #6412||MERCER ISLAND WA 98040|USA|||  ||SJOHOLM, FREDRIC PARRY|2062366121|Corporation|Other|APPROVED|11/19/1992|0|0|0|0|0|0
San Francisco Regional Office| 106054|801-52871|MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT, LLC|MATTHEWS INTERNATIONAL CAPITAL MANAGEMENT, LLC|FOUR EMBARCADERO CENTER|SUITE 550|SAN FRANCISCO CA 94111|USA|||  ||TIMOTHY B. PARKER|415-955-8138|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/04/1996|0|0|0|0|0|0
San Francisco Regional Office| 106062|801-44964|KENSINGTON INVESTMENT GROUP INC|KENSINGTON INVESTMENT GROUP INC|4 ORINDA WAY, SUITE 200C||ORINDA CA 94563|USA|||  ||YEE CYNTHIA M|925-253-2949|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/13/1993|0|1|0|0|0|0
San Francisco Regional Office| 106082|801-36844|YESKE & CO INC|YESKE & CO INC|220 MONTGOMERY ST., STE 900||SAN FRANCISCO CA 94104|USA|||  ||DAVID B. YESKE|415-956-9686|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/22/1990|0|0|0|0|0|0
San Francisco Regional Office| 106089|801-47357|IMC|INVESTMENT MANAGEMENT CONSULTANTS INC|111 SW COLUMBIA|STE 1080|PORTLAND OR 97201|USA|||  ||BODMER, DAVID J|503-248-9064|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|09/02/1994|0|0|0|0|0|0
San Francisco Regional Office| 106105|801-51616|ORFORD CAPITAL MANAGEMENT|ORFORD CAPITAL MANAGEMENT|155 MONTGOMERY STREET|SUITE 404|SAN FRANCISCO CA 94104|USA|||  ||JOHN JENKINS|415-399-9450|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|04/02/1996|0|0|0|0|0|0
San Francisco Regional Office| 106111|801-38220|PORTFOLIO ADVISORS, INC.|PORTFOLIO ADVISORS, INC.|7571 N. REMINGTON AVE., STE. 105||FRESNO CA 93711|USA|||  ||MICHAEL J. LEFFLER|559-432-8400|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/01/1991|0|0|0|0|0|0
San Francisco Regional Office| 106135|801-52600|PORTFOLIO MANAGEMENT TECHNOLOGY|TANG ERIC M P INC|4630 GEARY BLVD #304||SAN FRANCISCO CA 94118|USA|||  ||TANG, ERIC M|415-752-6981|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters, Market timing services|APPROVED|08/05/1996|0|0|0|0|0|0
San Francisco Regional Office| 106136|801-18897|KRUMREI & ROSS, INC.|KRUMREI & ROSS, INC.|1600 SCHOOL ST #101||MORAGA CA 94556|USA|||  ||KRUMREI, LORI V|925-376-4712|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|05/12/1983|0|0|0|0|0|0
San Francisco Regional Office| 106158|801-48519|HUTCHINSON CAPITAL MANAGEMENT|HUTCHINSON CAPITAL MANAGEMENT|700 LARKSPUR LANDING CIRCLE|SUITE 126|LARKSPUR CA 94939|USA|||  ||HUTCHINSON, WILLIAM|415-464-5650|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/17/1995|0|0|0|0|0|0
San Francisco Regional Office| 106173|801-38751|MCKINLEY CAPITAL MANAGEMENT INC|MCKINLEY CAPITAL MANAGEMENT INC|3301 C STREET, STE 500||ANCHORAGE AK 99503|USA|||  ||DEBORAH LAMB|907-563-4488|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/30/1991|0|3|0|0|0|0
San Francisco Regional Office| 106194|801-38447|FRIEDMAN & ASSOCIATES|WEALTH MANAGEMENT ADVISORS, INC.|1744 NOVATO BLVD.|SUITE 200|NOVATO CA 94947|USA|||  ||GREGORY H. FRIEDMAN|415-493-5900|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/05/1991|0|0|0|0|0|0
San Francisco Regional Office| 106196|801-38647|STW ASSOCIATES|STW ASSOCIATES|25 OAK WAY||ROSS CA 94957|USA|PO BOX 597||ROSS CA 94957-0597|US|WILLIAMS, STEFAN T|415 460-6416|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|04/18/1991|0|0|0|0|0|0
San Francisco Regional Office| 106226|801-47995|BLUM CAPITAL PARTNERS LP|BLUM CAPITAL PARTNERS LP|909 MONTGOMERY STREET|SUITE 400|SAN FRANCISCO CA 94133-4652|USA|||  ||GREGORY D. HITCHAN|415-434-1111|Partnership|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|10/31/1994|0|0|0|0|0|0
San Francisco Regional Office| 106228|801-11816|VAN STRUM & TOWNE INC|VAN STRUM & TOWNE INC|505 SANSOME STREET|SUITE 1001|SAN FRANCISCO CA 94111|USA|||  ||SHERMAN, MARK A.|415-981-3455|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/30/1976|0|0|0|0|0|0
San Francisco Regional Office| 106233|801-40501|ALASKA PERMANENT CAPITAL MANAGEMENT CO|ALASKA PERMANENT CAPITAL MANAGEMENT CO|900 W 5TH AVENUE, SUITE 601||ANCHORAGE AK 99501|USA|||  ||ROSE, EVAN D.|907-272-7575|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters, Other|APPROVED|12/31/1991|0|0|0|0|0|0
San Francisco Regional Office| 106257|801-44325|SAN FRANCISCO SENTRY INVESTMENT GROUP|SAN FRANCISCO SENTRY INVESTMENT GROUP|100 PINE STREET|SUITE 2700|SAN FRANCISCO CA 94111|USA|||  ||LEON ROOT|415-229-9012|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/15/1993|0|1|1|0|0|0
San Francisco Regional Office| 106319|801-36301|PENGRA CAPITAL MANAGEMENT INC|PENGRA CAPITAL MANAGEMENT INC|601 UNION ST|STE 4515|SEATTLE WA 98101|USA|||  ||PENGRA, MOLLY|206-628-0891|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/02/1990|0|0|0|0|0|0
San Francisco Regional Office| 106327|801-36692|MCS FINANCIAL ADVISORS|STALKER MICHAEL CHARLES|360 EAST 10TH AVENUE|SUITE 200|EUGENE OR 97401-3273|USA|||  ||STALKER, MICHAEL C|541-345-7023|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/31/1990|0|0|0|0|0|0
San Francisco Regional Office| 106364|801-43355|PROTECTED CAPITAL MANAGEMENT|SMITH RICHARD DELOY|6225 N. MEEKER PLACE, SUITE 120||BOISE ID 83713|USA|||  ||SMITH, RICHARD D|208-378-1304|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|01/19/1993|0|0|0|0|0|0
San Francisco Regional Office| 106377|801-39895|MONTANA INVESTMENT ADVISORS INC|MONTANA INVESTMENT ADVISORS INC|104 EAST MAIN ST|STE 414-416|BOZEMAN MT 59715-7090|USA|P.O. BOX 7090||BOZEMAN MT 59771-7090|USA|DAVIS, NICHOLAS HOMANS|406-586-7711|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|09/27/1991|0|0|0|0|0|0
San Francisco Regional Office| 106382|801-14549|CSI CAPITAL MANAGEMENT INC|CSI CAPITAL MANAGEMENT INC|600 CALIFORNIA STREET|18TH FLOOR|SAN FRANCISCO CA 94108|USA|||  ||JOHN OLSON|415-354-3000|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|05/03/1979|0|0|0|0|0|0
San Francisco Regional Office| 106383|801-43274|RUNDE & CO. LLC|RUNDE & CO. LLC|1001 FOURTH AVENUE PLAZA, SUITE 3200||SEATTLE WA 98154|USA|||  ||RUNDE, ELIZABETH A|206-323-2255|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/04/1993|0|0|0|0|0|0
San Francisco Regional Office| 106386|801-37038|LEWIS & MATHEWS INVESTMENT MANAGEMENT, INC.|LEWIS & MATHEWS INVESTMENT MANAGEMENT, INC.|830 MENLO AVENUE, SUITE 210||MENLO PARK CA 94025|USA|||  ||LEWIS, STEPHEN W|650-329-8800|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|07/27/1990|0|0|0|0|0|0
San Francisco Regional Office| 106394|801-11253|D.P. HILL & CO.|D.P. HILL & CO.|600 CALIFORNIA STREET, 18TH FLOOR||SAN FRANCISCO CA 94108|USA|||  ||STEPHANIE HALTER|415-421-1990|Corporation|Portfolio management for individuals and/or small businesses, Other|APPROVED|01/02/1976|0|0|0|0|0|0
San Francisco Regional Office| 106418|801-47700|SENSIBLE INVESTMENTS INC|SENSIBLE INVESTMENTS INC|1 FOX LANE||SUN VALLEY ID 83354|USA|P.O. BOX 6028||SUN VALLEY ID 83353||SENSENBRENNER, JOHN S|206-228-9753|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|11/07/1994|0|0|0|0|0|0
San Francisco Regional Office| 106439|801-38122|BANNER INVESTMENT CONSULTANTS|FORETICH ROBERT MCCLELAND|1220 11TH ST||ANACORTES WA 98221|USA|P O BOX 1660||ANACORTES WA 98221|USA|FORETICH, ROBERT MCCLELAND|206-621-8638|Sole Proprietorship|Selection of other advisers|APPROVED|01/19/1991|0|0|0|0|0|0
San Francisco Regional Office| 106441|801-52806|BONUCCELLI DAVID L & ASSOCIATES INC|BONUCCELLI DAVID L & ASSOCIATES INC|701 UNIVERSITY AVE, SUITE 210||SACRAMENTO CA 95825|USA|||  ||POWELL, WENDY GAY|916-567-6666|Corporation|Other|APPROVED|07/31/1996|0|0|0|0|0|0
San Francisco Regional Office| 106446|801-47270|RUSSELL INVESTMENTS|RUSSELL REAL ESTATE ADVISORS INC|909 A STREET||TACOMA WA 98402|USA|P.O. BOX 1616||TACOMA WA 98402-1616|USA|PAULA BURGESS|253-439-2354|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/22/1994|0|17|1|0|0|0
San Francisco Regional Office| 106447|801-38258|ELLIOTT R. CHERNIN FINANCIAL SERVICES|CHERNIN ELLIOTT REMER|300 TAMAL PLAZA||CORTE MADERA CA 94925|USA|||  ||CHERNIN, ELLIOTT REMER|415-927 0722|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|02/08/1991|0|0|0|0|0|0
San Francisco Regional Office| 106451|801-39734|NIEMANN CAPITAL MANAGEMENT INC|NIEMANN CAPITAL MANAGEMENT INC|512 CAPITOLA AVENUE||CAPITOLA CA 95010|USA|||  ||WEST, RICHARD|831.462.0663|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/27/1991|0|0|0|0|0|0
San Francisco Regional Office| 106544|801-10787|NORTHWEST ADMINISTRATORS INC|NORTHWEST ADMINISTRATORS INC|2323 EASTLAKE AVE EAST||SEATTLE WA 98102|USA|||  ||BUSHNELL, GAYLE R|206-726-3270|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|05/25/1975|0|0|0|0|0|0
San Francisco Regional Office| 106551|801-12928|ASTER INVESTMENT MANAGEMENT CO INC|ASTER INVESTMENT MANAGEMENT CO INC|60 E SIR FRANCIS DRAKE BLVD STE 306||LARKSPUR CA 94939|USA|||  ||KEELING, GREGG B|415-461-8770|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/15/1977|0|0|0|0|0|0
San Francisco Regional Office| 106557|801-8851|REPS FRANCIS MICHAEL|REPS FRANCIS MICHAEL|218 HAWTHORN ROAD||BELLINGHAM WA 98225|USA|||  ||REPS,TERRY LOU|360-671-0068|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|09/27/1972|0|0|0|0|0|0
San Francisco Regional Office| 106603|801-40998|MILLER ADVISORS, INC.|MILLER ADVISORS INC|11 TENTH AVENUE||KIRKLAND WA 98033|USA|||  ||MILLER, KATHLEEN A|425-822-8122|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|03/11/1992|0|0|0|0|0|0
San Francisco Regional Office| 106624|801-17459|PACIFIC MANAGEMENT LTD|PACIFIC MANAGEMENT LTD|TWO EMBARCADERO CENTER STE 1340||SAN FRANCISCO CA 94111|USA|||  ||GREGORY W BROWNE|415-362-6120|Partnership|Other|APPROVED|08/06/1982|0|0|0|0|0|0
San Francisco Regional Office| 106648|801-50553|M FINANCIAL INVESTMENT ADVISERS INC|M FINANCIAL INVESTMENT ADVISERS INC|M FINANCIAL PLAZA|1125 NW COUCH STREET|PORTLAND OR 97209|USA|||  ||KATHLEEN J. WOLF|503.232.6960|Corporation|Portfolio management for investment companies|APPROVED|11/24/1995|0|0|0|0|0|0
San Francisco Regional Office| 106669|801-42165|DEL MONTE GROUP, LLC|DEL MONTE GROUP LLC|75 GOLDEN MEADOW LANE||ALAMO CA 94507|USA|PMB #540|3000-F DANVILLE BLVD.|ALAMO CA 94507|USA|RICHARD DEL MONTE|925-736-6410|Limited Liability Company|Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers, Financial planning services|APPROVED|08/25/1992|0|0|0|0|0|0
San Francisco Regional Office| 106676|801-52709|WESTCLIFF CAPITAL MANAGEMENT LLC|WESTCLIFF CAPITAL MANAGEMENT LLC|200 7TH AVE|SUITE 105|SANTA CRUZ CA 95062|USA|||  ||HINZ, MARY F|831-477-4412|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/22/1996|0|0|0|0|0|0
San Francisco Regional Office| 106696|801-53480|ROOF, EIDAM & MAYCOCK|ROOF EIDAM & MAYCOCK|1 POST STREET|SUITE 2725|SAN FRANCISCO CA 94104|USA|||  ||CHAPEL, KRISTINE ELLEN|(415)788-4600|Partnership|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/19/1996|0|0|0|0|0|0
San Francisco Regional Office| 106753|801-35905|CHARLES SCHWAB INVESTMENT MANAGEMENT, INC|CHARLES SCHWAB INVESTMENT MANAGEMENT, INC|101 MONTGOMERY ST||SAN FRANCISCO CA 94104-4104|USA|||  ||FILLMORE, RANDY|415-636-7000|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/25/1990|0|0|0|0|0|0
San Francisco Regional Office| 106759|801-49751|HALL CAPITAL PARTNERS LLC|HALL CAPITAL PARTNERS LLC|ONE MARITIME PLAZA|SUITE 500|SAN FRANCISCO CA 94111|USA|||  ||MORRISON, HELANE L.|415-288-0544|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/28/1995|0|0|0|0|0|0
San Francisco Regional Office| 106785|801-45724|STACK FINANCIAL MANAGEMENT INC|STACK FINANCIAL MANAGEMENT INC|2472 BIRCH GLEN, SUITE A||WHITEFISH MT 59937-3349|USA|||  ||HETRICK, CATHERINE|406-862-8000|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|02/15/1994|0|0|0|0|0|0
San Francisco Regional Office| 106789|801-43351|KESTREL INVESTMENT MANAGEMENT CORP|KESTREL INVESTMENT MANAGEMENT CORP|411 BOREL AVENUE, STE 403||SAN MATEO CA 94402|USA|||  ||DAVID J. STEIRMAN|650-572-9450|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/17/1993|0|0|0|0|0|0
San Francisco Regional Office| 106801|801-39523|THE H GROUP, INC.|THE H GROUP, INC.|3395 SW GARDEN VIEW AVE||PORTLAND OR 97225|USA|||  ||SCOTT MAXWELL|(503) 292-5853|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/18/1991|0|0|0|0|0|0
San Francisco Regional Office| 106812|801-52176|SUMMIT CAPITAL MANAGEMENT LLC|SUMMIT CAPITAL MANAGEMENT LLC|600 UNIVERSITY STREET|SUITE 2304|SEATTLE WA 98101-4112|USA|||  ||LISA M BURKE|206-447-6200|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|06/11/1996|0|0|0|0|0|0
San Francisco Regional Office| 106823|801-44284|LEGACY CAPITAL MANAGEMENT INC|LEGACY CAPITAL MANAGEMENT INC|3741 DOUGLAS BLVD, STE 320||ROSEVILLE CA 95661|USA|||  ||JIM MCCARTHY|916-783-6200|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|08/18/1993|0|0|0|0|0|0
San Francisco Regional Office| 106903|801-35882|BUREKER & ASSOCIATES|BUREKER CHARLES RANDOLPH|289 CASTLE CREST ROAD||ALAMO CA 94507|USA|||  ||CHARLES RANDOLPH BUREKER|925-944-5554|Sole Proprietorship|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/16/1990|0|0|0|0|0|0
San Francisco Regional Office| 106964|801-48362|SCHULTZ COLLINS LAWSON CHAMBERS|SCHULTZ COLLINS LAWSON CHAMBERS INC|455 MARKET STREET|SUITE 1450|SAN FRANCISCO CA 94105-2420|USA|||  ||LAWSON, KRISTOR J.|(415) 291-3003|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters, Other|APPROVED|01/03/1995|0|0|0|0|0|0
San Francisco Regional Office| 106985|801-49080|STANDARD PACIFIC CAPITAL LLC|STANDARD PACIFIC CAPITAL LLC|101 CALIFORNIA STREET, 36TH FL||SAN FRANCISCO CA 94111|USA|||  ||ROBERT J. HORVATH|415-439-7416|Limited Liability Company|Other|APPROVED|04/28/1995|0|1|0|0|0|0
San Francisco Regional Office| 106990|801-44406|REGENCY INVESTMENT ADVISORS INC|REGENCY INVESTMENT ADVISORS INC|970 W ALLUVIAL, STE 115||FRESNO CA 93711|USA|970 W ALLUVIAL, STE 115||FRESNO CA 93711|USA|DECK, MARCI L.|559-438-2640|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/27/1993|0|0|0|0|0|0
San Francisco Regional Office| 107031|801-38935|PAUL CAPITAL PARTNERS|PAUL PARTNERS LP|50 CALIFORNIA STREET STE 3000||SAN FRANCISCO CA 94111|USA|||  ||JACQUELINE BATTISTA|646-264-1176|Partnership|Other|APPROVED|05/30/1991|0|0|0|0|0|0
San Francisco Regional Office| 107033|801-43915|FULLER & THALER ASSET MANAGEMENT INC|FULLER & THALER ASSET MANAGEMENT INC|411 BOREL AVENUE|SUITE 300|SAN MATEO CA 94402|USA|||  ||HANNA WOO ZANONI|650-931-1512|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/13/1993|0|0|0|0|0|0
San Francisco Regional Office| 107049|801-9747|LATEEF INVESTMENT MANAGEMENT, LP.|LATEEF INVESTMENT MANAGEMENT, LP.|300 DRAKES LANDING ROAD|SUITE #100|GREENBRAE CA 94904-3123|USA|||  ||JUSTUS H. LEACHMAN|(415) 461-3800|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/16/1974|0|1|0|0|0|0
San Francisco Regional Office| 107087|801-50128|PAUL CAPITAL PARTNERS|PAUL CAPITAL MANAGEMENT LLC|50 CALIFORNIA STREET #3000||SAN FRANCISCO CA 94111|USA|||  ||JACQUELINE BATTISTA|646-264-1176|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|09/14/1995|0|0|0|0|0|0
San Francisco Regional Office| 107088|801-47813|PAUL CAPITAL PARTNERS|PHILIP S PAUL & ASSOCIATES LP|50 CALIFORNIA STREET,SUITE 3000||SAN FRANCISCO CA 94111|USA|||  ||JACQUELINE BATTISTA|646-264-1176|Partnership|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|10/01/1994|0|0|0|0|0|0
San Francisco Regional Office| 107103|801-24483|STERLING JOHNSTON CAPITAL MANAGEMENT, L.P|STERLING JOHNSTON CAPITAL MANAGEMENT, L.P.|50 CALIFORNIA STREET|SUITE 3325|SAN FRANCISCO CA 94111|USA|||  ||SCOTT STERLING JOHNSTON|(415) 477-2300|Partnership|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/28/1985|0|0|0|0|0|0
San Francisco Regional Office| 107125|801-43327|WINANS INTERNATIONAL|WINANS INTERNATIONAL|330 IGNACIO BLVD., SUITE 203||NOVATO CA 94949|USA|||  ||BLAIR,KAREN LYNN|(415)506-3072|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/17/1993|0|0|0|0|0|0
San Francisco Regional Office| 107166|801-40910|DIXON FINANCIAL SERVICES|DIXON FINANCIAL SERVICES INC|875 LAS TRAMPAS ROAD||LAFAYETTE CA 94549|USA|||  ||DIXON, MICHAEL A|925-283-3104|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/25/1992|0|0|0|0|0|0
San Francisco Regional Office| 107175|801-53149|BERKSHIRE CAPITAL HOLDINGS INC|BERKSHIRE CAPITAL HOLDINGS INC|475 MILAN DRIVE, SUITE 103||SAN JOSE CA 95134|USA|||  ||FOBES, MALCOLM RANDALL|(408)324-0707|Corporation|Portfolio management for investment companies|APPROVED|10/30/1996|0|0|0|0|0|0
San Francisco Regional Office| 107180|801-34623|STRATEGIC WEALTH MANAGEMENT INC|STRATEGIC WEALTH MANAGEMENT INC|7900 SE 28TH STREET, FIFTH FLOOR||MERCER ISLAND WA 98040|USA|||  ||SIZEMORE, PATRICK L.|206-288-4100|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|07/14/1989|0|1|1|0|0|0
San Francisco Regional Office| 107205|801-50676|VAN WAGONER CAPITAL MANAGEMENT INC|VAN WAGONER CAPITAL MANAGEMENT INC|3 EMBARCADERO CTR., SUITE 1120||SAN FRANICISCO CA 94111|USA|||  ||GARRETT VAN WAGONER|(415) 835-5000|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|11/28/1995|0|1|0|0|0|0
San Francisco Regional Office| 107213|801-54850|ENSEMBLE CAPITAL MANAGEMENT, LLC|ENSEMBLE CAPITAL MANAGEMENT, LLC|1350 OLD BAYSHORE HIGHWAY|SUITE 550|BURLINGAME CA 94010|USA|||  ||SEAN STANNARD-STOCKTON|650/696-1240|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|08/28/1997|0|1|0|0|0|0
San Francisco Regional Office| 107214|801-46131|WENTWORTH, HAUSER AND VIOLICH, INC.|WENTWORTH, HAUSER AND VIOLICH, INC.|301 BATTERY STREET|SUITE 400|SAN FRANCISCO CA 94111-3203|USA|||  ||BRADFORD HALL|415-981-6911|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/29/1994|0|0|0|0|0|0
San Francisco Regional Office| 107216|801-39912|WHELAN CAPITAL MANAGEMENT, INC.|WHELAN CAPITAL MANAGEMENT, INC.|261 HAMILTON AVENUE|SUITE 200|PALO ALTO CA 94301|USA|||  ||FIORETTI, ADRIENNE|650-833-7880|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/16/1991|0|0|0|0|0|0
San Francisco Regional Office| 107227|801-40071|WHELAN FINANCIAL|WHELAN VINCENT JOSEPH|735 WEST ALLUVIAL AVE. #101||FRESNO CA 93711|USA|||  ||ANN HANSON|559-228-8002|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|10/28/1991|0|0|0|0|0|0
San Francisco Regional Office| 107242|801-49716|AMERISTOCK CORPORATION|AMERISTOCK CORPORATION|1320 HARBOR BAY PARKWAY STE 145||ALAMEDA CA 94502|USA|||  ||HOWARD MAH|510-522-3336|Corporation|Portfolio management for investment companies|APPROVED|07/21/1995|0|0|0|0|0|0
San Francisco Regional Office| 107292|801-47450|CRESCENT CAPITAL MANAGEMENT CO|CRESCENT CAPITAL MANAGEMENT CO|1581 BAKER AVE. SUITE B||WHITEFISH MT 59937|USA|||  ||JOHN|406-863-9593|Corporation|Portfolio management for individuals and/or small businesses, Other|APPROVED|09/16/1994|0|0|0|0|0|0
San Francisco Regional Office| 107314|801-38364|PREMIER FINANCIAL GROUP INC|PREMIER FINANCIAL GROUP INC|725 SIXTH STREET||EUREKA CA 95501-1103|USA|||  ||WAYNE OLIVER CALDWELL|(707) 443-2741|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|01/10/1991|0|0|0|0|0|0
San Francisco Regional Office| 107322|801-51763|FARALLON CAPITAL MANAGEMENT, L.L.C.|FARALLON CAPITAL MANAGEMENT, L.L.C.|ONE MARITIME PLAZA|SUITE 2100|SAN FRANCISCO CA 94111|USA|||  ||MARK C. WEHRLY|415-421-2132|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|04/01/1996|0|0|0|0|0|0
San Francisco Regional Office| 107326|801-57272|BEDELL INVESTMENT COUNSELLING LLC|BEDELL INVESTMENT COUNSELLING LLC|200 PRINGLE AVE STE 450||WALNUT CREEK CA 94596|USA|||  ||RISA PETERSON|925 932 0344|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|02/18/2000|0|0|0|0|0|0
San Francisco Regional Office| 107331|801-13839|DOWSE SECURITIES MANAGEMENT CORP|DOWSE SECURITIES MANAGEMENT CORP|1303 JEFFERSON STREET, STE. 400A||NAPA CA 94559|USA|P.O. BOX 5090||NAPA CA 94581-0090|USA|MARY LOU LEWIS|707-224-7546|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|05/23/1978|0|0|0|0|0|0
San Francisco Regional Office| 107341|801-36445|WETHERBY ASSET MANAGEMENT|WETHERBY ASSET MANAGEMENT|417 MONTGOMERY ST|3RD FLOOR|SAN FRANCISCO CA 94104|USA|||  ||STEVE JANOWSKY|415-399-9159|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|04/27/1990|0|0|0|0|0|0
San Francisco Regional Office| 107342|801-29362|FISHER INVESTMENTS|FISHER ASSET MANAGEMENT, LLC|13100 SKYLINE BLVD.||WOODSIDE CA 94062-4527|USA|||  ||TOM FISHEL|650-851-3334|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/26/1987|0|0|0|0|0|0
San Francisco Regional Office| 107382|801-48599|ADELANTE CAPITAL MANAGEMENT LLC|ADELANTE CAPITAL MANAGEMENT LLC|555 12TH STREET|SUITE 2100|OAKLAND CA 94607-4046|USA|||  ||MARK HOOPES|510-986-2126|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/03/1995|0|0|0|0|0|0
San Francisco Regional Office| 107419|801-17842|STEVENSON CAPITAL MANAGEMENT, INC.|STEVENSON CAPITAL MANAGEMENT, INC.|19925 STEVENS CREEK BLVD||CUPERTINO CA 95014|USA|||  ||WARREN JACKSON|408-973-7849|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/29/1982|0|0|0|0|0|0
San Francisco Regional Office| 107438|801-46570|SOUND INVESTMENT MANAGEMENT INC|SOUND INVESTMENT MANAGEMENT INC|8215 TUALATIN SHERWOOD ROAD, SUITE 200||TUALATIN OR 97062|USA|||  ||MARK CHILD|703-761-6764|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/26/1994|0|0|0|0|0|0
San Francisco Regional Office| 107442|801-45196|GARLAND INVESTMENT MANAGEMENT INC.|GARLAND INVESTMENT MANAGEMENT, INC.|920 COUNTRY CLUB DRIVE, SUITE 2B||MORAGA CA 94556|USA|POST OFFICE BOX 156||MORAGA CA 94556-0156|USA|SANDI NEWTON|9253761815|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/17/1993|0|0|0|0|0|0
San Francisco Regional Office| 107474|801-36921|RITTER WEALTH COUNSEL|RITTER BRUCE CHARLES|25 MITCHELL BLVD, STE 1||SAN RAFAEL CA 94903|USA|||  ||BRUCE RITTER|415-479-3525|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/09/1990|0|0|0|0|0|0
San Francisco Regional Office| 107475|801-49160|FREDERIC T. KUTSCHER ASSOCIATES,INC.|FREDERIC T. KUTSCHER ASSOCIATES,INC.|705 SECOND AVENUE, SUITE 800||SEATTLE WA 98104|USA|||  ||SCOTT RHODES|206-382-4414|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|06/16/1995|0|0|0|0|0|0
San Francisco Regional Office| 107491|801-37257|BEDDOW CAPITAL MANAGEMENT INC|BEDDOW CAPITAL MANAGEMENT INC|250 HEALDSBURG AVENUE, SUITE 202||HEALDSBURG CA 95448-4128|USA|||  ||EDWARD G. BEDDOW|707-431-0700|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|08/30/1990|0|0|0|0|0|0
San Francisco Regional Office| 107493|801-35176|SWEETWATER INVESTMENTS INC|SWEETWATER INVESTMENTS INC|16398 NE 85TH STREET|SUITE #201|REDMOND WA 98052|USA|P. O. BOX 2740||REDMOND WA 98073|USA|DENNIS R. GIBB|425.861.0112|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|09/14/1989|0|0|0|0|0|0
San Francisco Regional Office| 107501|801-41657|AVALON CAPITAL MANAGEMENT|RAHN DAVID R & ASSOCIATES INC|495 SEAPORT COURT STE 106||PORT OF REDWOOD CITY CA 94063-2785|USA|||  ||WILLIAM OBERMAN|650/306-1500|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/04/1992|0|0|0|0|0|0
San Francisco Regional Office| 107530|801-45534|FIRSTHAND CAPITAL MANAGEMENT,INC.|FIRSTHAND CAPITAL MANAGEMENT,INC.|125 SOUTH MARKET|SUITE 1200|SAN JOSE CA 95113-2288|USA|||  ||KELVIN K. LEUNG|408-521-4138|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/04/1994|0|0|0|0|0|0
San Francisco Regional Office| 107561|801-43024|DIVERSIFIED FINANCIAL|DELURGIO NICHOLAS DAVID|108 WHISPERING PINES DR STE 130||SCOTTS VALLEY CA 95066-4785|USA|||  ||NICHOLAS DAVID DELURGIO|831-438-7223|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|01/27/1993|0|0|0|0|0|0
San Francisco Regional Office| 107602|801-52394|ALTOS FINANCIAL MANAGEMENT, LLC|ALTOS FINANCIAL MANAGEMENT LLC|4100 MOORPARK AVE|STE 104|SAN JOSE CA 95117|USA|||  ||DAVID HILDRETH|408 249-7881|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/18/1996|0|0|0|0|0|0
San Francisco Regional Office| 107611|801-50916|LITMAN/GREGORY ASSET MANAGEMENT, LLC|LITMAN/GREGORY ASSET MANAGEMENT, LLC|100 LARKSPUR LANDING CIRCLE|SUITE 204|LARKSPUR CA 94939-1700|USA|||  ||CRAIG LITMAN|415/461-8999|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|12/29/1995|0|0|0|0|0|0
San Francisco Regional Office| 107632|801-56205|BUSH POLEN & ASSOCIATES INC|BUSH POLEN & ASSOCIATES INC|7282 STINSON AVE NW STE A||GIG HARBOR WA 98335|USA|P.O. BOX 1326||GIG HARBOR WA 98335|USA|CRAIG A. POLEN|253-851-9162|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/26/1999|0|0|0|0|0|0
San Francisco Regional Office| 107638|801-37511|LODESTAR PRIVATE ASSET MANAGEMENT LLC|LODESTAR PRIVATE ASSET MANAGEMENT LLC|3201 DANVILLE BLVD|SUITE 275|ALAMO CA 94507|USA|||  ||RANDALL L. MANLEY|925-838-1234|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|10/11/1990|0|0|0|0|0|0
San Francisco Regional Office| 107674|801-12012|JACOBS & CO|JACOBS & CO|595 MARKET STREET|SUITE 1140|SAN FRANCISCO CA 94105|USA|||  ||THOMAS NEWMEYER|415-777-1617|Partnership|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|09/01/1976|0|0|0|0|0|0
San Francisco Regional Office| 107680|801-33673|PRIME ADVISORS INC|PRIME ADVISORS INC|22635 MARKET PLACE DRIVE|SUITE 160|REDMOND WA 98053|USA|||  ||VINCENT R. MCDONOUGH|425-202-2000|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/13/1989|0|0|0|0|0|0
San Francisco Regional Office| 107687|801-9219|CALLAN ASSOCIATES INC.|CALLAN ASSOCIATES INC.|101 CALIFORNIA STREET|SUITE 3500|SAN FRANCISCO CA 94111-5802|USA|||  ||SUSAN L. TAYLOR-HAMBLY|415-974-5060|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|04/16/1973|0|1|0|0|0|0
San Francisco Regional Office| 107753|801-36203|THE SPANGLER GROUP, INC.|THE SPANGLER GROUP, INC.|2802 TENTH AVE EAST||SEATTLE WA 98102|USA|||  ||MARK SPANGLER|206-720-6114|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|03/15/1990|0|0|0|0|0|0
San Francisco Regional Office| 107777|801-32066|PORTFOLIO 21 INVESTMENTS, INC|PORTFOLIO 21 INVESTMENTS, INC|721 NW 9TH AVE., SUITE 250||PORTLAND OR 97209|USA|||  ||JUNE MILLER|503-224-7828-EXT 331|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/28/1988|0|0|0|0|0|0
San Francisco Regional Office| 107784|801-56071|NORTHSIDE CAPITAL MANAGEMENT LLC|NORTHSIDE CAPITAL MANAGEMENT LLC|116 3RD STREET, SUITE 313||HOOD RIVER OR 97031|USA|||  ||JOHN H. PHILLIPS|541.387-2545|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|12/07/1998|0|0|0|0|0|0
San Francisco Regional Office| 107785|801-57032|AVALON GLOBAL ASSET MANAGEMENT LLC|AVALON GLOBAL ASSET MANAGEMENT LLC|425 MARKET STREET|STE 900|SAN FRANCISCO CA 94105|USA|||  ||KATHLEEN BEN|415/615-5206|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/01/1999|0|0|0|0|0|0
San Francisco Regional Office| 107793|801-56669|VISION CAPITAL MANAGEMENT INC|VISION CAPITAL MANAGEMENT, INC.|ONE SW COLUMBIA|SUITE 915|PORTLAND OR 97258|USA|||  ||MARINA JOHNSON|503-221-5656|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/09/1999|0|0|0|0|0|0
San Francisco Regional Office| 107810|801-56974|PACIFIC INVESTMENT ADVISORS LLC|PACIFIC INVESTMENT ADVISORS LLC|1211 SW FIFTH AVE|STE 1050|PORTLAND OR 97204|USA|||  ||DAVID REICHLE|503-221-7566|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|11/23/1999|0|0|0|0|0|0
San Francisco Regional Office| 107829|801-16254|PERSONAL INVESTMENT MANAGEMENT INC|PERSONAL INVESTMENT MANAGEMENT INC|14450 NE 29TH PLACE|SUITE 225|BELLEVUE WA 98007-3697|USA|||  ||DENNIS H. VOGT|425-883-7990|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|08/07/1981|0|0|0|0|0|0
San Francisco Regional Office| 107837|801-19695|STRATEGIC ADVISORY SERVICES INC|STRATEGIC ADVISORY SERVICES INC|#3 ALTARINDA ROAD, STE 205||ORINDA CA 94563|USA|||  ||PAUL GIRE|925-254-9677|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Market timing services|APPROVED|05/03/1984|0|0|0|0|0|0
San Francisco Regional Office| 107863|801-56915|PARAGON ASSET MANAGEMENT INC.|PARAGON ASSET MANAGEMENT INC.|2 THEATRE SQUARE, SUITE 217||ORINDA CA 94563|USA|||  ||EUGENE CHOW|510-550-7288|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/15/1999|0|0|0|0|0|0
San Francisco Regional Office| 107869|801-39191|PARAGON INVESTMENT MANAGEMENT INC|PARAGON INVESTMENT MANAGEMENT INC|1420 5TH STREET|SUITE 3020|SEATTLE WA 98101|USA|||  ||MARJANNE K. MASTERMAN|206-583-8300|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|06/27/1991|0|0|0|0|0|0
San Francisco Regional Office| 107888|801-24230|DOLAN CAPITAL MANAGEMENT|DOLAN CAPITAL MANAGEMENT|635 BRYANT STREET||PALO ALTO CA 94301-2502|USA|||  ||JOHN K. DOLAN|650-327-8100|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/22/1985|0|0|0|0|0|0
San Francisco Regional Office| 107892|801-52116|CORE LLC|CORE LLC|108 CALEDONIA STREET||SAUSALITO CA 94965|USA|PO BOX 1629||SAUSALITO CA 94966||JOHN MAYBERRY|415 332 2000|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/29/1996|0|0|0|0|0|0
San Francisco Regional Office| 107903|801-49266|COHEN CAPITAL MANAGEMENT INC|COHEN CAPITAL MANAGEMENT INC|21 TAMAL VISTA BLVD, STE 245||CORTE MADERA CA 94925|USA|||  ||JAY COHEN|415-927-6700|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/05/1995|0|0|0|0|0|0
San Francisco Regional Office| 107905|801-46109|FINANCIAL DESIGN ASSOCIATES INC|FINANCIAL DESIGN ASSOCIATES INC|3455 SHORELINE HWY||STINSON BEACH CA 94970|USA|P.O. BOX 746||STINSON BEACH CA 94970|USA|ALBERT L COLES, JR.|415-868-2160|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|03/01/1994|0|1|0|0|0|0
San Francisco Regional Office| 107909|801-47001|P.I.M., INC.|P.I.M., INC.|1420 FIFTH AVENUE|SUITE 3020|SEATTLE WA 98101|USA|||  ||SHARI JENE BURNS|206-583-8300|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|08/15/1994|0|0|0|0|0|0
San Francisco Regional Office| 107914|801-55396|PALADIN INVESTMENT LLC|PALADIN INVESTMENT LLC|4640 SOMERSET PL SE||BELLEVUE WA 98006|USA|||  ||ROBERT P PORTER|425-747-8301|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/31/1998|0|0|0|0|0|0
San Francisco Regional Office| 107918|801-54886|PEAK INVESTMENT MANAGEMENT|PEAK INVESTMENT MANAGEMENT, LTD.|111 NORTH HIGGINS AVENUE|SUITE 200|MISSOULA MT 59802|USA|||  ||JESSICA EISSINGER|406-523-3845|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/16/1997|0|0|0|0|0|0
San Francisco Regional Office| 107920|801-56570|INSTITUTIONAL PROPERTY CONSULTANTS LLC|INSTITUTIONAL PROPERTY CONSULTANTS LLC|CENTRAL OFFICE BUILDING|15 OREGON AVENUE, SUITE 307|TACOMA WA 98409-1403|USA|||  ||LAURA HUNTINGTON|253-582-3424|Limited Liability Company|Pension consulting services|APPROVED|06/25/1999|0|0|0|0|0|0
San Francisco Regional Office| 107953|801-56301|NORTHWEST INVESTMENT COUNSELORS LLC|NORTHWEST INVESTMENT COUNSELORS LLC|340 OSWEGO POINTE DRIVE, SUITE 104||LAKE OSWEGO OR 97034|USA|||  ||MATTHEW J.N. ROEHR|800-685-7884|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/18/1999|1|0|0|0|0|0
San Francisco Regional Office| 107977|801-56220|DSS ADVISORS LLC|DSS ADVISORS LLC|2000 POWELL STREET|SUITE 1240|EMERYVILLE CA 94608|USA|||  ||KENNETH E. NITZBERG|(510)450-1300|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/19/1999|0|0|0|0|0|0
San Francisco Regional Office| 107980|801-55757|AUXIER ASSET MANAGEMENT|AUXIER ASSET MANAGEMENT LLC|5000 SW MEADOWS ROAD,SUITE 410||LAKE OSWEGO OR 97035|USA|||  ||LILLIAN WALKER|(503)885-8807|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|07/01/1998|0|0|0|0|0|0
San Francisco Regional Office| 107985|801-55480|JAMES H. DENNING|DENNING JAMES HARLAN|10236 N GIBSON RD||HAYDEN LAKE ID 83835-9567|USA|||  ||JAMES DENNING|208-772-0232|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|05/04/1998|0|0|0|0|0|0
San Francisco Regional Office| 107995|801-55473|LEHRER MANAGEMENT CO INC|LEHRER MANAGEMENT CO INC|20400 STEVENS CREEK BLVD., SUITE 230||CUPERTINO CA 95014|USA|||  ||JONATHAN RILEY|408-996-3390|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|04/01/1998|0|0|0|0|0|0
San Francisco Regional Office| 108011|801-57078|RA BENCH, INC|RA BENCH INC.|1301 5TH AVE|SUITE 3525|SEATTLE WA 98101|USA|||  ||RICK EGAN|206-682-7803|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|12/30/1999|0|0|0|0|0|0
San Francisco Regional Office| 108027|801-55619|DECAMILLA CAPITAL MANAGEMENT INC|DECAMILLA CAPITAL MANAGEMENT INC|3600 AMERICAN RIVER DR|STE 230|SACRAMENTO CA 95864|USA|||  ||STEVEN J. BALFREY|916-979-0870|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|06/17/1998|0|0|1|0|0|0
San Francisco Regional Office| 108052|801-57727|CAPITAL PERFORMANCE ADVISORS LLP|CAPITAL PERFORMANCE ADVISORS LLP|165 LENNON LANE|SUITE 200|WALNUT CREEK CA 94598|USA|P.O. BOX 30307||WALNUT CREEK CA 94598|USA|SHERMAN L. DOLL|925.938.5188|Limited Liability Partnership|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/10/2000|0|0|0|0|0|0
San Francisco Regional Office| 108063|801-56472|PILLAR PACIFIC CAPITAL MANAGEMENT LLC|PILLAR PACIFIC CAPITAL MANAGEMENT LLC|333 GELLERT BLVD|STE 121|DALY CITY CA 94015|USA|||  ||CRAIG A MACLEOD|650-758-0134|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/23/1999|0|0|0|0|0|0
San Francisco Regional Office| 108066|801-57783|KLINE SYLVAN H JR INC|KLINE SYLVAN H JR INC|222 KEARNY ST|STE 604|SAN FRANCISCO CA 94108-4510|USA|||  ||SYLVAN H. KLINE, JR.|(415) 397-4949|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/07/2000|0|0|0|0|0|0
San Francisco Regional Office| 108089|801-57631|EAGLE HARBOR ASSET MANAGEMENT, INC.|EAGLE HARBOR ASSET MANAGEMENT INC|271 MADISON AVE SOUTH|SUITE 202|BAINBRIDGE ISLAND WA 98110|USA|||  ||MARK A. BYL|206-224-4101|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/24/2000|0|0|0|0|0|0
San Francisco Regional Office| 108091|801-56420|NORTHWEST CAPITAL MANAGEMENT INC|NORTHWEST CAPITAL MANAGEMENT INC|12511 SW 68TH AVENUE||PORTLAND OR 97223|USA|||  ||FRED PAYNE|503-597-1621|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|05/14/1999|0|0|0|0|0|0
San Francisco Regional Office| 108100|801-56319|OSBORNE PARTNERS|OSBORNE PARTNERS CAPITAL MANAGEMENT LLC|580 CALIFORNIA ST|STE 1900|SAN FRANCISCO CA 94104|USA|||  ||SHANNON LEMON|(415) 627-0737|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/15/1999|0|0|0|0|0|0
San Francisco Regional Office| 108102|801-55385|FAIRVIEW CAPITAL|FAIRVIEW CAPITAL INVESTMENT MANAGEMENT, LLC|300 DRAKE'S LANDING ROAD|SUITE 250|GREENBRAE CA 94904-2498|USA|||  ||ANDREW F. MATHIESON|(415) 464-4640|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/24/1998|0|0|0|0|0|0
San Francisco Regional Office| 108110|801-56848|ADVISORY GROUP OF SAN FRANCISCO LLC|ADVISORY GROUP OF SAN FRANCISCO LLC|44 MONTGOMERY ST. SUITE 2410||SAN FRANCISCO CA 94104|USA|||  ||NAOMI RAMSDEN|415-977-1200|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|09/27/1999|0|0|0|0|0|0
San Francisco Regional Office| 108134|801-56846|STAFFORD CAPITAL MANAGEMENT LLC|STAFFORD CAPITAL MANAGEMENT LLC|TWO EMBARCADERO CENTER STE 1340||SAN FRANCISCO CA 94111|USA|||  ||GREGORY W. BROWNE|415-362-6120|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|09/23/1999|0|0|0|0|0|0
San Francisco Regional Office| 108138|801-55026|ADVISORY SERVICES & INVESTMENTS, LLC|ADVISORY SERVICES & INVESTMENTS, LLC|15 SW COLORADO|SUITE 280|BEND OR 97702-1129|USA|||  ||SUE STUDWELL|541-617-0898|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|11/06/1997|0|0|0|0|0|0
San Francisco Regional Office| 108146|801-56358|POTOMAC INVESTMENTS, INC.|POTOMAC INVESTMENTS, INC.|600 UNIVERSITY STREET|SUITE 1901|SEATTLE WA 98101|USA|||  ||JOSEPH PERRY|(206) 622-1210|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|03/22/1999|0|0|0|0|0|0
San Francisco Regional Office| 108155|801-57583|LAKESIDE CAPITAL MANAGEMENT LLC|LAKESIDE CAPITAL MANAGEMENT LLC|4314 E. MADISON STREET||SEATTLE WA 98112|USA|||  ||A. DOUGLAS JOHNSON|206-324-2600 (12)|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|05/05/2000|0|0|1|0|0|0
San Francisco Regional Office| 108157|801-56433|LAURA J. BOXER, REGISTERED INVESTMENT ADVISORS|BOXER LAURA JUDITH|7564 TERRACE DRIVE||EL CERRITO CA 94530|USA|||  ||LAURA J. BOXER|510-525-7835|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/13/1999|0|0|0|0|0|0
San Francisco Regional Office| 108182|801-55438|GARLAND CAPITAL MANAGEMENT INC|GARLAND CAPITAL MANAGEMENT INC|500 108TH AVENUE NE, SUITE 800||BELLEVUE WA 98004-5060|USA|||  ||KIM MATHIS-DOUMIS|425-646-7366|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|04/15/1998|0|0|0|0|0|0
San Francisco Regional Office| 108190|801-13556|RAYNER & HAYNOR|RAYNER & HAYNOR|655 REDWOOD HWY, SUITE 370||MILL VALLEY CA 94941-3057|USA|||  ||CHARLES M. HAYNOR|415-332-7433|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/16/1977|0|0|0|0|0|0
San Francisco Regional Office| 108223|801-35653|BEACON ALTERNATIVE STRATEGIES LLC|BEACON ALTERNATIVE STRATEGIES LLC|121 SW MORRISON ST. STE 450||PORTLAND OR 97204|USA|||  ||BRYANT JAKSIC|503-227-6800|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|12/22/1989|0|0|0|0|0|0
San Francisco Regional Office| 108275|801-60164|PETTIGREW FINANCIAL CORPORATION|PETTIGREW FINANCIAL CORPORATION|560 KEVINGTON COURT||SACRAMENTO CA 95864|USA|||  ||ROBERT P MOSER|916-481-1554|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|04/05/2001|0|0|0|0|0|0
San Francisco Regional Office| 108298|801-39897|SILVER OAK ADVISORY GROUP|SILVER OAK ADVISORY GROUP, INC.|1130 SW MORRISON ST|STE 610|PORTLAND OR 97205|USA|||  ||DEBORAH L. THOMAS|503-242-1715|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/13/1991|0|1|0|0|0|0
San Francisco Regional Office| 108328|801-56671|EMERITUS INVESTMENT MANAGEMENT, INC.|EMERITUS INVESTMENT MANAGEMENT, INC.|254 MILLER AVENUE||MILL VALLEY CA 94941|USA|||  ||BARBARA S. GILLIARD|415-388-3830|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|07/09/1999|0|0|0|0|0|0
San Francisco Regional Office| 108358|801-60041|MPM BIO EQUITIES ADVISER, LLC|MPM BIO EQUITIES ADVISER, LLC|601 GATEWAY BOULEVARD|SUITE 350|SOUTH SAN FRANCISCO CA 94080|USA|601 GATEWAY BOULEVARD|SUITE 350|SOUTH SAN FRANCISCO CA 94080|USA|ROBERT W. LIPTAK|617-425-9200|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/12/2001|0|0|0|0|0|0
San Francisco Regional Office| 108359|801-47325|NORTHWEST INVESTMENT CONSULTING, INC.|NORTHWEST INVESTMENT CONSULTING, INC.|5446 CALIFORNIA AVE SW|STE 200|SEATTLE WA 98136-1531|USA|||  ||RICK S. HOWELL|(206) 933-1500|Corporation|Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|08/24/1994|0|0|0|0|0|0
San Francisco Regional Office| 108383|801-56417|BELL INVESTMENT ADVISORS INC|BELL INVESTMENT ADVISORS INC|1111 BROADWAY|SUITE 1630|OAKLAND CA 94607-4036|USA|||  ||JAMES F. BELL, CFP|(510) 433-1066|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|04/12/1999|0|1|0|0|0|0
San Francisco Regional Office| 108392|801-9075|BADGLEY, PHELPS AND BELL, INC.|BADGLEY, PHELPS AND BELL, INC.|1420 FIFTH AVENUE|SUITE 3200|SEATTLE WA 98101-2349|USA|||  ||LISA P. GUZMAN|206-623-6172|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/01/1973|0|0|0|0|0|0
San Francisco Regional Office| 108405|801-55010|MAZAMA CAPITAL MANAGEMENT INC|MAZAMA CAPITAL MANAGEMENT INC|ONE SW COLUMBIA ST|STE 1500|PORTLAND OR 97258|USA|||  ||BRIAN ALFREY|503-944-6245|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/04/1997|0|0|0|0|0|0
San Francisco Regional Office| 108407|801-57796|WATERMARK ASSET MANAGEMENT, INC.|WATERMARK ASSET MANAGEMENT, INC.|4115 BLACKHAWK PLAZA CIRCLE|STE 200|DANVILLE CA 94506|USA|||  ||MARK I. MILLER|925.648.4730|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|07/28/2000|0|0|0|0|0|0
San Francisco Regional Office| 108478|801-57705|PENNINGTON FINANCIAL GROUP|PENNINGTON FINANCIAL GROUP|11246 GOLD EXPRESS DRIVE|STE 102|GOLD RIVER CA 95670-4425|USA|||  ||PAUL C PENNINGTON|916-635-5858|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/05/2000|0|0|0|0|0|0
San Francisco Regional Office| 108494|801-55709|BARDIN FINANCIAL SERVICES|BARDIN FINANCIAL SERVICES INC|711 COURT STREET||JACKSON CA 95642|USA|||  ||CRAIG VANHULZEN|916-608-4284|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/30/1998|0|0|0|0|0|0
San Francisco Regional Office| 108518|801-54641|SNYDER CAPITAL MANAGEMENT LP|SNYDER CAPITAL MANAGEMENT LP|ONE MARKET PLAZA|STEUART TOWER, SUITE 1200|SAN FRANCISCO CA 94105|USA|||  ||SONJA L. COMMER|415-392-3900|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/03/1997|0|4|0|0|0|0
San Francisco Regional Office| 108531|801-55261|PRESIDIO WEALTH MANAGEMENT LLC|PRESIDIO WEALTH MANAGEMENT LLC|101 CALIFORNIA STREET 12TH FLOOR||SAN FRANCISCO CA 94111|USA|||  ||JEFFREY ZLOT|415-449-1049|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/19/1998|0|0|0|0|0|0
San Francisco Regional Office| 108538|801-56862|THIBEAULT FINANCIAL ADVISORY INC|THIBEAULT FINANCIAL ADVISORY INC|1364 LOWER SWEET GRASS ROAD||BIG TIMBER MT 59011|USA|||  ||BRETE THIBEAULT|406-932-6775|Corporation|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|10/08/1999|0|0|0|0|0|0
San Francisco Regional Office| 108542|801-56391|SKBA CAPITAL MANAGEMENT, LLC|SKBA CAPITAL MANAGEMENT, LLC|44 MONTGOMERY ST., SUITE 3500||SAN FRANCISCO CA 94104|USA|||  ||TASAWALEE SUVUNNACHUEN|415-989-7852|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|04/02/1999|0|0|0|0|0|0
San Francisco Regional Office| 108559|801-56293|FIRST REPUBLIC INVESTMENT MANAGEMENT, INC.|FIRST REPUBLIC INVESTMENT MANAGEMENT, INC.|388 MARKET STREET|5TH FLOOR|SAN FRANCISCO CA 94111-5602|USA|111 PINE ST.|7TH FLOOR|SAN FRANCISCO CA 94111-5602|USA|CHARLES ANTHONY CHRISTOFILIS|415-296-5727|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/23/1999|0|0|1|0|0|0
San Francisco Regional Office| 108592|801-57237|BLUE OAK CAPITAL LLC|BLUE OAK CAPITAL LLC|2600 EL CAMINO REAL, SUITE 415||PALO ALTO CA 94306|USA|||  ||THOMAS A. BAKER|650-251-9595|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|02/25/2000|0|1|0|0|0|0
San Francisco Regional Office| 108595|801-55830|CHARLES RAVEN CAPITAL MANAGEMENT CO|CHARLES RAVEN CAPITAL MANAGEMENT CO|101 MONTGOMERY STREET|28TH FLOOR|SAN FRANCISCO CA 94104|USA|||  ||CHARLES H. RAVEN|415-217-3261|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/26/1998|0|0|0|0|0|0
San Francisco Regional Office| 108601|801-57087|BRIGHTON JONES LLC|BRIGHTON JONES LLC|506 2ND AVE|SUITE 1800|SEATTLE WA 98104|USA|||  ||ALAN SPRAGINS|206-329-5546|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|01/03/2000|0|0|0|0|0|0
San Francisco Regional Office| 108632|801-60067|MARK GILLAM ENTERPRISES|MARK GILLAM ENTERPRISES|8008 SACRAMENTO STREET||FAIR OAKS CA 95628|USA|||  ||TAMI L. CANDIANI|916-961-2200|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|03/08/2001|0|0|0|0|0|0
San Francisco Regional Office| 108685|801-56723|SIERRA ASSET MANAGEMENT|SAM ADVISORS, LLC|40061 HIGHWAY 49, SUITE 101||OAKHURST CA 93644-9560|USA|PO BOX 2389||OAKHURST CA 93644-2389|USA|ALAN R. GRAAS|559-658-5193|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|07/28/1999|0|0|0|0|0|0
San Francisco Regional Office| 108690|801-57556|GRASSI INVESTMENT MANAGEMENT, LLC|GRASSI INVESTMENT MANAGEMENT, LLC|1804 NORTH SHORELINE BLVD., SUITE 140||MOUNTAIN VIEW CA 94043|USA|||  ||PETER T. GRASSI|650-934-0770|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/11/2000|0|0|0|0|0|0
San Francisco Regional Office| 108696|801-56739|THOMAS WEISEL CAPITAL MANAGEMENT LLC|THOMAS WEISEL CAPITAL MANAGEMENT LLC|ONE MONTGOMERY STREET|SUITE 3700|SAN FRANCISCO CA 94104|USA|||  ||MARK FISHER|(415) 364-2500|Limited Liability Company|Other|APPROVED|06/10/1999|0|0|0|0|0|0
San Francisco Regional Office| 108728|801-55508|PACIFIC WEST FINANCIAL CONSULTANT INC|PACIFIC WEST FINANCIAL CONSULTANTS INC|ONE RENTON PLACE|555 S. RENTON VILLAGE PLACE, #700|RENTON WA 98057|USA|PO BOX 860||RENTON WA 98057|USA|ROD EHRLICH|425-271-3550|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|05/04/1998|1|9|3|0|0|0
San Francisco Regional Office| 108787|801-60095|VAN WAGONER MANAGEMENT LLC|VAN WAGONER MANAGEMENT LLC|755 SANSOME STREET|SUITE 350|SAN FRANCISCO CA 94111|USA|||  ||WILLIAM X. MINOR|415-835-5008|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/30/2001|0|1|0|0|0|0
San Francisco Regional Office| 108797|801-21624|FINANCIAL INSIGHTS INC|FINANCIAL INSIGHTS INC|3110 RUSTON WAY, SUITE C||TACOMA WA 98402|USA|||  ||TERRY LYNN LANG|253.627.6010|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|06/26/1984|0|0|0|0|0|0
San Francisco Regional Office| 108798|801-41518|AMERICAN BLUE CHIP INVESTMENT MANAGEMENT|MAZZON JUSTIN SPENCER|700 LARKSPUR LANDING CIRCLE|SUITE 199|LARKSPUR CA 94939|USA|||  ||JUSTIN S. MAZZON|(415) 464-4822|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/19/1992|0|1|0|0|0|0
San Francisco Regional Office| 108805|801-39379|COLDSTREAM CAPITAL MANAGEMENT INC|COLDSTREAM CAPITAL MANAGEMENT INC|ONE - 100TH AVENUE NE|SUITE 102|BELLEVUE WA 98004|USA|||  ||ERIKA E. YELLE|425-283-1600|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/23/1991|0|2|1|0|0|0
San Francisco Regional Office| 108810|801-40063|THE SAVANT GROUP|THE SAVANT GROUP|461 2ND STREET|SUITE 151|SAN FRANCISCO CA 94107|USA|||  ||CAROL BURKHART|(415) 543-9963|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|11/26/1991|0|0|0|0|0|0
San Francisco Regional Office| 108815|801-52507|PRIVATE ASSET MANAGEMENT INC|PRIVATE ASSET MANAGEMENT INC|411 108TH AVENUE NORTHEAST|SUITE 500|BELLEVUE WA 98004|USA|||  ||MICHAEL L. THAYER|425-213-1600|Corporation|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|07/26/1996|0|0|0|0|0|0
San Francisco Regional Office| 108834|801-57629|WRAPMANAGER INC|WRAPMANAGER INC|703 MARKET ST|18TH FLOOR|SAN FRANCISCO CA 94103|USA|||  ||GABRIEL F. BURCZYK|415-541-7774|Corporation|Portfolio management for individuals and/or small businesses, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|05/26/2000|0|0|0|0|0|0
San Francisco Regional Office| 108858|801-56292|SUN VALLEY GOLD LLC|SUN VALLEY GOLD LLC|620 SUN VALLEY RD||KETCHUM ID 83340|USA|P.O. BOX 2759||SUN VALLEY ID 83353|USA|LINDA J. KISH|208-726-2327|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/22/1999|0|0|0|0|0|0
San Francisco Regional Office| 108878|801-22677|PRESIDIO MANAGEMENT, LLC|PRESIDIO GEARY MANAGEMENT, LLC|44 MONTGOMERY STREET|SUITE 2110|SAN FRANCISCO CA 94104|USA|||  ||WILLIAM J. BRADY|415-433-0610|Limited Liability Company|Other|APPROVED|11/01/1984|0|0|0|0|0|0
San Francisco Regional Office| 108880|801-30048|BROUWER & JANACHOWSKI INCORPORATED|BROUWER & JANACHOWSKI INCORPORATED|1831 TIBURON BLVD||TIBURON CA 94920|USA|||  ||SUZANNE WILLIAMSON|415-435-8330|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|07/22/1987|0|0|0|0|0|0
San Francisco Regional Office| 108906|801-57202|FINANCIAL CONNECTIONS|FINANCIAL CONNECTIONS GROUP, INC.|21 TAMAL VISTA BLVD.|#105|CORTE MADERA CA 94925|USA|||  ||JILL HOLLANDER|415-924-1091|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|01/31/2000|0|0|0|0|0|0
San Francisco Regional Office| 108911|801-32487|HAHN CAPITAL MANAGEMENT, LLC|HAHN CAPITAL MANAGEMENT, LLC|601 MONTGOMERY STREET, SUITE 840||SAN FRANCISCO CA 94111|USA|||  ||ELAINE F. HAHN|415-394-6512|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/21/1988|0|0|0|0|0|0
San Francisco Regional Office| 108914|801-58112|VICKERMAN & DRISCOLL FINANCIAL ADVISORS,INC.|VICKERMAN & DRISCOLL FINANCIAL ADVISORS,INC.|108 N. WASHINGTON, SUITE 200||SPOKANE WA 99201|USA|||  ||KEVIN DRISCOLL|509-325-7610|Corporation|Other, Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|11/09/2000|0|0|0|0|0|0
San Francisco Regional Office| 108917|801-58074|MOSS ADAMS WEALTH ADVISORS LLC|MOSS ADAMS WEALTH ADVISORS LLC|999 THIRD AVE STE 2800||SEATTLE WA 98104|USA|||  ||GIDGET FURNESS|206-302-6719|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|10/26/2000|0|1|2|0|0|0
San Francisco Regional Office| 108959|801-57979|DBA NOTMAN FINANCIAL GROUP|JOHN SHAW NOTMAN|3133 WEST MARCH LANE|SUITE 2000|STOCKTON CA 95219|USA|||  ||KELLI PENNEY|209-955-5955|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Market timing services|APPROVED|09/26/2000|0|0|0|0|0|0
San Francisco Regional Office| 108962|801-56536|CASCADE INVESTMENT COUNSEL LLC|CASCADE INVESTMENT COUNSEL LLC|827 ALDER CREEK DRIVE|SUITE B|MEDFORD OR 97504|USA|||  ||DANA DIDERICKSEN|541-857-8551|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/19/1999|0|0|0|0|0|0
San Francisco Regional Office| 108970|801-56200|E*TRADE ASSET MANAGEMENT, INC.|E*TRADE ASSET MANAGEMENT, INC.|4500 BOHANNON DRIVE||MENLO PARK CA 94025|USA|||  ||TIMOTHY WILLIAMS|703-236-8234|Corporation|Portfolio management for investment companies|APPROVED|01/19/1999|0|0|2|0|0|0
San Francisco Regional Office| 108983|801-57809|HURLEY FINANCIAL GROUP, INC.|HURLEY FINANCIAL GROUP, INC.|111 SW 4TH STREET||CORVALLIS OR 97333|USA|||  ||DORANN A. HURLEY|(541) 757-2331|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|07/28/2000|0|0|0|0|0|0
San Francisco Regional Office| 108985|801-55896|CAPITAL ADVANTAGE, INC.|CAPITAL ADVANTAGE, INC.|3708 MT. DIABLO BLVD.,|SUITE 200|LAFAYETTE CA 94549-3612|USA|P. O. BOX 789||LAFAYETTE CA 94549-3612|USA|JOHN S. HAYMAN|(925) 299-1500|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|09/23/1998|0|0|0|0|0|0
San Francisco Regional Office| 109018|801-56323|GENWORTH FINANCIAL WEALTH MANAGEMENT, INC.|GENWORTH FINANCIAL WEALTH MANAGEMENT, INC.|2300 CONTRA COSTA BLVD|SUITE 600|PLEASANT HILL CA 94523-3967|USA|||  ||PHILIP MCKINLEY|818-528-3707|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/08/1999|0|4|1|0|0|0
San Francisco Regional Office| 109034|801-56517|GEMMER ASSET MANAGEMENT LLC|GEMMER ASSET MANAGEMENT LLC|1655 NORTH MAIN ST|SUITE 280|WALNUT CREEK CA 94596|USA|||  ||MARIO HERNANDEZ|925-933-3786|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/21/1999|0|0|0|0|0|0
San Francisco Regional Office| 109069|801-51717|ROI CAPITAL MANAGEMENT INC.|ROI CAPITAL MANAGEMENT INC|300 DRAKES LANDING ROAD|SUITE 175|GREENBRAE CA 94904|USA|||  ||MITCHELL J. SOBOLESKI|415-464-8023|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/16/1996|0|0|0|0|0|0
San Francisco Regional Office| 109077|801-56080|AXA ROSENBERG INVESTMENT MANAGEMENT LLC|AXA ROSENBERG INVESTMENT MANAGEMENT LLC|4 ORINDA WAY|BUILDING E|ORINDA CA 94563|USA|||  ||SARA DONALDSON|925-254-6464|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/18/1998|0|0|0|0|0|0
San Francisco Regional Office| 109088|801-58029|BITTERROOT CAPITAL ADVISORS LLC|BITTERROOT CAPITAL ADVISORS LLC|ONE EAST MAIN STREET|SUITE 201|BOZEMAN MT 59715|USA|||  ||ANDREW S. MARTZLOFF|406-556-8200|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|10/20/2000|0|0|0|0|0|0
San Francisco Regional Office| 109105|801-57876|GLIKMAN ASSOCIATES|GLIKMAN ASSOCIATES|55 SHAVER ST|SUITE 230|SAN RAFAEL CA 94901|USA|||  ||M. C. DUBOSCQ|415-456-0448|Partnership|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|08/22/2000|0|0|0|0|0|0
San Francisco Regional Office| 109146|801-31041|WOODMONT REALTY ADVISORS INC|WOODMONT REALTY ADVISORS INC|1050 RALSTON AVE||BELMONT CA 94002|USA|||  ||RONALD VINCENT GRANVILLE|650-592-3960|Corporation|Pension consulting services|APPROVED|12/04/1987|0|0|0|0|0|0
San Francisco Regional Office| 109168|801-57974|MARKETOCRACY CAPITAL MANAGEMENT LLC|MARKETOCRACY CAPITAL MANAGEMENT LLC|1200 PARK PLACE|SUITE 100|SAN MATEO CA 94403|USA|||  ||KENDRICK KAM|650-948-1216|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/29/2000|0|0|0|0|0|0
San Francisco Regional Office| 109171|801-58166|PALO ALTO INVESTORS, LLC|PALO ALTO INVESTORS, LLC|470 UNIVERSITY AVENUE||PALO ALTO CA 94301|USA|||  ||SCOTT R. SMITH|650-325-0772|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/05/2000|0|1|0|0|0|0
San Francisco Regional Office| 109190|801-54932|AMB CAPITAL PARTNERS, LLC|AMB CAPITAL PARTNERS, LLC|PIER 1, BAY 1||SAN FRANCISCO CA 94111|USA|||  ||ALISON HILL|(415) 394-9000|Limited Liability Company|Other|APPROVED|10/06/1997|0|0|0|0|0|0
San Francisco Regional Office| 109193|801-55746|FORWARD MANAGEMENT, LLC|FORWARD MANAGEMENT, LLC|433 CALIFORNIA ST||SAN FRANCISCO CA 94104|USA|||  ||JUDITH ROSENBERG|415-869-6340|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|08/14/1998|0|0|0|0|0|0
San Francisco Regional Office| 109194|801-54793|DAL INVESTMENT CO LLC|DAL INVESTMENT CO LLC|235 MONTGOMERY STREET, STE 1049||SAN FRANCISCO CA 94104|USA|||  ||BERNARD W. BURKE|415-986-7979|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters, Other|APPROVED|10/01/1997|0|0|0|0|0|0
San Francisco Regional Office| 109201|801-56357|NANCY C. NELSON & ASSOCIATES, INC.|NANCY C. NELSON & ASSOCIATES INC|5326 110TH AVENUE SW||OLYMPIA WA 98512|USA|||  ||NANCY C. NELSON|360-754-2663|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/01/1999|0|0|0|0|0|0
San Francisco Regional Office| 109209|801-55526|HOOVER INVESTMENT MANAGEMENT CO., LLC|HOOVER INVESTMENT MANAGEMENT CO., LLC|600 CALIFORNIA STREET|SUITE 550|SAN FRANCISCO CA 94108-2729|USA|||  ||BEVERLY HOFFMANN|415-489-4005|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/08/1998|0|0|0|0|0|0
San Francisco Regional Office| 109218|801-54733|CHINOOK CAPITAL MANAGEMENT LLC|CHINOOK CAPITAL MANAGEMENT LLC|4380 SW MACADAM AVE.|STE 250|PORTLAND OR 97239|USA|||  ||ROBERTA MONROE|503-228-1116|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/29/1997|0|1|0|0|0|0
San Francisco Regional Office| 109227|801-56359|BRISTLECONE ADVISORS LLC|BRISTLECONE ADVISORS LLC|1000 2ND AVENUE, SUITE 3110||SEATTLE WA 98104|USA|||  ||KEITH VERNON|(206) 674-8709|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|03/23/1999|0|0|0|0|0|0
San Francisco Regional Office| 109231|801-56499|RHODES ECONOMETRICS INC|RHODES ECONOMETRICS INC|4949 SW MEADOWS ROAD|SUITE 620|LAKE OSWEGO OR 97035-4285|USA|||  ||C. W. RHODES, JR.|503-697-5444|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Publication of periodicals or newsletters|APPROVED|05/05/1999|0|2|0|0|0|0
San Francisco Regional Office| 109235|801-55172|STEWART & PATTEN CO LLC|STEWART & PATTEN CO LLC|1 POST STREET, SUITE 850||SAN FRANCISCO CA 94104|USA|||  ||STEVE ETHRIDGE|415-421-4932|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/02/1998|0|0|0|0|0|0
San Francisco Regional Office| 109240|801-56562|WILLOW CREEK FINANCIAL SERVICES, INC.|WILLOW CREEK FINANCIAL SERVICES, INC.|825 GRAVENSTEIN HWY. N. STE. #5||SEBASTOPOL CA 95472|USA|||  ||HEATHER CLELAND|(707) 829-1146|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/01/1999|0|0|0|0|0|0
San Francisco Regional Office| 109258|801-56145|ROEHL & SITTNER INVESTMENT ADVISORS LLC|ROEHL & SITTNER INVESTMENT ADVISORS LLC|450 COUNTRY CLUB ROAD|SUITE 160|EUGENE OR 97401|USA|||  ||FRED SITTNER|541-683-2085|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/12/1999|0|1|0|0|0|0
San Francisco Regional Office| 109280|801-58179|SUMMIT FINANCIAL ADVISORS, LLC|SUMMIT FINANCIAL ADVISORS, LLC|160 BOVET ROAD|SUITE 405|SAN MATEO CA 94402|USA|||  ||RAFAEL O. VELEZ, III|650-357-9410|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|12/01/2000|0|0|0|0|0|0
San Francisco Regional Office| 109324|801-56019|WATERMARK PARTNERS LLC|WATERMARK PARTNERS LLC|670 BRIDGEWAY||SAUSLITO CA 94965|USA|||  ||TAMRA STERN|415-289-0745|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/01/2000|0|0|0|0|0|0
San Francisco Regional Office| 109330|801-56679|IRONWOOD CAPITAL MANAGEMENT CORP|IRONWOOD CAPITAL MANAGEMENT CORP|ONE MARKET, STEUART TOWER|SUITE 2500|SAN FRANCISCO CA 94105|USA|||  ||JONATHAN GANS|415-777-2400|Corporation|Other|APPROVED|07/13/1999|0|0|0|0|0|0
San Francisco Regional Office| 109361|801-55878|BUFFINGTON MOHR MCNEAL|TBFM LLP|802 WEST BANNOCK STREET, STE 100||BOISE ID 83702|USA|||  ||M. DEAN BUFFINGTON|208-338-5551|Limited Liability Partnership|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|09/14/1998|0|0|0|0|0|0
San Francisco Regional Office| 109373|801-56273|EASTBOURNE CAPITAL MANAGEMENT, L.L.C.|EASTBOURNE CAPITAL MANAGEMENT, L.L.C.|1101 FIFTH AVE|SUITE 370|SAN RAFAEL CA 94901|USA|||  ||ERIC SIPPEL|415-448-1200|Limited Liability Company|Other|APPROVED|02/12/1999|1|0|0|0|0|0
San Francisco Regional Office| 109394|801-56120|SAWTOOTH INVESTMENT MANAGEMENT LLC|SAWTOOTH INVESTMENT MANAGEMENT LLC|950 W. BANNOCK ST.|SUITE 1050|BOISE ID 83702|USA|||  ||BRITTANY PFISTER|208-489-7550|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/08/1999|0|0|0|0|0|0
San Francisco Regional Office| 109397|801-55182|CMC ADVISERS, LLC|CMC ADVISERS, LLC|4800 SW MACADAM AVENUE, SUITE 305||PORTLAND OR 97239|USA|PO BOX 69468||PORTLAND OR 97239|USA|DAVID MORGANSTERN, CFP|503 227-5284|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|01/20/1998|0|1|0|0|0|0
San Francisco Regional Office| 109418|801-57786|FAN ASSET MANAGEMENT LLC|FAN ASSET MANAGEMENT LLC|201 SAN ANTONIO CIRCLE|SUITE 265|MOUNTAIN VIEW CA 94040|USA|||  ||STEPHEN FAN|650-559-0360|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Market timing services|APPROVED|07/20/2000|0|0|0|0|0|0
San Francisco Regional Office| 109466|801-57588|TOUCHSTONE INVESTMENT MANAGERS LLC|TOUCHSTONE INVESTMENT MANAGERS LLC|920 SW 6TH STREET|STE 261|PORTLAND OR 97204|USA|||  ||GARY A. SMITH|(503)552-6720|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/19/2000|0|1|0|0|0|0
San Francisco Regional Office| 109475|801-56341|RAMSEY & ASSOCIATES INC|RAMSEY & ASSOCIATES INC|1730 N. NORTHLAKE WAY|SUITE 3301|SEATTLE WA 98103|USA|||  ||SHAWN DONNELLY|206-324-1950|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|03/16/1999|0|0|0|0|0|0
San Francisco Regional Office| 109486|801-56082|BARR ROSENBERG RESEARCH CENTER LLC|BARR ROSENBERG RESEARCH CENTER LLC|4 ORINDA WAY, BLDG E||ORINDA CA 94563|USA|||  ||SARA M. DONALDSON|925-254-6464|Limited Liability Company|Other|APPROVED|12/18/1998|0|0|0|0|0|0
San Francisco Regional Office| 109491|801-54665|DESCHUTES INVESTMENT ADVISORS, INC.|DESCHUTES INVESTMENT ADVISORS, INC.|1211 SW 5TH AVENUE|SUITE 2830|PORTLAND OR 97204|USA|||  ||BRYN TORKELSON|503-223-2500|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|06/25/1997|0|0|0|0|0|0
San Francisco Regional Office| 109519|801-57596|SEQUOIA PLANNING & INVESTMENTS LLC|SEQUOIA PLANNING & INVESTMENTS LLC|1333 NORTH CALIFORNIA BLVD.|SUITE 340|WALNUT CREEK CA 94596|USA|||  ||PAUL E. MURK|(925) 934-8200|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|05/17/2000|0|0|0|0|0|0
San Francisco Regional Office| 109532|801-56450|HIGHLAND CAPITAL MANAGEMENT LLC|HIGHLAND CAPITAL MANAGEMENT LLC|305 108TH AVE NE STE. 102||BELLEVUE WA 98004|USA|||  ||DAVID P. RUBY|425-739-6500|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|04/29/1999|0|0|0|0|0|0
San Francisco Regional Office| 109542|801-58066|JAMES R. MARTIN CONSULTING, INC|JAMES R. MARTIN CONSULTING, INC.|1111 MAIN ST. SUITE 612||VANCOUVER WA 98660|USA|P O BOX 1369||VANCOUVER WA 98666|USA|JIM MARTIN|360-567-1822|Corporation|Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|11/03/2000|0|0|0|0|0|0
San Francisco Regional Office| 109546|801-55162|DHR INVESTMENT COUNSEL LTD|DHR INVESTMENT COUNSEL LTD|5435 COLLEGE AVE||OAKLAND CA 94518|USA|||  ||M. LOUISE ROTHMAN-RIEMER|510-596-2580|Corporation|Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|01/08/1998|0|0|0|0|0|0
San Francisco Regional Office| 109550|801-55718|HIGHMARK CAPITAL MANAGEMENT INC.|HIGHMARK CAPITAL MANAGEMENT INC.|350 CALIFORNIA STREET, SUITE 1600||SAN FRANCISCO CA 94104|USA|||  ||CATHERINE M. VACCA|415-705-7512|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|08/07/1998|0|12|0|0|0|0
San Francisco Regional Office| 109580|801-54360|OSTERWEIS CAPITAL MANAGEMENT LLC|OSTERWEIS CAPITAL MANAGEMENT LLC|ONE MARITIME PLAZA, SUITE 800||SAN FRANCISCO CA 94111|USA|||  ||TAVERNETTI, JOHN F.|415-434-4441|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/02/1997|0|0|0|0|0|0
San Francisco Regional Office| 109584|801-57427|CORWELL ASSET MANAGEMENT INC|CORWELL ASSET MANAGEMENT INC|1058 WIKIUP DR||SANTA ROSA CA 95403|USA|||  ||ROBERT H. WELLS|707 544-6632|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|04/13/2000|0|0|0|0|0|0
San Francisco Regional Office| 109590|801-56607|ARCADIA INVESTMENT ADVISORS, LLC|ARCADIA INVESTMENT ADVISORS, LLC|1601 OFFICERS ROW||VANCOUVER WA 98661|USA|||  ||ROB POOL|360-823-0477|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|06/23/1999|0|0|0|0|0|0
San Francisco Regional Office| 109592|801-57954|PALLAS INVESTMENT PARTNERS, L.P.|PALLAS INVESTMENT PARTNERS, L.P.|FOUR EMBARCADERO CENTER||SAN FRANCISCO CA 94111|USA|||  ||WALTER C. PRICE|415-954-5400|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/04/2000|0|0|0|0|0|0
San Francisco Regional Office| 109613|801-57461|HORIZON ASSET MANAGEMENT, LLC|HORIZON ASSET MANAGEMENT, LLC|601 UNION STREET, SUITE 4200||SEATTLE WA 98101|USA|||  ||HOLLI LOFGREN|800-568-8213|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/14/2000|0|0|0|0|0|0
San Francisco Regional Office| 109620|801-56711|GOLDSTEIN MUNGER + ASSOCIATES|GOLDSTEIN MUNGER + ASSOCIATES|18 CROW CANYON COURT|SUITE 250|SAN RAMON CA 94583-1669|USA|||  ||ROBERT MUNGER|925/552-1400|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/27/1999|0|0|0|0|0|0
San Francisco Regional Office| 109624|801-57043|WEBER CAPITAL MANAGEMENT LLC|WEBER CAPITAL MANAGEMENT LLC|340 PINE ST.|STE 300|SAN FRANCISCO CA 94104|USA|||  ||EUGENE M. WEBER|415-362-5680|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|12/03/1999|0|0|0|0|0|0
San Francisco Regional Office| 109629|801-55395|KCM INVESTMENT ADVISORS|KCM INVESTMENT ADVISORS, LLC|750 LINDARO STREET|SUITE 250|SAN RAFAEL CA 94901|USA|||  ||JAY A. KELLETT|415-461-7788|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/08/1998|0|0|0|0|0|0
San Francisco Regional Office| 109640|801-56308|RCM|RCM CAPITAL MANAGEMENT LLC|4 EMBARCADERO CENTER||SAN FRANCISCO CA 94111|USA|||  ||ROBERT J. GOLDSTEIN|415-954-5409|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/24/1999|0|0|0|0|0|0
San Francisco Regional Office| 109675|801-60036|MOIRAI CAPITAL MANAGEMENT LLC|MOIRAI CAPITAL MANAGEMENT LLC|708 MONTGOMERY STREET|THIRD FLOOR|SAN FRANCISCO CA 94111|USA|||  ||KAREN M. SCHMID|(415)981-1541|Limited Liability Company|Portfolio management for individuals and/or small businesses, Other|APPROVED|02/28/2001|0|0|0|0|0|0
San Francisco Regional Office| 109770|801-63145|WAGNER, LOFTIN INVESTMENT SERVICES|RONALD JOSEPH WAGNER|3478 BUSKIRK AVENUE|SUITE 308|PLEASANT HILL CA 94523|USA|||  ||GERALD GUINTU|925-930-7176 XT 10|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|05/18/2004|0|0|0|0|0|0
San Francisco Regional Office| 109774|801-6657|FRIEDMAN PUTTER & CO|FRIEDMAN PUTTER & CO|12826 S.E. 40TH LANE, STE 204||BELLEVUE WA 98006-4276|USA|||  ||SINAI LAWRENCE PUTTER|425-401-7220|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/17/1970|0|0|0|0|0|0
San Francisco Regional Office| 109795|801-57772|R. BRIAN HOWELL & ASSOCIATES, INC.|R. BRIAN HOWELL & ASSOCIATES, INC.|6 TACOMA AVENUE NORTH||TACOMA WA 98403|USA|||  ||R. BRIAN HOWELL|253-759-2914|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/31/2000|0|0|0|0|0|0
San Francisco Regional Office| 109847|801-34233|MCGEE FINANCIAL STRATEGIES INC.|MCGEE FINANCIAL STRATEGIES INC.|12455 SW 68TH AVENUE||PORTLAND OR 97223|USA|||  ||D. LINETTE DOBBINS|503-597-2222|Corporation|Portfolio management for individuals and/or small businesses, Selection of other advisers, Financial planning services|APPROVED|01/31/1994|0|1|0|0|0|0
San Francisco Regional Office| 109907|801-31529|JOHNSON MAROTTA|JOHNSON AND MAROTTA ASSET MANAGEMENT, INC.|2600 EL CAMINO REAL|SUITE 500|PALO ALTO CA 94306|USA|||  ||STEPHEN D. JOHNSON|650-494-2733|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|02/26/1988|0|0|0|0|0|0
San Francisco Regional Office| 109915|801-50645|WESPAC ADVISORS, LLC|WESPAC ADVISORS, LLC|2001 BROADWAY|2ND FLOOR|OAKLAND CA 94612|USA|||  ||JOHN C. WILLIAMS, III|(510) 740-4178|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/27/1995|0|1|0|0|0|0
San Francisco Regional Office| 109925|801-50511|CYPRESS ASSET MANAGEMENT|CYPRESS ASSET MANAGEMENT|26607 CARMEL CENTER PLACE|SUITE 101|CARMEL CA 93923|USA|||  ||XAVIER URPI|831-622-5244|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/27/1995|0|0|0|0|0|0
San Francisco Regional Office| 109948|801-56860|CROSSLINK CAPITAL, INC.|CROSSLINK CAPITAL, INC.|TWO EMBARCADERO CENTER, SUITE 2200||SAN FRANCISCO CA 94111|USA|||  ||JEROME S. CONTRO|(415)617-1880|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/25/2000|0|0|0|0|0|0
San Francisco Regional Office| 109958|801-67736|BOZARTH INVESTMENT MNGT|BOZARTH INVESTMENT MANAGEMENT, INC.|528 E SPOKANE FALLS BLVD|STE 501|SPOKANE WA 99202-2134|USA|||  ||DANIEL C. MURPHY|509-755-5001|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|08/09/2007|0|2|0|0|0|0
San Francisco Regional Office| 109972|801-57782|WIPFLI HEWINS INVESTMENT ADVISORS LLC|WIPFLI HEWINS INVESTMENT ADVISORS LLC|400 SOUTH EL CAMINO REAL|STE 800|SAN MATEO CA 94402|USA|||  ||NAOMI RAMSDEN|650-620-3040|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|07/20/2000|0|0|0|0|0|0
San Francisco Regional Office| 109983|801-56865|HEWINS FINANCIAL ADVISORS, LLC|HEWINS FINANCIAL ADVISORS, LLC|400 SOUTH EL CAMINO REAL|SUITE 800|SAN MATEO CA 94402|USA|||  ||NAOMI RAMSDEN|650-620-3040|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|10/01/1999|0|0|0|0|0|0
San Francisco Regional Office| 110005|801-52710|LITMAN GREGORY FUND ADVISORS LLC|LITMAN/GREGORY FUND ADVISORS, LLC|100 LARKSPUR LANDING CIRCLE SUITE 204||LARKSPUR CA 94939|USA|||  ||JOHN COUGHLAN|925 253-5213|Limited Liability Company|Portfolio management for investment companies|APPROVED|08/21/1996|0|0|0|0|0|0
San Francisco Regional Office| 110024|801-29719|INDEPENDENT INVESTORS INC|INDEPENDENT INVESTORS INC|2619 SAINT JOHNS AVE.|SUITE E|BILLINGS MT 59102|USA|||  ||DONALD LOVELESS CFA|406-656-9212|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|06/19/1987|0|0|0|0|0|0
San Francisco Regional Office| 110036|801-61990|PRAETORIAN GUARD, A DIVISION OF CENTURION ALLIANCE, INC.|CENTURION ALLIANCE,INC.|3775 VIA NONA MARIE, SUITE 200||CARMEL CA 93923|USA|P. O. BOX 222000||CARMEL CA 93922||RICHARD A HEWITT|831-622-9600|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/03/2002|0|0|0|0|0|0
San Francisco Regional Office| 110046|801-56742|LIGHT GREEN ADVISORS LLC|LIGHT GREEN ADVISORS LLC|800 FIFTH AVENUE|SUITE 4100|SEATTLE WA 98104|USA|||  ||JONATHAN NAIMON|206-547-8645|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/01/1999|0|0|0|0|0|0
San Francisco Regional Office| 110058|801-58206|LOWERY THOMAS, LLC|LOWERY THOMAS, LLC|3685 MT. DIABLO BLVD., SUITE 151||LAFAYETTE CA 94549|USA|||  ||MARK THOMAS VICENCIO|925-284-5271|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|12/19/2000|0|0|0|0|0|0
San Francisco Regional Office| 110064|801-34048|OSTROFE FINANCIAL CONSULTANTS INC|OSTROFE FINANCIAL CONSULTANTS INC|565 BRUNSWICK RD|SUITE 15|GRASS VALLEY CA 95945|USA|||  ||PATTY LUM|530-273-4425|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|04/21/1989|0|0|0|0|0|0
San Francisco Regional Office| 110075|801-42152|MARK CAPITAL MANAGEMENT INC|MARK CAPITAL MANAGEMENT INC|567 W SHAW AVE|SUITE A-4|FRESNO CA 93704|USA|||  ||MARSHALL P SMITH|559-225-5523|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/03/1992|0|0|0|0|0|0
San Francisco Regional Office| 110079|801-56047|MARIN CAPITAL PARTNERS LP|MARIN CAPITAL PARTNERS LP|101 GLACIER POINT ROAD|SUITE D|SAN RAFAEL CA 94901|USA|||  ||JEFFREY TODD HANSEN|415-257-2200|Limited Liability Partnership|Other|APPROVED|11/25/1998|0|0|0|0|0|0
San Francisco Regional Office| 110091|801-32850|PANTHEON VENTURES INC.|PANTHEON VENTURES INC.|600 MONTGOMERY STREET|23RD FLOOR|SAN FRANCISCO CA 94111|USA|||  ||LILY WONG|415-249-6200|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|11/04/1988|0|16|0|0|0|0
San Francisco Regional Office| 110101|801-31962|R. ELIOT KING & ASSOCIATES INC.|R. ELIOT KING & ASSOCIATES INC.|3000 SAND HILL ROAD|BLDG. 2, SUITE 245|MENLO PARK CA 94025-7195|USA|||  ||BARBARA S. JOYNER|650-854-2882|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/05/1988|0|0|0|0|0|0
San Francisco Regional Office| 110102|801-31712|SLOY DAHL & HOLST INC|SLOY DAHL & HOLST INC|1230 SW FIRST AVENUE|SUITE 310|PORTLAND OR 97204|USA|||  ||JAMES HOLST|503-248-9800|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|03/25/1988|0|0|4|0|0|0
San Francisco Regional Office| 110117|801-58004|AMERICAN NORTHWEST ADVISORY SERVICES L.L.C.|AMERICAN NORTHWEST ADVISORY SERVICES L.L.C.|1010 S. 336TH ST.|SUITE 305|FEDERAL WAY WA 98003|USA|P.O. BOX 24831||FEDERAL WAY WA 98023|USA|THOMAS L. OAKES|253-815-6564|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|09/29/2000|0|0|0|0|0|0
San Francisco Regional Office| 110152|801-55273|CALIFORNIA FINANCIAL ADVISORS|MALOON, POWERS, PITRE & HIGGINS, LLC|2303 CAMINO RAMON, SUITE 250||SAN RAMON CA 94583|USA|||  ||LISA STALL|925.275.1000|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|02/18/1998|0|1|0|0|0|0
San Francisco Regional Office| 110176|801-57024|OREGON PACIFIC FINANCIAL ADVISORS INC|OREGON PACIFIC FINANCIAL ADVISORS INC|210 WEST 8TH STREET||MEDFORD OR 97501|USA|||  ||DONALD ANGUS TODD|541-772-1116|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|11/24/1999|0|0|0|0|0|0
San Francisco Regional Office| 110182|801-68939|MOK CAPITAL MANAGEMENT|MOK STANLEY QUION|4962 EL CAMINO REAL, STE 235||LOS ALTOS CA 94022-1456|USA|||  ||STANLEY Q. MOK|650-318-8077|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|03/14/2008|0|0|0|0|0|0
San Francisco Regional Office| 110184|801-56545|SOLIDARITY INVESTMENT CONSULTING|SOLIDARITY INVESTMENT CONSULTING, INC|4320 SW CORBETT, SUITE 107||PORTLAND OR 97239|USA|PO BOX 69076||PORTLAND OR 97239|USA|TERRY G. HANNON|503 227 2895|Corporation|Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|05/24/1999|0|0|0|0|0|0
San Francisco Regional Office| 110200|801-58027|SCHELLER HARRIS AND ASSOCIATES / SCHELLER FINANCIAL SERVICES|SCHELLER FINANCIAL SERVICES INC.|9780 SW SHADY LANE, SUITE 101||PORTLAND OR 97223|USA|||  ||FRED C. SCHELLER|503-297-5288|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/09/2004|0|1|1|0|0|1
San Francisco Regional Office| 110224|801-57927|STORIE ADVISORS, L.L.C.|STORIE ADVISORS, L.L.C.|100 PINE STREET|SUITE 2700|SAN FRANCISCO CA 94111|USA|||  ||LEON ROOT|415-229-9012|Limited Liability Company|Other|APPROVED|08/29/2000|0|1|1|0|0|0
San Francisco Regional Office| 110228|801-57811|STANCORP INVESTMENT ADVISERS, INC.|STANCORP INVESTMENT ADVISERS, INC.|1100 SW 6TH AVENUE|PSIA|PORTLAND OR 97204|USA|||  ||JULIE GRANDSTAFF|(971)321-8836|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|07/31/2000|0|0|0|0|0|0
San Francisco Regional Office| 110235|801-60080|RUDNEY ASSOCIATES, INC.|RUDNEY, ERIC ALLAN 1A|111 DEERWOOD ROAD, SUITE 130||SAN RAMON CA 94583|USA|||  ||ASHLEY KIRK|925-838-0696|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/08/2001|0|1|0|0|0|0
San Francisco Regional Office| 110252|801-60117|VISTA WEALTH MANAGEMENT, LLC|VISTA WEALTH MANAGEMENT, LLC|306 CAMBRIDGE AVENUE||PALO ALTO CA 94306|USA|||  ||JAMES KNIGHT|650-331-7531|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|03/23/2001|0|0|0|0|0|0
San Francisco Regional Office| 110263|801-42861|EVART, YOUNG & HOBBS INVESTMENT MANAGEMENT|EVART LEO H INC|3 LAGOON DRIVE|SUITE 155|REDWOOD CITY CA 94065|USA|||  ||ROSALEE YOUNG|650-592-3329|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|12/09/1992|0|11|0|0|0|0
San Francisco Regional Office| 110264|801-56868|HARRIS MYCFO INVESTMENT ADVISORY SERVICES LLC|HARRIS MYCFO INVESTMENT ADVISORY SERVICES LLC|1080 MARSH ROAD|SUITE.100|MENLO PARK CA 94025|USA|||  ||ROMILLA S. ERB|650-210-5418|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|10/20/1999|0|0|0|0|0|0
San Francisco Regional Office| 110279|801-49137|FORTRESS WEALTH MANAGEMENT INC|FORTRESS WEALTH MANAGEMENT INC|2010 CROW CANYON PLACE|SUITE 100|SAN RAMON CA 94583-4940|USA|||  ||THOMAS NIMMO|925-904-1980|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|05/11/1995|0|0|0|0|0|0
San Francisco Regional Office| 110288|801-57672|JUST PLANS, ETC|JUST PLANS ETC A CALIFORNIA CORPORATION|1399 YGNACIO VALLEY ROAD|SUITE 24|WALNUT CREEK CA 94598|USA|||  ||JIM ELLMAN|925 988-0330|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|06/16/2000|0|0|0|0|0|0
San Francisco Regional Office| 110293|801-27099|BOLTWOOD KNOWLES & DIBBLEE INC|BOLTWOOD KNOWLES & DIBBLEE INC|155 SANSOME STREET|SUITE 800|SAN FRANCISCO CA 94104|USA|||  ||THOMAS L. ABBOTT|415-433-1550|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|05/21/1986|0|0|0|0|0|0
San Francisco Regional Office| 110319|801-57740|MILLIE CAPITAL MANAGEMENT LLC|MILLIE CAPITAL MANAGEMENT LLC|18 CROW CANYON COURT|SUITE 130|SAN RAMON CA 94583|USA|||  ||ROSS MILLIE|925-820-0900|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|07/10/2000|0|0|0|0|0|0
San Francisco Regional Office| 110335|801-29930|ANNA CORP|ANNA CORP|1728 9TH AVE||HELENA MT 59601|USA|||  ||PHILIP O. HOWETH|406-442-2400|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|07/23/1987|0|2|0|0|0|0
San Francisco Regional Office| 110336|801-31221|ASSET ALLOCATION ADVISORS INC|ASSET ALLOCATION ADVISORS INC|1850 MT DIABLO BLVD|STE 335|WALNUT CREEK CA 94596|USA|||  ||GREGORY E SCHULTZ|925-944-9300|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|12/31/1987|0|0|0|0|0|0
San Francisco Regional Office| 110337|801-17320|BANE BARHAM & HOLLOWAY ASSETS MANAGEMENT INC|BANE BARHAM & HOLLOWAY ASSETS MANAGEMENT INC|25195 S W PARKWAY AVENUE|STE 100|WILSONVILLE OR 97070-9651|USA|||  ||WILLIAM G. BARHAM|503-582-9500|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/16/1982|0|2|0|0|0|0
San Francisco Regional Office| 110350|801-34369|NEW CENTURY PARTNERS|NEW CENTURY PARTNERS|2838 UNION STREET||SAN FRANCISCO CA 94123-3810|USA|||  ||STEVEN D. CALLOW|415-345-1430|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/04/1989|0|0|0|0|0|0
San Francisco Regional Office| 110365|801-53077|YCMNET ADVISORS|YCMNET ADVISORS|2001 NORTH MAIN STREET|SUITE 270|WALNUT CREEK CA 94596|USA|||  ||ALEXIS STICE|(925) 935-2900|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/11/1996|0|1|2|0|0|0
San Francisco Regional Office| 110429|801-44806|WESTECH INVESTMENT ADVISORS INC|WESTECH INVESTMENT ADVISORS INC|2010 N FIRST ST|STE 310|SAN JOSE CA 95131|USA|||  ||BRUCE LEVIN|(408)436-8577 X 20|Corporation|Portfolio management for investment companies|APPROVED|12/22/1993|0|0|0|0|0|0
San Francisco Regional Office| 110436|801-26182|HC FINANCIAL ADVISORS INC|HC FINANCIAL ADVISORS INC|3685 MT. DIABLO BLVD., SUITE 200||LAFAYETTE CA 94549|USA|||  ||PEGGY S. CABANISS|(925) 299-1800|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|12/31/1985|0|0|0|0|0|0
San Francisco Regional Office| 110450|801-20786|EQUIUS PARTNERS, INC.|EQUIUS PARTNERS, INC.|4 HAMILTON LANDING, SUITE 205||NOVATO CA 94949|USA|||  ||JASON J. ZAHORENKO|415 382-2500|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|03/05/1984|0|0|0|0|0|0
San Francisco Regional Office| 110451|801-26380|BRANSON FRANK A INC|BRANSON FRANK A INC|1290 HOWARD AVE|STE 323|BURLINGAME CA 94010-4222|USA|||  ||FRANK A. BRANSON|650-685-5454|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/07/1986|0|0|0|0|0|0
San Francisco Regional Office| 110463|801-15480|CORE ASSET MANAGEMENT COMPANY|CORE ASSET MANAGEMENT COMPANY|108 CALEDONIA STREET||SAUSALITO CA 94965|USA|PO BOX 1629||SAUSALITO CA 94966||JOHN MAYBERRY|415-332-2000|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/14/1980|0|0|0|0|0|0
San Francisco Regional Office| 110485|801-51520|DECISION ANALYTICS|LEE EPSTEIN, INC.|260 CALIFORNIA ST|STE 200|SAN FRANCISCO CA 94111-4396|USA|||  ||LEE EPSTEIN|415 249-2600|Corporation|Pension consulting services, Selection of other advisers, Other|APPROVED|03/14/1996|0|0|0|0|0|0
San Francisco Regional Office| 110489|801-11781|BECKER CAPITAL MANAGEMENT, INC.|BECKER CAPITAL MANAGEMENT INC|1211 SW 5TH AVENUE|SUITE 2185|PORTLAND OR 97204|USA|||  ||JANEEN S. MCANINCH|(503) 223-1720|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/19/1977|0|0|0|0|0|0
San Francisco Regional Office| 110492|801-13146|KERWIN-BELEY & ASSOCIATES, INC.|KERWIN BELEY & ASSOCIATES INC|200 W MERCER STREET SUITE 407||SEATTLE WA 98119|USA|||  ||JAMES F. BELEY|206-352-1500|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/08/1977|0|0|0|0|0|0
San Francisco Regional Office| 110496|801-51641|BINGHAM, OSBORN & SCARBOROUGH LLC|BINGHAM, OSBORN & SCARBOROUGH LLC|345 CALIFORNIA STREET, SUITE 1100||SAN FRANCISCO CA 94104|USA|||  ||CAROL BENZ|415-781-8535|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|04/02/1996|0|0|0|0|0|0
San Francisco Regional Office| 110506|801-57695|SARATOGA RESEARCH & INVESTMENT MANAGEMENT|SARATOGA RESEARCH & INVESTMENT MANAGEMENT|14471 BIG BASIN WAY, SUITE E||SARATOGA CA 95070|USA|P.O. BOX 3552||SARATOGA CA 95070|USA|KEVIN P. TANNER|(408) 741-2333|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|07/03/2000|0|0|0|0|0|0
San Francisco Regional Office| 110550|801-8562|BAILARD, INC.|BAILARD, INC.|950 TOWER  LN|STE 1900|FOSTER CITY CA 94404-2131|USA|||  ||JANIS M. HORNE|650-571-5800|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters, Other|APPROVED|03/03/1972|0|0|0|0|0|0
San Francisco Regional Office| 110552|801-10883|DAVIDSON INVESTMENT ADVISORS, INC.|DAVIDSON INVESTMENT ADVISORS, INC.|8 THIRD STREET NORTH||GREAT FALLS MT 59401|USA|||  ||JOELLA BLOOMGREN|406-791-7343|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/08/1975|0|0|0|0|0|0
San Francisco Regional Office| 110565|801-33895|WURTS & ASSOCIATES INC.|WURTS & ASSOCIATES INC.|999 THIRD AVENUE|SUITE 3650|SEATTLE WA 98104|USA|||  ||ANGELA SWENSEN|(206)622-3700|Corporation|Financial planning services, Pension consulting services, Selection of other advisers|APPROVED|02/17/1989|0|0|1|0|0|0
San Francisco Regional Office| 110571|801-40722|WELTY CAPITAL MANAGEMENT LLC|WELTY CAPITAL MANAGEMENT LLC|3650 MT. DIABLO BLVD.|STE 103|LAFAYETTE CA 94549|USA|||  ||RICHARD S. WELTY|925-283-4960|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/04/1992|0|0|0|0|0|0
San Francisco Regional Office| 110578|801-54957|FEMMX FINANCIAL|FEMMX FINANCIAL|12 GEARY STREET|SUITE 601|SAN FRANCISCO CA 94108|USA|||  ||ANNA R. ESTRADA|415-434-4495|Corporation|Portfolio management for investment companies|APPROVED|12/09/1997|0|0|0|0|0|0
San Francisco Regional Office| 110587|801-54834|MASTHOLM ASSET MANAGEMENT LLC|MASTHOLM ASSET MANAGEMENT LLC|601 UNION STREET|SUITE 3720|SEATTLE WA 98101|USA|3350 RIVERWOOD PARKWAY|SUITE 1900|ATLANTA GA 30339|U.S.A.|THOMAS M. GARR|(770) 953-6787|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/22/1997|0|0|0|0|0|0
San Francisco Regional Office| 110606|801-36887|DBA, LEFEVRE CAPITAL MANAGEMENT|LEFEVRE ALLAN SCOTT|3751 CLAY STREET||SAN FRANCISCO CA 94118|USA|||  ||SCOTT LEFEVRE|(415) 386-9000|Sole Proprietorship|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/16/1990|0|0|0|0|0|0
San Francisco Regional Office| 110640|801-23659|QUEST INVESTMENT MANAGEMENT INC|QUEST INVESTMENT MANAGEMENT INC|ONE SW COLUMBIA ST., SUITE 1100||PORTLAND OR 97258|USA|||  ||CAMERON M JOHNSON|503-221-0158|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|03/12/1985|0|0|0|0|0|0
San Francisco Regional Office| 110654|801-26800|NOROIAN CAPITAL MANAGEMENT|NOROIAN STEVEN A & ASSOCIATES INC|3685 MT. DIABLO BLVD.|SUITE 353|LAFAYETTE CA 94549|USA|||  ||MICHAEL MCNEILL|925-299-2000|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/25/1986|0|0|0|0|0|0
San Francisco Regional Office| 110656|801-50572|MPF ADVISERS, LP|MPF ADVISERS, LP|1640 SCHOOL ST||MORAGA CA 94556|USA|||  ||JEN MOSER|925-235-1040|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/28/1995|0|2|0|0|0|0
San Francisco Regional Office| 110666|801-20857|SALIENT WEALTH MANAGEMENT, LLC|SALIENT WEALTH MANAGEMENT, LLC|750 LINDARO STREET|SUITE 130|SAN RAFAEL CA 94901|USA|||  ||JUSTIN HULT|(415) 526-2900|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|03/27/1984|0|1|2|0|0|0
San Francisco Regional Office| 110672|801-23649|NEUMEIER INVESTMENT COUNSEL LLC|NEUMEIER INVESTMENT COUNSEL LLC|26435 CARMEL RANCHO BLVD|SUITE 200|CARMEL CA 93923|USA|||  ||DONNA HAGERTY|831/625-6355|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|03/04/1985|0|0|0|0|0|0
San Francisco Regional Office| 110687|801-52638|SYMPHONY ASSET MANAGEMENT LLC|SYMPHONY ASSET MANAGEMENT LLC|555 CALIFORNIA STREET|SUITE 2975|SAN FRANCISCO CA 94104-1605|USA|||  ||MARTIN FAWZY|415/676-4000|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|08/07/1996|0|1|0|0|0|0
San Francisco Regional Office| 110699|801-39656|EVANS CAPITAL MANAGEMENT ASSOCIATES|EVANS R L CO INC|600 STEWART STREET|SUITE 1210|SEATTLE WA 98101|USA|||  ||BRIAN LEACH|206-448-7878|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|08/23/1991|0|0|0|0|0|0
San Francisco Regional Office| 110713|801-14799|NELSON FINANCIAL SERVCIES INC|NELSON FINANCIAL SERCICES INC|4501 SOMERSET DRIVE, SE||BELLEVUE WA 98006|USA|||  ||SUSAN F. NELSON|425-747-6485|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/29/1979|0|0|0|0|0|0
San Francisco Regional Office| 110722|801-31115|HERRMANN FINANCIAL SERVICES INC|HERRMANN FINANCIAL SERVICES INC|370 DIABLO ROAD|SUITE 201|DANVILLE CA 94526-3438|USA|||  ||DAVID P. HERRMANN, CFP|925-831-0200|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|12/17/1987|0|0|0|0|0|0
San Francisco Regional Office| 110724|801-14929|KRANENBURG CAPITAL MANAGEMENT LLC|KRANENBURG CAPITAL MANAGEMENT, LLC|100 SMITH RANCH ROAD, SUITE 108||SAN RAFAEL CA 94903|USA|||  ||PHILIP KRANENBURG|415-479-3863|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/26/1979|0|0|0|0|0|0
San Francisco Regional Office| 110737|801-58209|NAVITAS, LTD.|NAVITAS, LTD.|120 MONTGOMERY ST. SUITE 1235||SAN FRANCISCO CA 94104|USA|||  ||KURT W. RAUZI|415-593-0471|Corporation|Financial planning services, Selection of other advisers|APPROVED|12/28/2000|0|0|1|0|0|0
San Francisco Regional Office| 110766|801-38059|INVESTOR RESOURCES INC|INVESTOR RESOURCES INC|691 BETHEL AVE|SUITE B|PORT ORCHARD WA 98366|USA|P O BOX 759||PORT ORCHARD WA 98366-0759|USA|DONALD CREECH|360-895-9119|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|01/03/1991|0|0|0|0|0|0
San Francisco Regional Office| 110770|801-36288|HENNESSY ADVISORS, INC.|HENNESSY ADVISORS, INC.|7250 REDWOOD BOULEVARD|SUITE 200|NOVATO CA 94945|USA|7250 REDWOOD BOULEVARD|SUITE 200|NOVATO CA 94945|UNITED STATES|HARRY F. THOMAS|415-899-1555|Corporation|Portfolio management for investment companies, Other|APPROVED|04/02/1990|0|0|0|0|0|0
San Francisco Regional Office| 110790|801-17932|HARRINGTON INVESTMENTS, INC.|HARRINGTON INVESTMENTS, INCORPORATED|1001 SECOND STREET|SUITE 325|NAPA CA 94559-3030|USA|PO BOX 6108||NAPA CA 94581-1108|USA|FORREST HILL|707 252 6166|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|11/24/1982|0|0|0|0|0|0
San Francisco Regional Office| 110805|801-56685|ROBERT ALAN YAGER|YAGER ROBERT ALAN|4820 HARWOOD ROAD|SUITE 240|SAN JOSE CA 95124|USA|||  ||KEELY O'REILLY|408-978-2214|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/16/1999|0|0|0|0|0|0
San Francisco Regional Office| 110817|801-29708|CHRISTOPHER D. CROFT, INC.|CHRISTOPHER D. CROFT, INC.|513 JACKSON DRIVE||PALO ALTO CA 94303|USA|||  ||CHRISTOPHER D. CROFT|(650) 326-9160|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/04/1987|0|0|0|0|0|0
San Francisco Regional Office| 110837|801-44891|ALBERT HEEG INVESTMENT MANAGEMENT|HEEG ALBERT JOSEPH JR.|2231 HARBOR BAY PARKWAY||ALAMEDA CA 94502|USA|||  ||DENNIS F. GEE|510-864-2900|Sole Proprietorship|Financial planning services, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|11/10/1993|0|0|0|0|0|0
San Francisco Regional Office| 110841|801-58237|WELLS FARGO FUNDS MANAGEMENT, LLC|WELLS FARGO FUNDS MANAGEMENT, LLC|525 MARKET STREET, 12TH FL.||SAN FRANCISCO CA 94105-2720|USA|||  ||IRINA LYUSTINA|(415)396-4216|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|12/22/2000|1|1|0|0|0|0
San Francisco Regional Office| 110877|801-54099|HORSLEY BRIDGE PARTNERS LLC|HORSLEY BRIDGE PARTNERS LLC|505 MONTGOMERY STREET, 21ST FL.||SAN FRANCISCO CA 94111|USA|||  ||DUANE PHILLIPS|(415) 986-7733 EXT. 208|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/31/1997|0|0|0|0|0|0
San Francisco Regional Office| 110886|801-60101|SASSER INVESTMENT MANAGEMENT, INC.|SASSER INVESTMENT MANAGEMENT, INC.|414 13TH STREET|SUITE 400|OAKLAND CA 94612|USA|||  ||BRADLEY D. SASSER|(510) 452-9144|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/22/2001|0|0|0|0|0|0
San Francisco Regional Office| 110906|801-55351|CYPRESS MANAGEMENT ADVISORS, LLC|CYPRESS MANAGEMENT ADVISORS, LLC|100 PINE STREET|SUITE 2700|SAN FRANCISCO CA 94111|USA|||  ||LEON ROOT|415-229-9012|Limited Liability Company|Other|APPROVED|03/17/1998|0|1|1|0|0|0
San Francisco Regional Office| 110908|801-20509|CORNERSTONE ADVISORS INC|CORNERSTONE ADVISORS INC|10885 NE 4TH ST|SUITE 1400|BELLEVUE WA 98004-5579|USA|||  ||BRUCE F. DUFF|425-455-8184|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|02/03/1984|0|0|0|0|0|0
San Francisco Regional Office| 110931|801-12851|PRING TURNER CAPITAL GROUP|PRING/TURNER CAPITAL GROUP, INC.|1600 S. MAIN STREET, #375||WALNUT CREEK CA 94596-5397|USA|||  ||JOE D. TURNER|(970) 562-3073|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/20/1977|0|0|0|0|0|0
San Francisco Regional Office| 110952|801-19727|PETERSEN HASTINGS INVESTMENT MANAGEMENT INC|PETERSEN HASTINGS INVESTMENT MANAGEMENT INC|8203 W QUINAULT|SUITE 700|KENNEWICK WA 99336|USA|||  ||BLAINE CARR|(509) 735-0484|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|09/26/1983|0|0|0|0|0|0
San Francisco Regional Office| 110954|801-48848|SIERRA INVESTMENT PARTNERS, INC.|SIERRA INVESTMENT PARTNERS, INC.|101 YGNACIO VALLY ROAD|SUITE 300|WALNUT CREEK CA 94596|USA|||  ||JAMES GRANT MCGUIRE III|925/941-6300 X109|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/18/1995|0|0|0|0|0|0
San Francisco Regional Office| 110982|801-12806|GIMBEL ARTHUR D INC|GIMBEL ARTHUR D INC|840 HINCKLEY ROAD|SUITE 147|BURLINGAME CA 94010-1505|USA|||  ||ARTHUR D. GIMBEL|650-692-4484|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|03/24/1977|0|0|0|0|0|0
San Francisco Regional Office| 110990|801-58265|DBA, LONG INVESTMENT ADVISORY, INC.|R.M. LONG INVESTMENT ADVISORY, INC.|1752 11TH STREET||REEDLEY CA 93654|USA|||  ||RANDY M. LONG|559-638-5336|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|01/25/2001|0|0|0|0|0|0
San Francisco Regional Office| 111010|801-60320|SRM ADVISORS|STRATEGIC RESEARCH & MANAGEMENT CORP.|6600 SW 92ND AVENUE|SUITE 140|PORTLAND OR 97223|USA|||  ||RUSSELL E. OWEN|503-244-8905|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|06/01/2001|0|0|0|0|0|0
San Francisco Regional Office| 111024|801-60173|SMS INVESTMENT COMPANY, LLC|SMS INVESTMENT COMPANY, LLC|3025 HARBORVIEW DRIVE NW||GIG HARBOR WA 98335|USA|PO BOX 2358||GIG HARBOR WA 98335|USA|CHERYL KARBOSKI|253-857-1615|Limited Liability Company|Other|APPROVED|04/04/2001|0|0|0|0|0|0
San Francisco Regional Office| 111045|801-25416|VAN ALSTYNE & CO INC|VAN ALSTYNE & CO INC|2555 FLORES ST|STE 300|SAN MATEO CA 94403-2344|USA|||  ||BRUCE L VAN ALSTYNE|650-592-0605|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|09/27/1985|0|0|0|0|0|0
San Francisco Regional Office| 111072|801-57201|CAPITAL FINANCIAL ADVISORY SERVICES|SPRINGER INVESTMENT MANAGEMENT, INC.|1383 GARDEN HWY  SUITE 200||SACRAMENTO CA 95833|USA|||  ||KEITH SPRINGER|916-925-8900|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/01/2000|0|2|1|0|0|0
San Francisco Regional Office| 111073|801-58201|PRIVATE ADVISORY GROUP|BEAN FINANCIAL ADVISORS, INC.|16640  NE 83RD STREET||REDMOND WA 98052|UNITED STATES|||  ||STEPHEN C. BEAN|(425) 498-2320|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|12/29/2000|0|0|0|0|0|0
San Francisco Regional Office| 111081|801-56616|ROMAIN WALSH CLEROU PROFESSIONAL INVESTMENT MGMT|CLEROU ROMAIN PIERRE WALSH|18951 VIEW CREST DRIVE||SONOMA CA 95476|USA|P.O. BOX 1607||SONOMA CA 95476|USA|ROMAIN CLEROU|707-938-2220|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/30/1999|0|0|0|0|0|0
San Francisco Regional Office| 111130|801-56750|PAYPAL ASSET MANAGEMENT, INC.|PAYPAL ASSET MANAGEMENT, INC.|2211 N. FIRST STREET||SAN JOSE CA 95131|USA|||  ||CHRISTOPHER I CHEN|408-967-1068|Corporation|Portfolio management for investment companies|APPROVED|08/05/1999|0|0|0|0|0|0
San Francisco Regional Office| 111166|801-39540|HARBOUR INVESTMENT MANAGEMENT L.L.C.|HARBOUR INVESTMENT MANAGEMENT L.L.C.|2722 COLBY AVENUE|SUITE 520|EVERETT WA 98201-6600|USA|||  ||ERIKA L HILL|(425) 742-1557|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/24/1991|0|0|0|0|0|0
San Francisco Regional Office| 111167|801-68255|HANSON MCCLAIN ADVISORS|HANSON MCCLAIN, INC.|3620 FAIR OAKS BLVD|SUITE 300|SACRAMENTO CA 95864|USA|||  ||TRACY M. KLIEWER|(916) 608-1525|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters, Other|APPROVED|08/27/2007|0|0|0|0|0|0
San Francisco Regional Office| 111214|801-62513|SCOBY ZOOK & ASSOCIATES|SCOBY ALAN ZOOK|11431 STATE ROUTE 1 SUITE 4||POINT REYES STATION CA 94956|USA|PO BOX 580||POINT REYES STATION CA 94956-0580|USA|SCOBY ZOOK|415-663-8505|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/24/2003|0|1|0|0|0|0
San Francisco Regional Office| 111240|801-63811|FINANCIAL PERSPECTIVES|FINANCIAL PERSPECTIVES|39899 BALENTINE DR|SUITE 315|NEWARK CA 94560|USA|||  ||CHARLES D GIBSON|510 651-7054|Other (specify)|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|01/24/2005|0|0|0|0|0|0
San Francisco Regional Office| 111277|801-57515|SONATA CAPITAL GROUP INC|SONATA CAPITAL GROUP INC|2001 6TH AVE|SUITE 3410|SEATTLE WA 98121|USA|||  ||SHANA A. MOFFATT|206-256-4400|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|04/21/2000|0|0|0|0|0|0
San Francisco Regional Office| 111295|801-58002|SAND HILL ADVISORS, LLC|SAND HILL ADVISORS, LLC|245 LYTTON AVENUE|SUITE 300|PALO ALTO CA 94301|USA|||  ||JAMES S. MCCAFFREY|650-854-9150|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|08/31/2000|0|0|0|0|0|0
San Francisco Regional Office| 111296|801-41243|GLYNN CAPITAL MANAGEMENT, LLC|GLYNN CAPITAL MANAGEMENT, LLC|3000 SAND HILL RD, BLDG 4 STE 235||MENLO PARK CA 94025|USA|||  ||VIVIAN LOH NAHMIAS|650-854-2215|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|05/21/1992|0|0|0|0|0|0
San Francisco Regional Office| 111336|801-66376|INTEGRIS WEALTH MANAGEMENT, LLC|INTEGRIS WEALTH MANAGEMENT, LLC|4TH AVENUE, BETWEEN MISSION AND SAN CARLOS|SUITE 2|CARMEL CA 93921|USA|PO BOX 6322||CARMEL CA 93921|US|GIFFORD LEHMAN|831-620-1717|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|03/13/2006|0|0|0|0|0|0
San Francisco Regional Office| 111362|801-57392|ARBOR CAPITAL MANAGEMENT INC|ARBOR CAPITAL MANAGEMENT INC|1400 WEST BENSON BLVD.|SUITE 575|ANCHORAGE AK 99503|USA|||  ||STANLEY LEARMAN|734.429.8464|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/17/2000|0|0|0|0|0|0
San Francisco Regional Office| 111368|801-44823|DELTA WEALTH MANAGEMENT|DELTA WEALTH MANAGEMENT|1420 SOUTH MILLS AVENUE|SUITE H|LODI CA 95242|USA|PMB 143, 1040 W.KETTLEMAN LANE, 1B||LODI CA 95240|USA|PAUL D. BOOTH|(209) 367-8535|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|09/23/1993|0|0|0|0|0|0
San Francisco Regional Office| 111372|801-13802|FRANKLIN TEMPLETON PORTFOLIO ADVISORS, INC.|FRANKLIN TEMPLETON PORTFOLIO ADVISORS, INC.|ONE FRANKLIN PARKWAY||SAN MATEO CA 94003-1906|USA|||  ||ROBERT LIM|(650) 312-6641|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/15/1978|0|4|2|0|0|0
San Francisco Regional Office| 111377|801-52152|FRANKLIN INVESTMENT ADVISORY SERVICES, LLC|FRANKLIN INVESTMENT ADVISORY SERVICES, LLC|ONE FRANKLIN PARKWAY||SAN MATEO CA 94403|USA|||  ||BREDA M. BECKERLE|(212) 632-3025|Limited Liability Company|Portfolio management for investment companies|APPROVED|06/21/1996|0|3|2|0|0|0
San Francisco Regional Office| 111379|801-44942|NORTHERN CAPITAL MANAGEMENT, INC.|NORTHERN CAPITAL MANAGEMENT, INC.|2700 SOUTH SOUTHEAST BOULEVARD|SUITE 205|SPOKANE WA 99223-4984|USA|||  ||JAMES K WILSON|509-456-2526|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|11/05/1993|0|0|0|0|0|0
San Francisco Regional Office| 111406|801-60161|ARTERBURN AND WATTERS, LLP|ARTERBURN AND WATTERS, LLP|7020 KOLL CENTER PARKWAY, SUITE 146||PLEASANTON CA 94566|USA|||  ||DAVID K. ARTERBURN|(925) 462-1120|Limited Liability Partnership|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/09/2001|0|0|0|0|0|0
San Francisco Regional Office| 111410|801-56823|PAUL A. VIOLICH, INC.|VIOLICH PAUL A INC|101 MONTGOMERY STREET|28TH FLOOR|SAN FRANCISCO CA 94104|USA|||  ||PAUL A. VIOLICH|(415)217-4444|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|09/03/1999|0|0|0|0|0|0
San Francisco Regional Office| 111411|801-56982|CROSSLINK CAPITAL, INC|CROSSOVER FUND III MANAGEMENT LLC|TWO EMBARCADERO CENTER|SUITE 2200|SAN FRANCISCO CA 94111|USA|||  ||GERRI HOLT GROSSMANN|(415)617-1888|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/01/1999|0|0|0|0|0|0
San Francisco Regional Office| 111470|801-24618|KENNEDY ASSOCIATES REAL ESTATE COUNSEL, LP|KENNEDY ASSOCIATES REAL ESTATE COUNSEL, LP|2400 FINANCIAL CENTER|1215 FOURTH AVE.|SEATTLE WA 98161|USA|||  ||STEVEN S. BREMNER|206-623-4739|Partnership|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|07/25/1985|0|0|0|0|0|0
San Francisco Regional Office| 111616|801-57184|APERIO GROUP, LLC|APERIO GROUP, LLC|THREE HARBOR DRIVE, SUITE 315||SAUSALITO CA 94965|USA|||  ||ROBERT NEWMAN|415-339-4311|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Other|APPROVED|01/20/2000|0|0|0|0|0|0
San Francisco Regional Office| 111639|801-62638|THE PUTNEY FINANCIAL GROUP, REGISTERED INVESTMENT ADVISORS|LENT, RAYMOND LAWRENCE|1099 E STREET||SAN RAFAEL CA 94901|USA|||  ||RAYMOND LAWRENCE LENT|415-460-1990|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/09/2004|0|0|0|0|0|0
San Francisco Regional Office| 111699|801-61726|WIIKEN & GORMAN LLC|WIIKEN & GORMAN LLC|775 BAYWOOD DRIVE|SUITE 306|PETALUMA CA 94954|USA|||  ||MICHAEL GORMAN|707-769-0200|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|01/09/2003|0|0|0|0|0|0
San Francisco Regional Office| 111716|801-67575|CYPRESS ASSET MANAGEMENT|CYPRESS PRAXIS, LLC|265 PRINCETON AVE||MILL VALLEY CA 94941|USA|P.O. BOX 968||MILL VALLEY CA 94942|USA|MONIB KHADEMI|415-888-3300|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Other|APPROVED|03/02/2007|0|0|0|0|0|0
San Francisco Regional Office| 111738|801-36610|GRAND JEAN CAPITAL MANAGEMENT INC.|GRAND JEAN CAPITAL MANAGEMENT INC.|ONE MARKET-STEUART TOWER|SUITE 2600|SAN FRANCISCO CA 94105|USA|||  ||CRYSTAL SMOLINSKI|415-512-0490|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/17/1990|0|0|0|0|0|0
San Francisco Regional Office| 111756|801-67896|CLEARPATH CAPITAL PARTNERS LLC|CLEARPATH CAPITAL PARTNERS LLC|951 MARINERS ISLAND BLVD.|SUITE 120|SAN MATEO CA 94404|USA|||  ||PAUL J. BOYD|(650) 312-9850|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/17/2007|1|0|0|0|0|0
San Francisco Regional Office| 111765|801-39138|PUGH CAPITAL MANAGEMENT, INC.|PUGH CAPITAL MANAGEMENT, INC.|1414 31ST AVE. SOUTH|SUITE 302|SEATTLE WA 98144|USA|||  ||SCOTT GREIWE|206-322-4985|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/27/1991|0|0|0|0|0|0
San Francisco Regional Office| 111768|801-55922|BLUME CAPITAL MANAGEMENT, INC.|BLUME CAPITAL MANAGEMENT, INC.|1708 SHATTUCK AVE.||BERKELEY CA 94709|USA|||  ||JEFFREY V ST. CLAIRE|510-549-3534|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|10/01/1998|0|0|0|0|0|0
San Francisco Regional Office| 111776|801-55304|UNION SQUARE INVESTMENT CO|UNION SQUARE INVESTMENT CO|180 GEARY STREET, SUITE 500||SAN FRANCISCO CA 94108|USA|||  ||BARBARA BENWARE|415-392-9228 X237|Corporation|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|02/27/1998|0|0|0|0|0|0
San Francisco Regional Office| 111839|801-58274|DBA,SCS SYSTEMS|ROBERT WILLIAM SCHWARZ|1116 SUNDERLAND ROAD||EAST SOUND WA 98245|USA|PO BOX 1419||EAST SOUND WA 98245|USA|SHANNON T. LOUGHERY|(425) 831-4701|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Market timing services|APPROVED|01/19/2001|0|0|0|0|0|0
San Francisco Regional Office| 111852|801-21129|THE DELTA GROUP|DELTA ADVISORS INC|5050 EL CAMINO REAL|STE. 100|LOS ALTOS CA 94022|USA|||  ||PATRICIA J. WILLIAMS|650-988-0490|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/25/1984|0|0|0|0|0|0
San Francisco Regional Office| 111857|801-57656|STEPHENS ASSET MANAGEMENT INC|STEPHENS VAL G REGISTERED INVESTMENT ADVISOR INC|7844 MADISON AVE STE 120||FAIR OAKS CA 95628|USA|||  ||ANN WEEKS|916 863-6330|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|06/02/2000|0|0|0|0|0|0
San Francisco Regional Office| 111861|801-55934|LWI FINANCIAL INC.|LWI FINANCIAL INC.|3055 OLIN AVE.|SUITE 2000|SAN JOSE CA 95128-2067|USA|||  ||STEVEN MCGINNIS|408-260-3127|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|09/25/1998|0|1|0|0|0|0
San Francisco Regional Office| 111867|801-57780|CASCADIA FINANCIAL ADVISORS LLC|CASCADIA FINANCIAL ADVISORS LLC|1120 SPRING STREET, SUITE #703||SEATTLE WA 98104-3582|USA|||  ||DENNIS YOCUM|206-342-9298|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|07/24/2000|0|0|0|0|0|0
San Francisco Regional Office| 111885|801-54266|GLAZE CAPITAL MANAGEMENT, INC.|GLAZE CAPITAL MANAGEMENT, INC.|4962 EL CAMINO REAL|SUITE 225|LOS ALTOS CA 94022|USA|||  ||RICHARD A. GLAZE|650-934-0920|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/15/1997|0|0|0|0|0|0
San Francisco Regional Office| 111894|801-56409|RESOURCE INVESTMENT ARCHITECTS, INC.|RESOURCE INVESTMENT ARCHITECTS, INC.|34 PETALUMA BLVD. N.||PETALUMA CA 94952|USA|||  ||DAVID HADDOCK|707-763-7861|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters, Other|APPROVED|04/07/1999|0|1|0|0|0|0
San Francisco Regional Office| 111897|801-63325|STADJUHAR WEALTH STRATEGISTS|O.C. GROUP, INC.|1420 ROCKY RIDGE DRIVE|SUITE 140|ROSEVILLE CA 95661|USA|P. O. BOX 2490||CITRUS HEIGHTS CA 95611|USA|DAXS A. STADJUHAR|916-721-1000|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers, Other|APPROVED|07/09/2004|0|0|0|0|0|0
San Francisco Regional Office| 111944|801-57589|THE CAMPBELL GROUP, LLC|THE CAMPBELL GROUP, LLC|ONE SW COLUMBIA STE 1700||PORTLAND OR 97258|USA|||  ||STEVEN D. HOLLAND|503-275-9675|Limited Liability Company|Other|APPROVED|07/17/2000|0|0|0|0|0|0
San Francisco Regional Office| 111990|801-62454|EPSILON FINANCIAL GROUP, INC.|EPSILON FINANCIAL GROUP, INC.|2801 WATERMAN BLVD., SUITE 250||FAIRFIELD CA 94533|USA|||  ||MARK SIEVERS|(707) 428-5500|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/24/2003|0|0|0|0|0|0
San Francisco Regional Office| 112016|801-39280|TDA INVESTMENT GROUP, INC.|TDA INVESTMENT GROUP, INC.|1214 DONNELLY AVE||BURLINGAME CA 94010-1402|USA|||  ||GARRY J. SPANNER|650-343-6333|Corporation|Other|APPROVED|07/03/1991|0|0|0|0|0|0
San Francisco Regional Office| 112079|801-51693|DOBSON ASSET MANAGEMENT|DOBSON ASSET MANAGEMENT - NORTHERN CALIFORNIA|7 FOURTH STREET|SUITE 25|PETALUMA CA 94952|USA|||  ||CHRISTOPHER M DOBSON|(707)766-9254|Partnership|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/10/1996|0|0|0|0|0|0
San Francisco Regional Office| 112108|801-58297|HART CAPITAL MANAGEMENT, INC.|CWH CAPITAL MANAGEMENT, INC.|W.601 MAIN AVENUE, SUITE 1214||SPOKANE WA 99201|USA|||  ||SHARON HAUG|509-444-7007|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|01/25/2001|0|0|0|0|0|0
San Francisco Regional Office| 112109|801-60296|J.P. KING & ASSOCIATES, INC.|J.P. KING & ASSOCIATES, INC.|1600 SOUTH MAIN STREET, SUITE 100||WALNUT CREEK CA 94596|USA|||  ||JACKIE WALKER|925-935-1555|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/23/2001|0|0|0|0|0|0
San Francisco Regional Office| 112170|801-55375|SPRINGCREEK ADVISORS, LLC|SPRINGCREEK ADVISORS, LLC|770 TAMALPAIS DRIVE|SUITE 210|CORTE MADERA CA 94925|USA|||  ||WENDY J. MITCHELL|415 945-7050|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|03/23/1998|0|0|0|0|0|0
San Francisco Regional Office| 112172|801-60283|RBO & CO, LLC|RBO & CO, LLC|1478 RAILROAD AVENUE||ST. HELENA CA 94574|USA|P.O. BOX 306||ST. HELENA CA 94574|USA|JAMES M. TARKENTON|707-963-1231|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|05/17/2001|0|0|0|0|0|0
San Francisco Regional Office| 112182|801-41001|NEUMANN CAPITAL MANAGEMENT|NEUMANN DANIEL JOHN|520 S. EL CAMINO REAL SUITE 710||SAN MATEO CA 94402|USA|||  ||DANIEL J NEUMANN|650-548-9200|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|03/13/1992|0|0|0|0|0|0
San Francisco Regional Office| 112226|801-55793|HEARTHSTONE, A CALIFORNIA CORPORATION|HEARTHSTONE, A CALIFORNIA CORPORATION|781 LINCOLN AVE.|SUITE 300|SAN RAFAEL CA 94901|USA|16133 VENTURA BLVD.|SUITE 1400|ENCINO CA 91436|USA|MARK ALLAN PORATH|818-385-3541|Other (specify)|Other|APPROVED|09/08/1998|0|0|0|0|0|0
San Francisco Regional Office| 112239|801-60326|RICHARD G. SLATER R.I.A.|RICHARD G. SLATER|5090 KEANE DR||CARMICHAEL CA 95608|USA|||  ||RICHARD G SLATER|916-971-4129|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/01/2001|0|0|0|0|0|0
San Francisco Regional Office| 112245|801-33315|MILLIMAN|MILLIMAN, INC.|1301 FIFTH AVE STE 3800||SEATTLE WA 98101-2605|USA|||  ||BRIAN S. POLLACK|206-624-7940|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|12/30/1988|0|0|0|0|0|0
San Francisco Regional Office| 112305|801-60616|MERK INVESTMENTS LLC|MERK INVESTMENTS LLC|2672 BAYSHORE PARKWAY SUITE 1001||MOUNTAIN VIEW CA 94043|USA|555 BRYANT STREET #455||PALO ALTO CA 94301|USA|ALEXANDER G. MERK|650-323-4341|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies|APPROVED|10/10/2001|0|0|0|0|0|0
San Francisco Regional Office| 112328|801-57817|INFANGER INVESTMENT TECHNOLOGY, LLC|INFANGER INVESTMENT TECHNOLOGY, LLC|2685 MARINE WAY, SUITE 1315||MOUNTAIN VIEW CA 94043|USA|||  ||GERD INFANGER|(650) 961-5176|Limited Liability Company|Portfolio management for investment companies|APPROVED|07/31/2000|0|0|0|0|0|0
San Francisco Regional Office| 112336|801-46303|CONWAY JARVIS LLC|CJ PARTNERS LLC|3147 FAIRVIEW AVE E. SUITE #300||SEATTLE WA 98102|USA|||  ||GREG CONWAY|206-324-9765|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/01/1994|0|0|0|0|0|0
San Francisco Regional Office| 112411|801-57174|BAY CITY FINANCIAL SERVICES INC|BAY CITY FINANCIAL SERVICES INC|1255 BARKLEY BLVD. #102||BELLINGHAM WA 98226|USA|PO BOX 31550||BELLINGHAM WA 98228-3550|USA|GERALD S. WALLACE|360-647-0649|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|01/27/2000|0|0|0|0|0|0
San Francisco Regional Office| 112474|801-63053|JDH WEALTH MANAGEMENT, LLC|JDH WEALTH MANAGEMENT, LLC|187 CONCOURSE BOULEVARD||SANTA ROSA CA 95403|USA|||  ||TIMOTHY J. DELANEY|707.542.1110|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|05/07/2004|1|0|0|0|0|0
San Francisco Regional Office| 112487|801-38997|ORRELL CAPITAL MANAGEMENT|ORRELL CAPITAL MANAGMENT, INC.|1536 HOLMES STREET||LIVERMORE CA 94550|USA|||  ||GREG ORRELL|(925) 455-0802|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|06/27/1991|0|0|0|0|0|0
San Francisco Regional Office| 112499|801-26861|SANDER CAPITAL ADVISORS|SANDER CAPITAL ADVISORS|4105 E. MADISON ST.|SUITE 300|SEATTLE WA 98112|USA|||  ||ROBERT SANDER|206-323-8822|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/12/1986|0|0|0|0|0|0
San Francisco Regional Office| 112531|801-57590|SHORELINE INVESTMENT MANAGEMENT CO|SHORELINE INVESTMENT MANAGEMENT CO|3000 HANOVER ST|M/S 1037|PALO ALTO CA 94304|USA|||  ||WENDY NICOLA SERGEANT-CLARKE|650-857-2309|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|05/18/2000|0|0|0|0|0|0
San Francisco Regional Office| 112536|801-57822|AZURE CAPITAL PARTNERS LP|AZURE CAPITAL PARTNERS LP|650 CALIFORNIA ST. 11TH FL.||SAN FRANCISCO CA 94108|USA|||  ||MARTIN BRUSCO|(415) 276-5535|Partnership|Other|APPROVED|07/31/2000|0|0|0|0|0|0
San Francisco Regional Office| 112547|801-63384|SCHULMERICH & ASSOCIATES ASSET MANAGEMENT LLC|STEPHEN CRAIG SCHULMERICH|11585 NW REEVES ST.||PORTLAND OR 97229|USA|LINCOLN CENTER|10260 SW GREENBURG RD. STE 400|PORTLAND OR 97223|USA|CRAIG SCHULMERICH|503.672.7750|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|07/29/2004|0|2|0|0|0|0
San Francisco Regional Office| 112552|801-58183|K & A ASSET MANAGEMENT, LLC|K & A ASSET MANAGEMENT, LLC|702 TRANCAS STREET|SUITE 200|NAPA CA 94558|USA|||  ||PAUL J. KRSEK|(707) 224-1340|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/01/2003|0|0|0|0|0|0
San Francisco Regional Office| 112610|801-24922|AMERINDO INVESTMENT ADVISORS INC|AMERINDO INVESTMENT ADVISORS INC|ONE EMBARCADERO CTR, STE 2310||SAN FRANCISCO CA 94111-3162|USA|399 PARK AVENUE|22ND FLOOR|NEW YORK NY 10022|USA|DANA SMITH|212-371-6360|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|08/09/1985|0|0|0|0|0|0
San Francisco Regional Office| 112780|801-42540|ASTORIA CAPITAL MANAGEMENT INC.|ASTORIA CAPITAL MANAGEMENT INC.|1675 SW MARLOW AVENUE|SUITE 315|PORTLAND OR 97225|USA|||  ||RICHARD W. KOE|503-244-1956|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/20/1992|0|0|0|0|0|0
San Francisco Regional Office| 112798|801-56045|JOHN W PARKER INVESTMENT MANAGEMENT|JOHN W. PARKER|69 SANTIAGO AVE||ATHERTON CA 94027-5412|USA|P.O. BOX 1088||MENLO PARK CA 94026-1088|USA|HOWARD M FRANKLIN|650-326-0387|Sole Proprietorship|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Market timing services|APPROVED|03/23/1999|0|0|0|0|0|0
San Francisco Regional Office| 112813|801-67237|CAPITAL STRATEGIES & INVESTMENTS, INC.|CAPITAL STRATEGIES & INVESTMENTS, INC.|490 JEFFERSON STREET||SAN FRANCISCO CA 94109-1315|USA|||  ||ROCKNE STUART SCHATZ|415-567-9428|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|10/16/2006|0|0|0|0|0|0
San Francisco Regional Office| 112814|801-67374|RCM ROBINSON CAPITAL MANAGEMENT LLC|RCM ROBINSON CAPITAL MANAGEMENT LLC|3997 WASHINGTON STREET||SAN FRANCISCO CA 94118|USA|||  ||DOUG ROBINSON|415-771-9421|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|01/08/2007|0|0|0|0|0|0
San Francisco Regional Office| 112846|801-39839|GROH ASSET MANAGEMENT INC|GROH ASSET MANAGEMENT INC|P.O. BOX 942||SAUSALITO CA 94965|USA|P.O. BOX 942||SAUSALITO CA 94965|USA|ROGER GROH|415-352-0678|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/19/1991|0|1|1|0|1|0
San Francisco Regional Office| 112847|801-26502|BERLA INVESTMENT CONSULTING|BERLA GEORGE ALEXANDER|35 QUAIL COURT|SUITE 100|WALNUT CREEK CA 94596|USA|P.O. BOX 4067||WALNUT CREEK CA 94596-0067|USA|GEORGE BERLA|925-947-0326|Sole Proprietorship|Pension consulting services, Selection of other advisers|APPROVED|03/10/1986|0|0|0|0|0|0
San Francisco Regional Office| 112865|801-49411|POLYNOUS CAPITAL MANAGEMENT INC|POLYNOUS CAPITAL MANAGEMENT INC|1 PINE STREET|SUITE 2208|SAN FRANCISCO CA 94111|USA|||  ||KEVIN L. WENCK|415-217-3736|Corporation|Portfolio management for investment companies|APPROVED|06/19/1995|0|0|0|0|0|0
San Francisco Regional Office| 112945|801-34195|CHAN P & CO INC|CHAN P & CO INC|700 LARKSPUR LANDING CIRCLE|SUITE 199|LARKSPUR CA 94939|USA|||  ||PETER CHAN|415-488-9661|Corporation|Pension consulting services, Selection of other advisers, Other|APPROVED|04/03/1989|0|0|0|0|0|0
San Francisco Regional Office| 113008|801-32359|SAGE INVESTMENT MANAGEMENT|O'NEILL,MICHAEL,FRANCIS|3685 MOUNT DIABLO BLVD., #360||LAFAYETTE CA 94549|USA|||  ||MICHAEL O'NEILL|925-284-3034|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|06/30/1988|0|0|0|0|0|0
San Francisco Regional Office| 113010|801-68047|LAWRENCE A KRAUSE & ASSOICATES, INC.|LAWRENCE A KRAUSE & ASSOCIATES,INC.|1001 BAY HILL DRIVE|SUITE 170|SAN BRUNO CA 94066|USA|||  ||LAWRENCE A KRAUSE|650-266-8000|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/10/2007|0|1|0|0|0|0
San Francisco Regional Office| 113037|801-66470|THE BRAUNER COMPANY|THE BRAUNER COMPANY|255 SHORELINE DRIVE, SUITE 150||REDWOOD CITY CA 94065|USA|||  ||SUSAN M. BRAUNER|650-574-0800|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|04/06/2006|0|0|0|0|0|0
San Francisco Regional Office| 113044|801-60818|COMMON SENSE INVESTMENT MANAGEMENT, LLC|COMMON SENSE INVESTMENT MANAGEMENT, LLC|15350 SW SEQUOIA PARKWAY, SUITE 250||PORTLAND OR 97224|USA|||  ||MARK A. WENTZIEN|503-603-4544|Limited Liability Company|Other|APPROVED|01/11/2002|0|0|0|0|0|0
San Francisco Regional Office| 113079|801-60292|EMERY HOWARD|EMERY & HOWARD PORTFOLIO MANAGEMENT|577 AIRPORT BLVD.|SUITE 610|BURLINGAME CA 94010|USA|||  ||FRANK C. MARINARO|(650) 579-7100|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|05/23/2001|0|0|0|0|0|0
San Francisco Regional Office| 113178|801-60660|SP ASSET MANAGEMENT|PANDYA, SANDEEP MADHAVLAL|20380 TOWN CENTER LANE|SUITE 205|CUPERTINO CA 95014|USA|||  ||SANDEEP PANDYA|4082577711|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/02/2001|0|0|0|0|0|0
San Francisco Regional Office| 113186|801-63262|BERGMAN INVESTMENT MANAGEMENT|BERGMAN DOUGLAS EDWARD|2311 19TH STREET||SAN FRANCISCO CA 94107|USA|||  ||DOUGLAS BERGMAN|415-374-7800|Sole Proprietorship|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/18/2004|0|0|0|0|0|0
San Francisco Regional Office| 113209|801-62966|BALCH HILL CAPITAL|BALCH HILL CAPITAL, LLC|2778 GREEN STREET||SAN FRANCISCO CA 94123|USA|||  ||SIMON MICHAEL|415 474 7055|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/30/2004|0|0|0|0|0|0
San Francisco Regional Office| 113214|801-67572|THORNE ASSET MANAGEMENT, INC.|THORNE ASSET MANAGEMENT, INC.|716 MONTGOMERY STREET||SAN FRANCISCO CA 94111|USA|||  ||DOUGLAS R THORNE|415-591-0661|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|02/16/2007|0|0|0|0|0|0
San Francisco Regional Office| 113256|801-67752|PALADIN CAPITAL MANAGEMENT|PAUL A. D. EVANS DBA PALADIN CAPITAL MANAGEMENT|235 MONTGOMERY STREET,|SUITE 1146|SAN FRANCISCO CA 94104|USA|||  ||PAUL A. D. EVANS|415-981-1725|Sole Proprietorship|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|04/19/2007|0|0|0|0|0|0
San Francisco Regional Office| 113354|801-60884|RNP ADVISORY SERVICES, INC.|RNP ADVISORY SERVICES, INC.|17190 S MONTEREY ROAD|STE 202|MORGAN HILL CA 95037|USA|||  ||KEVIN M ROONEY|408-779-0699|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|01/30/2002|0|1|0|0|0|0
San Francisco Regional Office| 113400|801-60345|LAIRD NORTON TYEE ASSET STRATEGIES, LLC|LAIRD NORTON TYEE ASSET STRATEGIES, LLC|801 SECOND AVENUE, SUITE 1600||SEATTLE WA 98104-1564|USA|||  ||ELIZABETH C. EMORY|206-464-5263|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|06/08/2001|0|0|0|0|0|0
San Francisco Regional Office| 113403|801-67991|STRATEGIC GROUP|STRATEGIC INVESTMENT ADVISORS, INC.|2400 SW 4TH AVENUE|SUITE 100|PORTLAND OR 97201|USA|||  ||WILLIAM I. MEYER|503-222-9737 X 201|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/08/2007|0|0|0|0|0|0
San Francisco Regional Office| 113439|801-68503|PONDER FINANCIAL GROUP|PONDER, RANDALL SCOTT|755 MAIN STREET||HALF MOON BAY CA 94019-1924|USA|||  ||RANDALL SCOTT PONDER|650-726-0850|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|11/06/2007|0|1|0|0|0|0
San Francisco Regional Office| 113466|801-60537|THOMAS WEISEL ASSET MANAGEMENT LLC|THOMAS WEISEL ASSET MANAGEMENT LLC|ONE MONTGOMERY STREET|SUITE 3700|SAN FRANCISCO CA 94104|USA|||  ||MARK FISHER|415-364-2500|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/30/2001|0|0|0|0|0|0
San Francisco Regional Office| 113622|801-60372|SHERWOOD INVESTMENT SERVICES|LINGER, ERIC JAY|23705 NE 61ST STREET||REDMOND WA 98053|USA|||  ||ERIC LINGER|425-898-8989|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/25/2001|0|0|0|0|0|0
San Francisco Regional Office| 113624|801-60419|WELLS FARGO ALTERNATIVE ASSET MANAGEMENT LLC|WELLS FARGO ALTERNATIVE ASSET MANAGEMENT LLC|333 MARKET ST.  29TH FLOOR|MAC# A0119-291|SAN FRANCISCO CA 94105-2130|USA|||  ||DEDE DUNEGAN|415-222-6637|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/13/2001|0|0|0|0|0|0
San Francisco Regional Office| 113643|801-60403|HERMES ECONOMETRICS|MAIA LAURA MCGEHEE|1101 FIFTH AVENUE|SUITE 270|SAN RAFAEL CA 94901|USA|||  ||MAIA MCGEHEE|415-454-4184|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|07/10/2001|0|0|0|0|0|0
San Francisco Regional Office| 113647|801-60946|EVNINE & ASSOCIATES|EVNINE & ASSOCIATES, INC.|456 MONTGOMERY STREET|8TH FLOOR|SAN FRANCISCO CA 94104-1241|USA|||  ||TOSHI TAZAWA|415-830-4303|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/25/2002|0|1|0|0|0|0
San Francisco Regional Office| 113771|801-61118|GASBER FINANCIAL ADVISORS, INC.|GASBER FINANCIAL ADVISORS, INC.|11344 COLOMA ROAD, SUITE 705||GOLD RIVER CA 95670|USA|||  ||GERALD E. GASBER|916-852-9399|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|05/07/2002|0|0|0|0|0|0
San Francisco Regional Office| 113780|801-62736|HELMSMAN FINANCIAL GROUP, LLC|HELMSMAN FINANCIAL GROUP, LLC|17330 135TH AVENUE, NE|SUITE 2A|WOODINVILLE WA 98072|USA|||  ||DOUGLAS D. SPRINGER|425-485-0381|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|02/06/2004|0|0|0|0|0|0
San Francisco Regional Office| 113791|801-67652|BROWN ROBELLO CAPITAL MANAGEMENT, LLC|BROWN ROBELLO CAPITAL MANAGEMENT, LLC|3626 FAIR OAKS BLVD.|SUITE 300|SACRAMENTO CA 95864-7256|USA|||  ||A. WAYNE ROBELLO|916-480-2747|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/07/2007|0|0|0|0|0|0
San Francisco Regional Office| 113792|801-66756|PONDEROSA WEALTH MANAGEMENT|MDS INVESTMENTS, INC.|6607 S. HIGHLAND PARK DRIVE||SPOKANE WA 99223|USA|P.O. BOX 31553||SPOKANE WA 99223|USA|MICHAEL D. STRASSER|509-747-3798|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/22/2006|0|0|0|0|0|0
San Francisco Regional Office| 113820|801-61078|LOFTUS INVESTMENT ADVISORS|BETTY RAE LOFTUS|11344 COLOMA ROAD|SUITE 525|GOLD RIVER CA 95670|USA|||  ||NEVA BASQUES|(916) 858-8525|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|04/15/2002|0|0|0|0|0|0
San Francisco Regional Office| 113902|801-67769|STOCK MANAGEMENT LLC|STOCK MANAGEMENT LLC|13004 72ND AVENUE E||PUYALLUP WA 98373-5388|USA|BOX 73008||PUYALLUP WA 98373-0008|USA|BEN HEEB|253-535-5530|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/10/2007|0|0|0|0|0|0
San Francisco Regional Office| 114022|801-41038|BACON & COMPANY|BACON & COMPANY|27175 MEADOWS ROAD||CARMEL CA 93923-9528|USA|||  ||R. LAWRENCE BACON|831-626-0505|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|03/16/1992|0|0|0|0|0|0
San Francisco Regional Office| 114076|801-60474|SEEL & WRIGHT, LLC|SEEL & WRIGHT, LLC|395 TAYLOR BLVD,|SUITE 107|PLEASANT HILL CA 94523|USA|||  ||MATTHEW WRIGHT|925-246-7982|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|08/16/2001|0|0|0|0|0|0
San Francisco Regional Office| 114079|801-65315|PEGASUS INVESTMENT MANAGEMENT LLC|PEGASUS INVESTMENT MANAGEMENT LLC|15127 HENDERSON RD. NE||BAINBRIDGE ISLAND WA 98110|USA|||  ||DOUGLAS SAKSA|206-842-9328|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|05/31/2006|0|0|0|0|0|0
San Francisco Regional Office| 114093|801-62709|LIGHTHOUSE FINANCIAL PLANNING|LIGHTHOUSE FINANCIAL PLANNING, LLC|101 PARK SHORE DRIVE, SUITE 100||FOLSOM CA 95630|USA|||  ||JAMES R. JOHNSON|916-932-7200|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/20/2004|0|0|0|0|0|0
San Francisco Regional Office| 114106|801-60466|OMT CAPITAL MANAGEMENT, LLC|OMT CAPITAL MANAGEMENT, LLC|ONE MONTGOMERY STREET|SUITE 3300|SAN FRANCISCO CA 94104|USA|||  ||THOMAS D. HENWOOD|(415) 296-8100|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/10/2001|0|0|0|0|0|0
San Francisco Regional Office| 114110||LIBERTY GROUP, LLC|LIBERTY GROUP, LLC|3923 GRAND AVENUE||OAKLAND CA 94610|USA|||  ||KENNETH BOCHAT|(510) 658-1880|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|01/03/2006|0|0|0|0|0|0
San Francisco Regional Office| 114125|801-45978|STRATEGIC INVESTMENT SOLUTIONS INC.|STRATEGIC INVESTMENT SOLUTIONS INC.|333 BUSH STREET|SUITE 2000|SAN FRANCISCO CA 94104|USA|||  ||EMMANUEL CANTERAS|415-362-3484|Corporation|Pension consulting services, Selection of other advisers|APPROVED|02/28/1994|0|0|0|0|0|0
San Francisco Regional Office| 114310|801-60485|PARAMETRIC|PARAMETRIC PORTFOLIO ASSOCIATES LLC|1151 FAIRVIEW AVENUE NORTH||SEATTLE WA 98109|USA|||  ||JOEL MARCUS|(206)694-5527|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/17/2001|0|0|0|0|0|0
San Francisco Regional Office| 114437|801-68960|SOUNDVIEW ADVISORS|SOUNDVIEW ADVISORS|1441 WEST BAY DRIVE STE.201||OLYMPIA WA 98502|USA|||  ||ANGELLA BENNETT|360-867-9890|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|03/24/2008|0|0|0|0|0|0
San Francisco Regional Office| 114445|801-55877|RELIANT CONSULTING & RESEARCH|CLARK DANIEL|29080 HANSVILLE ROAD N.E.||KINGSTON WA 98346|USA|P.O. BOX 1806||KINGSTON WA 98346-1806|USA|DANIEL CLARK|877-855-8172|Corporation|Financial planning services, Pension consulting services, Selection of other advisers|APPROVED|10/01/1998|0|0|0|0|0|0
San Francisco Regional Office| 114536|801-60495|ADVISOR PARTNERS, LLC|ADVISOR PARTNERS, LLC|45 BELDEN PLACE|2ND FLOOR|SAN FRANCISCO CA 94104-2808|USA|||  ||DENNIS CLARK|415/477-9977|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|08/17/2001|0|0|0|0|0|0
San Francisco Regional Office| 114572|801-61605|WILLOW RIDGE CAPITAL ADVISORS, INC.|WILLOW RIDGE CAPITAL ADVISORS, INC.|409 WASHINGTON STREET|SUITE 202-A|MONTEREY CA 93940|USA|||  ||GARY E.D. ALT|925-462-8005|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters, Other|APPROVED|11/22/2002|0|0|0|0|0|0
San Francisco Regional Office| 114629|801-57739|MAIN STREET RESEARCH LLC|MAIN STREET RESEARCH LLC|670 BRIDGEWAY||SAUSALITO CA 94965|USA|||  ||TAMRA A STERN|415-289-1010|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/14/2000|0|0|0|0|0|0
San Francisco Regional Office| 114654|801-66529|RANDOLPH MANAGED INVESTMENTS|MICHAEL ALAN RANDOLPH|438 1ST STREET|SUITE 230|SANTA ROSA CA 95401-5288|USA|||  ||MICHAEL RANDOLPH|(707) 573-1357|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|03/23/2007|0|0|0|0|0|0
San Francisco Regional Office| 114843|801-60520|MCBRIDE FINANCIAL ADVISORS, LLC|MCBRIDE FINANCIAL ADVISORS, LLC|15207 28TH AVE. SW||SEATTLE WA 98166|USA|P.O. BOX 1328||SEAHURST WA 98062|US|MICHAEL J. MCBRIDE|206-223-0561|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|08/31/2001|0|0|0|0|0|0
San Francisco Regional Office| 114913|801-60536|VISTA CAPITAL PARTNERS, INC.|VISTA CAPITAL PARTNERS, INC.|9755 SW BARNES ROAD|SUITE 595|PORTLAND OR 97225|USA|||  ||CHRISTINE L BARNES|503-772-9500|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/31/2001|0|0|0|0|0|0
San Francisco Regional Office| 114946|801-68865|HORIZON CAPITAL PARTNERS LLC|HORIZON CAPITAL PARTNERS LLC|404 NORTH 31ST STREET|SUITE 112|BILLINGS MT 59101|USA|||  ||CHRISTIAN ORMS|406-208-0208|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/17/2008|0|0|0|0|0|0
San Francisco Regional Office| 115060|801-60509|MCMORGAN & COMPANY LLC|MCMORGAN & COMPANY LLC|ONE BUSH STREET, SUITE 800||SAN FRANCISCO CA 94104|USA|||  ||ROBERT HILLS|415-788-9300|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/11/2001|0|50|4|0|0|0
San Francisco Regional Office| 115157|801-60894|PACIFIC ASSET MANAGEMENT, LLC|PACIFIC ASSET MANAGEMENT, LLC|1590 BAY STREET||PORT ORCHARD WA 98366|USA|||  ||GARY LUCY|360-876-1938|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|02/04/2002|0|0|0|0|0|0
San Francisco Regional Office| 115326|801-68493|WHITE & COMPANY FINANCIAL PLANNING, INC.|WHITE & COMPANY FINANCIAL PLANNING, INC.|910 E. FRANKLIN|SUITE 3|SUNNYSIDE WA 98944|USA|P. O. BOX 898||SUNNYSIDE WA 98944|USA|THOMAS ALBERT WHITE|509-837-6700|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|11/15/2007|0|0|0|0|0|0
San Francisco Regional Office| 115508|801-61266|T.F. KING & ASSOCIATES|KING, THEODORE, FRANKLIN|3748 SW COUNCIL CREST DRIVE||PORTLAND OR 97239|USA|6663 SW BEAVERTON HILLSDALE HWY.  #290||PORTLAND OR 97225-1403|USA|THEODORE F. KING|(503) 223-8334|Sole Proprietorship|Portfolio management for individuals and/or small businesses, Other|APPROVED|07/05/2002|0|0|0|0|0|0
San Francisco Regional Office| 115580|801-68591|PROFESSIONAL INVESTMENT MANAGEMENT SERVICES, PLLC|PROFESSIONAL INVESTMENT MANAGEMENT SERVICES, PLLC|7103 W. CLEARWATER|SUITE B|KENNEWICK WA 99336|USA|||  ||GARRICK RUSSELL|5097353000|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|12/03/2007|0|0|0|0|0|0
San Francisco Regional Office| 115738|801-60608|PEREGRINE ASSET ADVISERS, INC.|PEREGRINE ASSET ADVISERS, INC.|ONE SW COLUMBIA SUITE 1680||PORTLAND OR 97258|USA|||  ||DAN BOTTI|503.459.4651|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|10/03/2001|0|0|0|0|0|0
San Francisco Regional Office| 115751|801-63872|HBC FINANCIAL SERVICES, PLLC|HBC FINANCIAL SERVICES, PLLC|743 NORTH 35TH STREET||SEATTLE WA 98103-8802|USA|||  ||JEFFREY M. BERKMAN|206-548-5000|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|02/03/2005|0|0|0|0|0|0
San Francisco Regional Office| 115753|801-63693|BONDSTREET WEALTH MANAGEMENT, LLC|BONDSTREET WEALTH MANAGEMENT, LLC|2911 BOND ST, SUITE 105||EVERETT WA 98201|USA|||  ||BRIAN K. EVANS|425-252-6909|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|01/03/2005|0|0|0|0|0|0
San Francisco Regional Office| 115865|801-67342|THE HEDRICK CO.|THE HEDRICK CO.|4500 90TH SE||MERCER ISLAND WA 98040|USA|4500 90TH AVE. SE||MERCER ISLAND WA 98040|US|BETTY HEDRICK|206 232 8807|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|12/06/2006|0|0|0|0|0|0
San Francisco Regional Office| 115963|801-61497|MALCOLM H. GISSEN & ASSOCIATES, LLC|MALCOLM H. GISSEN & ASSOCIATES INC.|1700 CALIFORNIA STREET|SUITE 335|SAN FRANCISCO CA 94109|USA|||  ||LILLIAN TOM|415-749-6565|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|10/21/2002|0|1|0|0|0|0
San Francisco Regional Office| 115969|801-67510|BBJS FINANCIAL ADVISORS, LLC|BBJS FINANCIAL ADVISORS, LLC|1501 FOURTH AVENUE, SUITE 2880||SEATTLE WA 98101|USA|||  ||WILLIAM F. SERRES II|206-682-4840|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/24/2007|0|0|0|0|0|0
San Francisco Regional Office| 115970|801-60935|HALLETT & ASSOCIATES, P.S.|HALLETT & ASSOCIATES, P.S.|321 EAST FIRST STREET|P.O. BOX 3050|PORT ANGELES WA 98362-0338|USA|321 EAST FIRST STREET|P. O. BOX 3050|PORT ANGELES WA 98362-0338|USA|JOANNE HALLETT|360-457-6000|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|02/22/2002|0|0|0|0|0|0
San Francisco Regional Office| 116071|801-67878|LUDEMAN CAPITAL MANAGEMENT, INC.|LUDEMAN CAPITAL MANAGEMENT, INC.|2115 BARKLEY BVD #101||BELLINGHAM WA 98226|USA|||  ||FRANK TALBOT|360-738-9600|Corporation|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|05/18/2007|0|0|0|0|0|0
San Francisco Regional Office| 116180|801-66520|ANDREW WATKINS & ASSOCIATES INC.|ANDREW E. WATKINS & ASSOCIATES INC.|330 SOUTH SEQUIM AVE||SEQUIM WA 98382|USA|PO BOX 1689||SEQUIM WA 98382|US|ANDREW E. WATKINS|360-683-9833|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/28/2006|0|0|0|0|0|0
San Francisco Regional Office| 116284|801-62014|PRESIDIO CAPITAL ADVISORS, LLC|PRESIDIO CAPITAL ADVISORS, LLC|101 CALIFORNIA STREET 12TH FLOOR||SAN FRANCISCO CA 94111|USA|||  ||JEFFREY L. ZLOT|(415) 449-1000|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|04/25/2003|0|0|0|0|0|0
San Francisco Regional Office| 116314|801-63508|HAMRICK INVESTMENT COUNSEL, LLC|HAMRICK INVESTMENT COUNSEL, LLC|2033 SIXTH AVENUE|SUITE 820|SEATTLE WA 98121-2567|USA|||  ||ROY A. HAMRICK|206-441-9911|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|12/16/2004|0|0|0|0|0|0
San Francisco Regional Office| 116316|801-64936|SEATTLE PORTFOLIO COMPANY|SEATTLE PORTFOLIO COMPANY LLC|1127 10TH AVE E.|#2|SEATTLE WA 98102|USA|||  ||M. ALLISON BEEZER, CFA|206-323-3700|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|01/11/2006|0|0|0|0|0|0
San Francisco Regional Office| 116372|801-63381|SADLER RAINFORD CAPITAL MANAGEMENT, INC.  (SRCM)|SADLER CAPITAL MANAGEMENT, INC.|518 S. 9TH STREET|SUITE 250|BOISE ID 83702|USA|P.O. BOX 1488||BOISE ID 83701|USA|EDWARD G. RAINFORD|208-384-8515|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|08/02/2004|0|0|0|0|0|0
San Francisco Regional Office| 116383|801-68412|SAMUEL D SKAGGS INVESTMENTS|SAMUEL DWIGHT SKAGGS|119 SEWARD STREET|SUITE 7|JUNEAU AK 99801|USA|||  ||AMY VOLZ|907 463 5511|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/11/2007|0|0|0|0|0|0
San Francisco Regional Office| 116387|801-60788|ALLISON SPIELMAN ADVISORS, LLC|ALLISON SPIELMAN ADVISORS, LLC|3805 108TH AVENUE, NE|SUITE 100|BELLEVUE WA 98004|USA|||  ||DEBORAH MORIO|425-889-7848|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|12/18/2001|0|0|0|0|0|0
San Francisco Regional Office| 116395|801-61109|ARNERICH MASSENA & ASSOCIATES, INC|ARNERICH MASSENA & ASSOCIATES, INC|2045 NE MARTIN LUTHER KING JR. BLVD.||PORTLAND OR 97212|USA|||  ||MICHELLE K. WORTHINGTON-RUPPELT|503/239-0475|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|04/29/2002|0|0|0|0|0|0
San Francisco Regional Office| 116462|801-63995|GOODRICH & ASSOCIATES, INC.|GOODRICH & ASSOCIATES, INC.|12 BELLWETHER WAY|SUITE 215|BELLINGHAM WA 98225|USA|||  ||LARRY C. GOODRICH|360-671-0226|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/13/2005|0|0|0|0|0|0
San Francisco Regional Office| 116511|801-67807|CHANEY CAPITAL MANAGEMENT INC.|CHANEY CAPITAL MANAGEMENT INC.|120 WEST DAYTON STREET|SUITE #D4|EDMONDS WA 98020|USA|||  ||STEPHEN J. CHANEY|425-673-4060|Corporation|Portfolio management for individuals and/or small businesses, Other|APPROVED|04/19/2007|0|0|0|0|0|0
San Francisco Regional Office| 116554|801-60850|HOLLO & ASSOCIATES, INC.|HOLLO & ASSOCIATES, INC.|3136 EAST MADISON||SEATTLE WA 98112-4267|USA|||  ||ARDETH A. HOLLO|206-623-4952|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|01/15/2002|0|0|0|0|0|0
San Francisco Regional Office| 116556|801-66478|CHRISTENSEN, KING & ASSOCIATES INVESTMENT SERVICES, INC.|CHRISTENSEN, KING & ASSOCIATES INVESTMENT SERVICES, INC.|1334 JADWIN AVENUE||RICHLAND WA 99354|USA|||  ||ROBIN GOULD|509/943-1040|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|04/12/2006|0|0|0|0|0|0
San Francisco Regional Office| 116557|801-63131|BOGDANOVICH WEALTH MANAGEMENT PLLC|JEFFREY JAY BOGDANOVICH|9725 3RD AVENUE NE|SUITE 504|SEATTLE WA 98115|USA|||  ||JEFFREY J. BOGDANOVICH|206-522-4478|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/14/2004|0|0|0|0|0|0
San Francisco Regional Office| 116569|801-65393|STEELHEAD PARTNERS, LLC|STEELHEAD PARTNERS,LLC|1301 FIRST AVENUE, SUITE 201||SEATTLE WA 98101|USA|P.O. BOX 21749||SEATTLE WA 98111|USA|ANNE BORECKI|206-689-2450|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/23/2006|0|0|0|0|0|0
San Francisco Regional Office| 116587|801-61937|SMART INVESTOR|SMART INVESTOR|5800 STANFORD RANCH ROAD|BLDG 800|ROCKLIN CA 95765|USA|||  ||TINA HERRMANN|916-435-2100|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/03/2003|0|0|0|0|0|0
San Francisco Regional Office| 116632|801-61884|VAN HULZEN ASSET MANAGEMENT|VAN HULZEN ASSET MANAGEMENT, LLC|950 IRON POINT ROAD|STE. 290|FOLSOM CA 95630|USA|||  ||CRAIG VANHULZEN|(916) 608-4284|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|03/14/2003|0|0|0|0|0|0
San Francisco Regional Office| 116636|801-61796|PINNACLE WEALTH MANAGEMENT, LLC|PINNACLE WEALTH MANAGEMENT, LLC|4963 N.E. 85TH STREET||SEATTLE WA 98115|USA|||  ||KEVIN LEE SMITH|206-525-1283|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/11/2003|0|0|0|0|0|0
San Francisco Regional Office| 116639|801-67665|LUCID ADVISORS, INC.|LUCID ADVISORS, INC.|500 UNION STREET|SUITE 600|SEATTLE WA 98101|USA|PO BOX 21014||SEATTLE WA 98111-3014|USA|JESSICA NETHERLAND|206-267-2222 X30|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|03/05/2007|0|0|0|0|0|0
San Francisco Regional Office| 116667|801-62865|JOHNSON & SHUTE INVESTMENT ADVISORS, INC.|JOHNSON & SHUTE INVESTMENT ADVISORS, INC.|2950 NORTHUP WAY|SUITE 200|BELLEVUE WA 98004|USA|||  ||GREG RADOVICH|425-827-5755|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|03/05/2004|0|0|0|0|0|0
San Francisco Regional Office| 116737|801-66622|SUMMIT CAPITAL ADVISORS|SUMMIT FINANCIAL SERVICES, LLC|2200 N. 30TH ST.|SUITE 202|TACOMA WA 98403|USA|||  ||JAMES H. SUITS, JR.|253-589-1401|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|05/03/2006|0|0|0|0|0|0
San Francisco Regional Office| 116752|801-66951|PAYSSE JENNISON, INC.|PAYSSE JENNISON, INC.|9311 SE 36TH STREET|SUITE 206|MERCER ISLAND WA 98040|USA|||  ||BRIAN JENNISON|206-236-7343|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/06/2006|0|0|0|0|0|0
San Francisco Regional Office| 116761|801-60760|AETOS ALTERNATIVES MANAGEMENT|AETOS ALTERNATIVE MANAGEMENT, LLC|2180 SAND HILL ROAD|FOURTH FLOOR|MENLO PARK CA 94025|USA|||  ||REID CONWAY|212-201-2540|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|12/13/2001|0|0|0|0|0|0
San Francisco Regional Office| 116816|801-60832|BAC CAPITAL ADVISORS LLC|BAC CAPITAL ADVISORS LLC|1200 FIFTH AVENUE|SUITE 1100|SEATTLE WA 98101|USA|||  ||RANDY WILLIAMS-GURIAN|206-625-1800|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|01/17/2002|0|0|0|0|0|0
San Francisco Regional Office| 116833|801-68120|ASSET PLANNING & MANAGEMENT, INC.|ASSET PLANNING & MANAGEMENT, INC.|422 W. RIVERSIDE AVENUE, SUITE 830||SPOKANE WA 99201-0302|USA|||  ||GREER GIBSON BACON|(509) 838-4175|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|07/12/2007|0|0|0|0|0|0
San Francisco Regional Office| 116865|801-60686|CLEARWATER ADVISORS, LLC|CLEARWATER ADVISORS, LLC|950 W. BANNOCK ST.|SUITE 1050|BOISE ID 83702|USA|||  ||BRITTANY PFISTER|208-433-1200|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/09/2001|0|0|0|0|0|0
San Francisco Regional Office| 116894|801-67218|NR SMITH & ASSOCIATES, P.S.|NR SMITH & ASSOCIATES, P.S.|2120 CATON WAY S.W.||OLYMPIA WA 98502-1106|USA|||  ||NORMAN R. SMITH|360 754 9475|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Publication of periodicals or newsletters|APPROVED|10/19/2006|0|0|0|0|0|0
San Francisco Regional Office| 116944|801-62372|JAMES N. BRAY, PHD DBA INVESTMENT & RETIREMENT ADVISORS|JAMES N. BRAY, PHD DBA INVESTMENT & RETIREMENT ADVISORS|3883 45TH AVENUE N.E.||SEATTLE WA 98105-5450|USA|||  ||JAMES N. BRAY|206-523-1620|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|09/17/2003|0|0|0|0|0|0
San Francisco Regional Office| 116958|801-69045|COMPREHENSIVE WEALTH MANAGEMENT|ARFORD & ASSOCIATES COMPREHENSIVE WEALTH MGMT, INC.|4100 194TH ST. SW|SUITE 205|LYNNWOOD WA 98036|USA|||  ||MICHAEL J. STEFANO|425-778-6160|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/18/2008|0|1|0|0|0|0
San Francisco Regional Office| 116963|801-63243|FINANCIAL RESEARCH, INC.|FINANCIAL RESEARCH, INC.|1605 NW SAMMAMISH ROAD|SUITE 250|ISSAQUAH WA 98027|USA|||  ||JAMES COWLES|425-657-2229|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|07/06/2004|0|0|0|0|0|0
San Francisco Regional Office| 117056|801-63827|SHELGREN FINANCIAL GROUP, INC.|SHELGREN FINANCIAL GROUP, INC.|3900 E. VALLEY RD.|#202|RENTON WA 98057|USA|||  ||JAMES E TREMPER|425-251-5910|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/07/2005|0|0|0|0|0|0
San Francisco Regional Office| 117085|801-63891|SHARP INVESTMENTS, INC.|SHARP INVESTMENTS, INC.|13160 SW BUTNER ROAD||BEAVERTON OR 97005|USA|||  ||DANIEL R. SHARP|503-520-5000|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|03/10/2005|0|0|0|0|0|0
San Francisco Regional Office| 117098|801-66433|KOENIG INVESTMENT ADVISORY, LLC|GREGORY ALAN KOENIG|1020 E JACKSON ST||MEDFORD OR 97504|USA|||  ||GREGORY KOENIG|541-608-0551|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/27/2006|0|0|0|0|0|0
San Francisco Regional Office| 117127|801-60688|MENGIS CAPITAL MANAGEMENT, INC.|MENGIS CAPITAL MANAGEMENT, INC.|ONE SW COLUMBIA|SUITE 780|PORTLAND OR 97258|USA|||  ||CYNTHIA M ASCHBACHER|503-916-0776|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/09/2001|0|0|0|0|0|0
San Francisco Regional Office| 117201|801-64132|SYNERGY FINANCIAL MANAGEMENT, LLC|SYNERGY FINANCIAL MANAGEMENT, LLC|701 FIFTH AVE SUITE 3520||SEATTLE WA 98104-7055|USA|||  ||CONNIE PETERSON|206-386-5455|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|04/08/2005|0|0|0|0|0|0
San Francisco Regional Office| 117212|801-67279|HAYDEN & ROSS FINANCIAL ADVISORS, P.A.|HAYDEN & ROSS FINANCIAL ADVISORS, P.A.|315 S. ALMON||MOSCOW ID 83843|USA|||  ||BRAD LEWIS|208-882-5547|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/30/2006|0|0|0|0|0|0
San Francisco Regional Office| 117238|801-62524|PURCELL ADVISORY SERVICES, LLC|PURCELL ADVISORY SERVICES, LLC|945 SO. FAWCETT AVE.||TACOMA WA 98402|USA|PO BOX 1034||TACOMA WA 98401|USA|TERI L. WEIGEL|253.627.8101|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|11/21/2003|0|0|0|0|0|0
San Francisco Regional Office| 117294|801-62891|CASCADE INVESTMENT ADVISORS, INC.|CASCADE INVESTMENT ADVISORS, INC.|1507 NW 24TH AVENUE||PORTLAND OR 97210|USA|||  ||MICHELLE RAND|503-417-1950|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|03/18/2004|0|0|0|0|0|0
San Francisco Regional Office| 117328|801-67568|LIMOGES INVESTMENT MANAGEMENT PC|LIMOGES INVESTMENT MANAGEMENT PC|1104 MAIN STREET, SUITE 320||VANCOUVER WA 98660|USA|||  ||CRAIG LIMOGES|360-694-2752|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Other|APPROVED|02/20/2007|0|0|0|0|0|0
San Francisco Regional Office| 117378|801-60693|PRUNEYARD FINANCIAL GROUP, INC.|PRUNEYARD FINANCIAL GROUP, INC.|1999 SOUTH BASCOM AVENUE|SUITE 990|CAMPBELL CA 95008|USA|||  ||SHELDON H. SCHUMAKER|408.377.4444|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|11/14/2001|0|0|0|0|0|0
San Francisco Regional Office| 117392|801-69025|SNIDER RETIREMENT STRATEGIES|SNIDER RETIREMENT STRATEGIES, INC.|330 112TH AVENUE NE|SUITE 101|BELLEVUE WA 98004|USA|||  ||DAVID DENNISTON|425-453-7080|Other (specify)|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/14/2008|0|0|0|0|0|0
San Francisco Regional Office| 117447|801-67732|PARTNERS CAPITAL MANAGEMENT, INC.|PARTNERS CAPITAL MANAGEMENT, INC.|601 W. RIVERSIDE|SUITE 940|SPOKANE WA 99201|USA|||  ||MARK OSTERSMITH|509-838-4432|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|04/02/2007|0|0|0|0|0|0
San Francisco Regional Office| 117449|801-66259|PROSPERA INVESTMENT ADVISORS, LLC|PROSPERA INVESTMENT ADVISORS, LLC|601 W RIVERSIDE AVE|SUITE 700|SPOKANE WA 99201|USA|||  ||ARNITA DUKES|509-242-2319|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|03/06/2006|0|0|0|0|0|0
San Francisco Regional Office| 117465|801-69051|TURLOFF FINANCIAL CONSULTING INC.|TURLOFF FINANCIAL CONSULTING INC.|8324 SPRINGRIDGE RD NE||BAINBRIDGE ISLAND WA 98110|USA|PO BOX 11526||BAINBRIDGE WA 98110|UNITED STATE|ERIC TURLOFF|206 842-1422|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|04/15/2008|0|0|0|0|0|0
San Francisco Regional Office| 117477|801-66361|MCRAE CAPITAL MANAGEMENT L.L.C.|MCRAE CAPITAL MANAGEMENT L.L.C.|110 JAMES STREET|SUITE 104|EDMONDS WA 98020|USA|||  ||PETER B. MCRAE|425-673-4090|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/25/2006|0|0|0|0|0|0
San Francisco Regional Office| 117504|801-68384|WILHELM FINANCIAL SERVICES, PLLC|WILHELM FINANCIAL SERVICES, PLLC|2903 BENJAMIN CT. SE||OLYMPIA WA 98501|USA|||  ||BRET WILHELM|360-790-5757|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|09/27/2007|0|0|0|0|0|0
San Francisco Regional Office| 117517|801-68374|BIRCH & JOSSI FINANCIAL ADVISORS|BIRCH & JOSSI, INC.|9200 SE SUNNYBROOK BLVD. STE 210||CLACKAMAS OR 97015|USA|||  ||RAYMOND BIRCH|503-654-5100|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|12/13/2007|0|2|0|0|0|0
San Francisco Regional Office| 117574|801-66399|JAV CAPITAL MANAGEMENT, INC.|JAV CAPITAL MANAGEMENT, INC.|601 UNION STREET|SUITE 3701|SEATTLE WA 98101|USA|||  ||DEAN AMUNDSON|206 224-1654|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|03/20/2006|0|0|0|0|0|0
San Francisco Regional Office| 117667|801-62959|BERKELEY, INC|BERKELEY, INC|3778 PLANTATION RIVER DRIVE|SUITE 102|BOISE ID 83703|USA|||  ||MICHAEL LING|208 853 6980|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|03/30/2004|0|0|0|0|0|0
San Francisco Regional Office| 117838|801-64347|BOTTI BROWN ASSET MANAGEMENT, LLC|BOTTI BROWN ASSET MANAGEMENT, LLC|101 CALIFORNIA STREET|SUITE 4350|SAN FRANCISCO CA 94111|USA|||  ||THOMAS JOHANN|415-675-3300|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/27/2005|0|0|0|0|0|0
San Francisco Regional Office| 118034|801-63606|RAUB/BROCK CAPITAL MANAGEMENT, INC.|RAUB/ BROCK CAPITAL MANAGEMENT, INC.|700 LARKSPUR LANDING CIRCLE|SUITE 240|LARKSPUR CA 94939|USA|||  ||JIM BROCK|(415)927-6990|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|10/29/2004|0|0|0|0|0|0
San Francisco Regional Office| 118131|801-69211|LEGAL ADVANTAGE INVESTMENTS, INC.|LEGAL ADVANTAGE INVESTMENTS, INC.|26625 ST. FRANCIS DRIVE||LOS ALTOS HILLS CA 94022-2005|USA|||  ||DAVID SPECTOR|650-949-4939|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/12/2008|0|0|0|0|0|0
San Francisco Regional Office| 118153|801-61119|HABERLING FINANCIAL GROUP, INC.|HABERLING FINANCIAL GROUP, INC.|1141 NORTH EDISON|SUITE A|KENNEWICK WA 99336|USA|||  ||J. TYLER HABERLING|509-735-7507|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|05/09/2002|0|0|0|0|0|0
San Francisco Regional Office| 118200|801-69401|DESMOND WEALTH MANAGEMENT, INC.|DESMOND WEALTH MANAGEMENT, INC.|1850 MT. DIABLO BLVD.,|SUITE 630|WALNUT CREEK CA 94596|USA|||  ||GREGORY M. DESMOND|(925) 932-1994|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Other|APPROVED|07/08/2008|0|0|0|0|0|0
San Francisco Regional Office| 118223|801-64483|HOLLOWAY INVESTMENT ADVISORS, INC.|HOLLOWAY INVESTMENT ADVISORS, INC.|13221 SW 68TH PARKWAY, SUITE 420||PORTLAND OR 97223|USA|||  ||MARK L. HOLLOWAY|503.670.9086|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|08/31/2005|0|0|0|0|0|0
San Francisco Regional Office| 118268|801-62924|WEST PORTAL INVESTMENT GROUP, LLC|WEST PORTAL INVESTMENT GROUP, LLC|26 WEST PORTAL AVENUE|SUITE ONE|SAN FRANCISCO CA 94127|USA|||  ||JENNIFER COONEY|(415) 682-2266|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/09/2004|0|0|0|0|0|0
San Francisco Regional Office| 118285|801-60897|MCCARTHY ASSET MANAGEMENT, INC.|MCCARTHY ASSET MANAGEMENT, INC.|3 LAGOON DRIVE, SUITE 155||REDWOOD SHORES CA 94065|USA|||  ||STEPHEN PETER MCCARTHY|(650) 610-9540|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/01/2002|0|0|0|0|0|0
San Francisco Regional Office| 118369|801-66890|HEFFERNAN INVESTMENT ADVISORS, INC.|HEFFERNAN INVESTMENT ADVISORS, INC.|120 HOWARD STREET, SUITE 550||SAN FRANCISCO CA 94105|USA|||  ||ANDREW RYAN|(415) 868-1365|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/16/2006|0|0|0|0|0|0
San Francisco Regional Office| 118376|801-68890|BURTON/ENRIGHT GROUP|BURTON/ENRIGHT GROUP|1333 NORTH CALIFORNIA BOULEVARD|SUITE 140|WALNUT CREEK CA 94596|USA|||  ||ROBERT DANIEL ENRIGHT|(925) 932-8010|Partnership|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|03/11/2008|0|0|0|0|0|0
San Francisco Regional Office| 118377|801-69399|ACC INVESTMENT MANAGEMENT, INC.|ACC INVESTMENT MANAGEMENT, INC.|301 CALIFORNIA DRIVE|SUITE #9|BURLINGAME CA 94010|USA|1325 HOWARD AVENUE, PMB 433||BURLINGAME CA 94010|USA|A. CHARLES CATTANO|(650) 344-1600|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/08/2008|0|0|0|0|0|0
San Francisco Regional Office| 118397|801-65340|ASCEND CAPITAL LLC|ASCEND CAPITAL LLC|50 CALIFORNIA STREET|SUITE 2940|SAN FRANCISCO CA 94111|USA|||  ||BENJAMIN D. SLAVET|(415) 217-8304|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/23/2006|0|1|1|0|0|0
San Francisco Regional Office| 118523|801-65613|VIKING ASSET MANAGEMENT, LLC|VIKING ASSET MANAGEMENT, LLC|600 MONTGOMERY STREET|44TH FLOOR|SAN FRANCISCO CA 94111|USA|||  ||S. MICHAEL RUDOLPH|(415) 981-5300|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/27/2006|0|0|0|0|0|0
San Francisco Regional Office| 118538|801-66921|AWR INVESTMENT MANAGEMENT, LLC|AWR INVESTMENT MANAGEMENT, LLC|300 LAUREL AVENUE||SAN ANSELMO CA 94960|USA|||  ||ANDREW W. RYAN|(415) 457-9415|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/20/2006|0|0|0|0|0|0
San Francisco Regional Office| 118637|801-60863|STARMONT ASSET MANAGEMENT, LLC|STARMONT ASSET MANAGEMENT, LLC|BISHOP RANCH 6|2400 CAMINO RAMON STE 130|SAN RAMON CA 94583|USA|||  ||HARVEY ROWEN|925-648-4738|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|01/18/2002|0|0|0|0|0|0
San Francisco Regional Office| 118682|801-60888|NEWPORT ASIA LLC|NEWPORT ASIA LLC|601 CALIFORNIA STREET|SUITE 600|SAN FRANCISCO CA 94108-2811|USA|||  ||MICHAEL ELLIS|415/677-8620|Limited Liability Company|Other|APPROVED|02/04/2002|0|0|0|0|0|0
San Francisco Regional Office| 118867|801-62884|JORDAHL & SLITER WEALTH MANAGEMENT GROUP, LLC|JORDAHL & SLITER WEALTH MANAGEMENT GROUP, LLC|2 SUNSET PLAZA||KALISPELL MT 59901-1600|USA|PO BOX 8600||KALISPELL MT 59904-1600|USA|DAVID SCHULTZ|406-752-1040|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|03/26/2004|0|0|0|0|0|0
San Francisco Regional Office| 118875|801-64941|COMPUTATIONAL MANAGEMENT, INC.|COMPUTATIONAL MANAGEMENT, INC.|2317 SW VISTA AVE||PORTLAND OR 97201-2382|USA|||  ||JAY BARRY EPPERSON, JR.|503-297-5097|Corporation|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/09/2005|0|0|0|0|0|0
San Francisco Regional Office| 118883|801-61300|PRIME EQUITIES, INC.|PRIME EQUITIES, INC.|5345 NORTH EL DORADO|SUITE 15|STOCKTON CA 95207|USA|||  ||FREDERICK M. LEE|(209) 957-7413|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|07/05/2002|0|0|0|0|0|0
San Francisco Regional Office| 118885|801-67857|SPINNAKER FINANCIAL ADVISORS, LLC|SPINNAKER FINANCIAL ADVISORS, LLC|2962 CORTEZ AVENUE||IDAHO FALLS ID 83404|USA|||  ||JOSEPH R. CALL, CPA/PFS, CFP|208-542-0742|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|05/01/2007|0|0|0|0|0|0
San Francisco Regional Office| 118911|801-67985|AMERICAN PEGASUS LDG, LLC|AMERICAN PEGASUS LDG, LLC|142 SANSOME STREET, 2ND FLOOR||SAN FRANCISCO CA 94111|USA|||  ||CHARLES E. HALL, JR.|(717) 258-0701|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|07/05/2007|0|0|0|0|0|0
San Francisco Regional Office| 118914|801-64115|SUN VALLEY ADVISORS, INC.|SUN VALLEY ADVISORS, INC.|511 WALNUT AVE N||KETCHUM ID 83340|USA|PO BOX 5179||KETCHUM ID 83340|USA|ROGER W. WILSON|208-726-2920|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|05/19/2005|0|0|0|0|0|0
San Francisco Regional Office| 119050|801-63437|ASPEN CAPITAL MANAGEMENT|ASPEN CAPITAL MANAGEMENT|802 W. BANNOCK ST.|SUITE 207|BOISE ID 83702|USA|||  ||MIKE MERS|208-345-0174|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|08/19/2004|0|0|0|0|0|0
San Francisco Regional Office| 119086|801-64333|WILLIAMS PALMER|WILLIAMS PALMER, LLC|500 108TH AVENUE NORTH EAST SUITE 700||BELLEVUE WA 98004|USA|||  ||GRAHAM PATRICK WILLIAMS|425-637 - 3037|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/19/2005|0|0|0|0|0|0
San Francisco Regional Office| 119248|801-64546|NOLLENBERGER CAPITAL PARTNERS, INC.|NOLLENBERGER CAPITAL PARTNERS INC.|101 CALIFORNIA STREET|SUITE 3100|SAN FRANCISCO CA 94111|USA|||  ||BRUCE W. NOLLENBERGER|415 402-6000|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/22/2005|0|4|0|0|0|0
San Francisco Regional Office| 119339|801-63711|ECHELON GROUP|ECHELON GROUP, INC.|2600 ROSE HILL ST.|SUITE 206|BOISE ID 83705|USA|||  ||DONALD L REIMAN|208-345-9944|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|01/03/2005|0|0|0|0|0|0
San Francisco Regional Office| 119352|801-62717|PERKINS COIE CAPITAL MANAGEMENT|PERKINS COIE CAPITAL MANAGEMENT, LLC|1201 3RD AVE|SUITE 4800|SEATTLE WA 98101-3099|USA|||  ||DEBORAH HAUG|(206) 359-8407|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/25/2004|0|0|0|0|0|0
San Francisco Regional Office| 119490|801-62632|PGR SOLUTIONS, LLC|PGR SOLUTIONS, LLC|1925 WINCHESTER BLVD.|SUITE 105|CAMPBELL CA 95008|USA|||  ||KELLY ROEMERS|(408) 871-1590|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|01/02/2004|0|0|0|0|0|0
San Francisco Regional Office| 119508|801-66128|MAAS CAPITAL ADVISORS, LLC|MAAS CAPITAL ADVISORS, LLC|233 S.E. SECOND AVENUE||HILLSBORO OR 97123|USA|||  ||JAMES LOUIS CORBEAU|888-354-6227|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/31/2006|0|0|0|0|0|0
San Francisco Regional Office| 119523|801-68350|CROCKER SECURITIES LLC|CROCKER SECURITIES LLC|2999 OAK ROAD|SUITE 1010|WALNUT CREEK CA 94597|USA|||  ||LISA MELLO|925-941-1541|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|09/27/2007|0|0|0|0|0|0
San Francisco Regional Office| 119524|801-66504|HIGHWAY FINANCIAL NETWORKS|HIGHWAY FINANCIAL NETWORKS, INC.|250 HEMSTED DR.|SUITE 310|REDDING CA 96002|USA|||  ||GARY SIPOS|(530) 223-1222|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/05/2006|0|0|0|0|0|0
San Francisco Regional Office| 119584|801-69207|HILLTOP ADVISORS, LLC|HILLTOP ADVISORS, LLC|250 MONTGOMERY STREET|SUITE 1200|SAN FRANCISCO CA 94104|USA|||  ||MICHAEL T. COHOLAN|415-781-4500|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|05/22/2008|0|0|0|0|0|0
San Francisco Regional Office| 119636|801-66516|FINANCIAL AVENGERS, INC.|FINANCIAL AVENGERS, INC.|235 MONTGOMERY STREET|SUITE 724|SAN FRANCISCO CA 94104|USA|||  ||THOMAS W. SWIFT|(415) 773-2174|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/20/2006|0|0|0|0|0|0
San Francisco Regional Office| 119803|801-65072|THE TUSCAN GROUP, L.P.|THE TUSCAN GROUP, L.P.|425 MARKET STREET|SUITE 900|SAN FRANCISCO CA 94105|USA|||  ||STEPHANIE MURILLO|(415) 615-5293|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/31/2006|0|0|0|0|0|0
San Francisco Regional Office| 119841|801-62831|SCHMIDT FINANCIAL GROUP, INC.|SCHMIDT FINANCIAL GROUP, INC.|620 KIRKLAND WAY|SUITE 205|KIRKLAND WA 98033|USA|||  ||GLENDA SCHMIDT|425-893-9195|Corporation|Financial planning services, Selection of other advisers|APPROVED|02/26/2004|0|0|0|0|0|0
San Francisco Regional Office| 119936|801-61030|SCHROEDER CAPITAL MANAGEMENT, LLC|SCHROEDER CAPITAL MANAGEMENT, LLC|3620 HAPPY VALLEY ROAD|SUITE 203|LAFAYETTE CA 94549|USA|||  ||G. FREDERICK SCHROEDER|925-283-7913|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/29/2002|0|0|0|0|0|0
San Francisco Regional Office| 119980|801-61052|FIRELAKE CAPITAL MANAGEMENT LLC|FIRELAKE CAPITAL MANAGEMENT LLC|575 HIGH STREET|SUITE 330|PALO ALTO CA 94301|USA|||  ||MARTIN L. LAGOD|650-321-0880|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/15/2002|0|0|0|0|0|0
San Francisco Regional Office| 120177|801-68963|ABUNDA FINANCIAL, LLC|ABUNDA FINANCIAL, LLC|2656 BRIDGEWAY, SUITE 200||SAUSALITO CA 94965|USA|||  ||JANET CAMPBELL|415-339-8944|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|03/13/2008|0|0|0|0|0|0
San Francisco Regional Office| 120200|801-62695|LUMEN ADVISORS, LLC|LUMEN ADVISORS, LLC|ONE FERRY BUILDING|SUITE 255|SAN FRANSCISCO CA 94111|USA|||  ||J. NIEL ARMSTRONG|415 677-1557|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/15/2004|0|0|0|0|0|0
San Francisco Regional Office| 120267|801-61096|CURRAN & LEWIS INVESTMENT MANAGEMENT, INC.|CURRAN & LEWIS INVESTMENT MANAGEMENT, INC.|830 MENLO AVENUE|SUITE 210|MENLO PARK CA 94025|USA|||  ||JAMES P. CURRAN|(650) 463-0200|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/23/2002|0|0|0|0|0|0
San Francisco Regional Office| 120275|801-61149|GOLDEN GATE FINANCIAL GROUP, LLC|GOLDEN GATE FINANCIAL GROUP, LLC|50 FRANCISCO STREET|SUITE 203|SAN FRANCISCO CA 94133-2132|USA|||  ||H. THOMAS HALEN, III|415-362-5006|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|05/17/2002|0|0|0|0|0|0
San Francisco Regional Office| 120361|801-61113|MAIN MANAGEMENT, LLC|MAIN MANAGEMENT, LLC|601 CALIFORNIA STREET|6TH FLOOR|SAN FRANCISCO CA 94108|USA|||  ||KIM D. ARTHUR|415-217-5801|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/30/2002|0|0|0|0|0|0
San Francisco Regional Office| 120376|801-61822|BEDROCK CAPITAL MANAGEMENT, INC.|BEDROCK CAPITAL MANAGEMENT, INC.|5050 EL CAMINO REAL|SUITE 204|LOS ALTOS CA 94022|USA|||  ||SHARON LEA LACY|650-964-7024|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/14/2003|0|0|0|0|0|0
San Francisco Regional Office| 120443|801-65702|OLYMPIUS CAPITAL, L.P.|OLYMPIUS CAPITAL, L.P.|2965 WOODSIDE RD|SUITE A|WOODSIDE CA 94062|USA|||  ||LINDA WAISSAR|650-327-5023|Partnership|Selection of other advisers, Other|APPROVED|01/27/2006|0|0|0|0|0|0
San Francisco Regional Office| 120446|801-61276|THOMAS WEISEL GLOBAL GROWTH PARTNERS LLC|THOMAS WEISEL GLOBAL GROWTH PARTNERS LLC|ONE MONTGOMERY STREET|SUITE 3700|SAN FRANCISCO CA 94104|USA|||  ||MARK FISHER|(415) 364-2500|Limited Liability Company|Other|APPROVED|06/21/2002|0|0|0|0|0|0
San Francisco Regional Office| 120541|801-63521|CRITERION CAPITAL MANAGEMENT, LLC|CRITERION CAPITAL MANAGEMENT,LLC|435 PACIFIC AVENUE|SUITE 500|SAN FRANCISCO CA 94133-4774|USA|||  ||DANIEL BECKHAM|415-249-1282|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/20/2004|0|0|0|0|0|0
San Francisco Regional Office| 120545|801-61128|WESTEND CAPITAL MANAGEMENT, LLC.|WESTEND CAPITAL MANAGEMENT, LLC.|86 GRAHAM ST.  STE. 100|THE PRESIDIO|SAN FRANCSICO CA 94129|USA|||  ||SEAN COOPER|415.856.0426|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/10/2002|0|1|0|0|0|0
San Francisco Regional Office| 120634|801-61180|PRIVATE CAPITAL MANAGEMENT, INC.|PRIVATE CAPITAL MANAGEMENT INC|900 LARKSPUR LANDING CIRCLE|SUITE 240|LARKSPUR CA 94939|USA|||  ||IAN DAVID BERMAN|415-464-9700|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters, Other|APPROVED|05/17/2002|0|0|0|0|0|0
San Francisco Regional Office| 120651|801-64292|MATHEMATICA CAPITAL MANAGEMENT, LLC|MATHEMATICA CAPITAL MANAGEMENT, LLC|2330 MARINSHIP WAY, SUITE 370||SAUSALITO CA 94965|USA|||  ||SHAHRAM TAJBACK|(415) 332-4250|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/09/2005|0|0|0|0|0|0
San Francisco Regional Office| 120675|801-61225|CARMEL CAPITAL MANAGEMENT L.L.C.|CARMEL CAPITAL MANAGEMENT L.L.C.|26350 CARMEL RANCHO LANE|SUITE 225|CARMEL CA 93923-8734|USA|||  ||WEST D. WHITTAKER|831/625-1375|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/03/2002|0|0|0|0|0|0
San Francisco Regional Office| 120938|801-63712|TATE WEALTH MANAGEMENT|TATE WEALTH MANAGEMENT|1545 RIVER PARK DRIVE|SUITE 375|SACRAMENTO CA 95815-4614|USA|||  ||MICHAEL R. TATE, CPA, PFS|916-273-7647|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|01/03/2005|0|0|0|0|0|0
San Francisco Regional Office| 121003|801-67685|EK RILEY INVESTMENTS, LLC|EK RILEY INVESTMENTS, LLC|1201 THIRD AVENUE|SUITE 5300|SEATTLE WA 98101|USA|||  ||BRIAN BERTSCH|206-832-1523|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|04/18/2007|0|5|0|0|0|0
San Francisco Regional Office| 121158|801-62343|NAPA VALLEY WEALTH MANAGEMENT|NAPA VALLEY WEALTH MANAGEMENT, INC.|1127 POPE STREET|SUITE 103|ST. HELENA CA 94574|UNITED STATES|||  ||KELLEY F. CRANE|707-963-5096|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|09/22/2003|0|0|0|0|0|0
San Francisco Regional Office| 121168|801-61603|PAUL CAPITAL PARTNERS|3000 MANAGEMENT, INC.|50 CALIFORNIA STREET, SUITE 3000||SAN FRANCISCO CA 94111|USA|||  ||JACQUELINE BATTISTA|646-264-1176|Corporation|Other|APPROVED|11/15/2002|0|0|0|0|0|0
San Francisco Regional Office| 121218|801-69279|PRIMARY FUNDS, LLC|PRIMARY FUNDS, LLC|300 DRAKES LANDING ROAD|SUITE 205|GREENBRAE CA 94904|USA|||  ||CHRIS MOSHY|415-464-1830|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/23/2008|0|0|0|0|0|0
San Francisco Regional Office| 121226|801-64397|LION CAPITAL MANAGEMENT, LLC|LION CAPITAL MANAGEMENT, LLC|88 KEARNY STREET, SUITE 1450||SAN FRANCISCO CA 94108|USA|||  ||HAUSMANN-ALAIN BANET|415-358-1110|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|12/18/2002|0|0|0|0|0|0
San Francisco Regional Office| 121264|801-66327|CARLSON FINANCIAL ADVISORS|CARLSON, WILLIAM NORMAN|1766 TERRACE DRIVE|SUITE B|BELMONT CA 94002-1575|USA|||  ||WILLIAM N. CARLSON|650 508-2020|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|03/09/2006|0|0|0|0|0|0
San Francisco Regional Office| 121344|801-68799|SAGEMARK WEALTH MANAGEMENT, LLC|SAGEMARK WEALTH MANAGEMENT, LLC|11400 98TH AVENUE NE, SUITE 301||KIRKLAND WA 98033|USA|||  ||JOYCE BLOOMQUIST|425.820.1769|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Publication of periodicals or newsletters|APPROVED|02/08/2008|0|0|0|0|0|0
San Francisco Regional Office| 121505|801-62885|SIGNIA CAPITAL MANAGEMENT, LLC|SIGNIA CAPITAL MANAGEMENT LLC|108 N. WASHINGTON ST.|SUITE 305|SPOKANE WA 99201|USA|||  ||DAVID C. KREBS|509-789-8977|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/12/2004|0|0|0|0|0|0
San Francisco Regional Office| 121802|801-61479|BAKER ELLIS ASSET MANAGEMENT LLC|BAKER ELLIS ASSET MANAGEMENT LLC|1211 S.W. FIFTH AVE. SUITE 2910||PORTLAND OR 97204|USA|||  ||BARNES C. ELLIS|503-227-5778|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/20/2002|0|2|0|0|0|0
San Francisco Regional Office| 121922|801-63481|PRUDENT INVESTOR ADVISORS, LLC|PRUDENT INVESTOR ADVISORS, LLC|791 8TH STREET, SUITE S||ARCATA CA 95521|USA|||  ||JEFFREY B. COONTZ|707-744-4080|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|09/15/2004|0|0|0|0|0|0
San Francisco Regional Office| 122166|801-61567|INVESTMENT MANAGEMENT GROUP|STOCKMAN ASSET MANAGEMENT, INC.|2700 KING AVENUE WEST|P.O. BOX 80850|BILLINGS MT 59102|USA|||  ||GARY R. LUCAS|406-655-2720|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|11/08/2002|0|0|0|0|0|0
San Francisco Regional Office| 122261|801-61635|GENESEE INVESTMENTS|GENESEE INVESTMENTS LLC|10500 NE 8TH STREET|SUITE 1920|BELLEVUE WA 98004|USA|||  ||MICHELLE KLINE|425-462-4648|Limited Liability Company|Selection of other advisers, Other|APPROVED|12/20/2002|0|0|0|0|0|0
San Francisco Regional Office| 122418|801-61821|FINANCIAL HORIZONS-WEALTH BUILDING STRATEGIES LLC|FINANCIAL HORIZONS-WEALTH BUILDING STRATEGIES LLC|12667 ALCOSTA BOULEVARD|SUITE 500|SAN RAMON CA 94583|USA|||  ||DAVID W. SHIELL|925-790-2892|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|02/21/2003|0|0|0|0|0|0
San Francisco Regional Office| 122459|801-61442|FALCON POINT CAPITAL, LLC|FALCON POINT CAPITAL, LLC|TWO EMBARCADERO CENTER|SUITE 1300|SAN FRANCISCO CA 94111|USA|||  ||WILLIAM ELLISON GRAYSON|415-782-9656|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/19/2002|0|0|0|0|0|0
San Francisco Regional Office| 122714|801-63799|LOBDELL CAPITAL MANAGEMENT LLC|LOBDELL CAPITAL MANAGEMENT LLC|ONE BUSH STREET|12TH FLOOR|SAN FRANCISCO CA 94104|USA|||  ||MARTIN LOBDELL|415-318-3910|Limited Liability Company|Other|APPROVED|01/06/2005|0|0|0|0|0|0
San Francisco Regional Office| 122721|801-61504|MENLO ADVISORS LLC|MENLO ADVISORS LLC|800 OAK GROVE AVENUE, SUITE 205||MENLO PARK CA 94025|USA|800 OAK GROVE AVENUE, SUITE 205||MENLO PARK CA 94025|USA|KENT SEYMOUR|650-688-0300|Limited Liability Company|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|10/11/2002|0|0|0|0|0|0
San Francisco Regional Office| 122728|801-67351|FPC INVESTMENT ADVISORY, INC|FPC INVESTMENT ADVISORY, INC|205 KELLER STREET, SUITE 103||PETALUMA CA 94952|USA|P.O. BOX 520||PETALUMA CA 94953|USA|BLAIR MCCARTHY|(707) 763-3418|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/14/2006|0|0|0|0|0|0
San Francisco Regional Office| 122966|801-63574|SILVER CREEK CAPITAL MANAGEMENT LLC|SILVER CREEK CAPITAL MANAGEMENT LLC|1301 5TH AVENUE, 40TH FLOOR||SEATTLE WA 98101|USA|||  ||MARISSA A. COSTALES|206-774-6000|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/13/2004|0|0|0|0|0|0
San Francisco Regional Office| 123174|801-66902|HELM CAPITAL MANAGEMENT|HELM CAPITAL MANAGEMENT LLC|1904 THIRD AVENUE, SUITE 325||SEATTLE WA 98101|USA|||  ||EDWARD MALAKOFF|(206) 654-6200|Limited Liability Company|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|06/28/2006|0|0|0|0|0|0
San Francisco Regional Office| 123371|801-61538|MARSHALLA ASSET MANAGEMENT|MARSHALLA ASSET MANAGEMENT, LLC|95 MAIN STREET|SUITE 9|LOS ALTOS CA 94022|USA|||  ||ROBERT MARSHALLA|650-949-5692|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|11/04/2002|0|0|0|0|0|0
San Francisco Regional Office| 123513|801-61664|NELSON CAPITAL MANAGEMENT|WELLS FARGO PRIVATE INVESTMENT ADVISORS,LLC|1860 EMBARCADERO ROAD, #140||PALO ALTO CA 94303-3320|USA|||  ||DEDE DUNEGAN|415-222-6637|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/06/2002|0|0|0|0|0|0
San Francisco Regional Office| 123568|801-62913|TITAN CAPITAL MANAGEMENT, LLC|TITAN CAPITAL MANAGEMENT, LLC|1500 J STREET||MODESTO CA 95354|USA|||  ||ABE ASKIL, JR.|(209) 529-3089|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|03/12/2004|0|0|0|0|0|0
San Francisco Regional Office| 123636|801-63436|ELLIOTT COVE CAPITAL MANAGEMENT|ELLIOTT COVE CAPITAL MANAGEMENT LLC|2003 WESTERN AVE|SUITE 200|SEATTLE WA 98121|USA|||  ||VICTOR D. RUIZ|206-267-2683|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/23/2004|0|0|0|0|0|0
San Francisco Regional Office| 123659|801-61578|FINANCIAL VISION LLC|FINANCIAL VISION LLC|215 ROQUENA DRIVE||LA HONDA CA 94020|USA|PO BOX 271||LA HONDA CA 94020|USA|DAVID YAGER|650-743-0766|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|11/25/2002|0|0|0|0|0|0
San Francisco Regional Office| 123747|801-67244|THE SOCIAL EQUITY GROUP, INC.|THE SOCIAL EQUITY GROUP, INC.|2550 9TH STREET|SUITE 204A|BERKELEY CA 94710|USA|||  ||DUNCAN JOHN MEANEY|(415) 831-5953|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|11/21/2006|0|3|0|0|0|0
San Francisco Regional Office| 123971|801-63894|ZRC FINANCIAL SERVICES, LLC|ZRC FINANCIAL SERVICES, LLC|3510 UNOCAL PLACE|SUITE 350|SANTA ROSA CA 95403|USA|||  ||RICHARD P. CLARKE|707-524-6131|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|01/28/2005|0|0|0|0|0|0
San Francisco Regional Office| 124147|801-62201|FRANK, RIMERMAN ADVISORS LLC|FRANK, RIMERMAN ADVISORS LLC|1801 PAGE MILL ROAD||PALO ALTO CA 94304|USA|||  ||LARRY GENTRY|415-439-1165|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|07/01/2003|0|0|0|0|0|0
San Francisco Regional Office| 124182|801-61641|PETERSEN & RAMISTELLA, INC.|PETERSEN & RAMISTELLA, INC.|2340 GARDEN RD.|SUITE 202|MONTEREY CA 93940|USA|||  ||KENNETH B. PETERSEN|(831) 372-3426|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|11/29/2002|0|0|0|0|0|0
San Francisco Regional Office| 124186|801-61649|NWK  GROUP|NWK GROUP, INC.|155 MONTGOMERY STREET|SUITE 1110|SAN FRANCISCO CA 94104|USA|||  ||NADIM JOSEPH NAHAS|415-362-0122|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|12/16/2002|0|0|0|0|0|0
San Francisco Regional Office| 124272|801-61642|THE CAPROCK GROUP, INC.|THE CAPROCK GROUP, INC.|800 WEST IDAHO STREET|SUITE 300|BOISE ID 83702|USA|||  ||DAVE OTANDER|(208) 368-9600|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|12/17/2002|0|0|0|0|0|0
San Francisco Regional Office| 124365|801-61673|PACIFIC HEIGHTS ASSET MANAGEMENT, LLC|PACIFIC HEIGHTS ASSET MANAGEMENT, LLC|600 MONTGOMERY STREET, 27TH FLOOR||SAN FRANCISCO CA 94111-2702|USA|||  ||MICHAEL JOSEPH CUGGINO|415-398-8000|Limited Liability Company|Portfolio management for investment companies|APPROVED|01/03/2003|0|0|0|0|0|0
San Francisco Regional Office| 124366|801-63182|CORNERSTONE CAPITAL MANAGEMENT|CORNERSTONE CAPITAL MANAGEMENT|709 PARADISE WAY||REDWOOD CITY CA 94062|USA|PO BOX 620425||WOODSIDE CA 94062|USA|LAURA KENT|650-368-5600|Corporation|Portfolio management for individuals and/or small businesses, Other|APPROVED|05/31/2006|0|1|0|0|0|0
San Francisco Regional Office| 124474|801-65391|C.G. MANAGEMENT PARTNERS, L.P.|C.G.MANAGEMENT PARTNERS, L.P.|BLDG. 2, #140|3000 SAND HILL ROAD|MENLO PARK CA 94025|USA|||  ||WALTER F. BAUMGARTNER|650-854-4193|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/06/2006|0|0|0|0|0|0
San Francisco Regional Office| 124537|801-64412|BUENA VISTA FUND MANAGEMENT, LLC.|BUENA VISTA FUND MANAGEMENT, LLC.|ONE MARITIME PLAZA|SUITE 1325|SAN FRANCISCO CA 94111|USA|||  ||JEFFREY S. BARTFELD|415-433-1020|Limited Liability Company|Other|APPROVED|06/14/2005|0|0|0|0|0|0
San Francisco Regional Office| 124567|801-61674|SVB ASSET MANAGEMENT|SVB ASSET MANAGEMENT|185 BERRY STREET|SUITE 3000|SAN FRANCISCO CA 94107|USA|||  ||WILLIAM MAHON|408-654-6295|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/02/2003|0|0|0|0|0|0
San Francisco Regional Office| 124604|801-61683|HARGIS CAPITAL MANAGEMENT|HARGIS CAPITAL MANAGEMENT|1039 STONERIDGE DR, SUITE 3||BOZEMAN MT 59715|USA|||  ||DARLA J. EAST|406-587-7707|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/10/2003|0|0|0|0|0|0
San Francisco Regional Office| 124764|801-66874|CONSTELLATION INVESTMENT GROUP, LLC|CONSTELLATION INVESTMENT GROUP, LLC|1381 HILLSIDE CIRCLE||BURLINGAME CA 94010|USA|1325 HOWARD AVENUE, PMB 814||BURLINGAME CA 94010-4212|USA|MARCO F. ROMANI|(415) 412-9203|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/09/2006|0|0|0|0|0|0
San Francisco Regional Office| 124813|801-61915|BIG SKY ASSET MANAGEMENT LLC|BIG SKY ASSET MANAGEMENT LLC|12667 ALCOSTA BOULEVARD|SUITE 500|SAN RAMON CA 94583|USA|||  ||DAVID W. SHIELL|925-790-2892|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|03/21/2003|0|0|0|0|0|0
San Francisco Regional Office| 124819|801-66534|HOVAN CAPITAL MANAGEMENT, LLC|HOVAN CAPITAL MANAGEMENT, LLC|81 BEACH ROAD||BELVEDERE CA 94920-2388|USA|||  ||LISA B. HOVAN|(415) 435-1971|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|04/03/2006|0|0|0|0|0|0
San Francisco Regional Office| 125114|801-62004|SILICON VALLEY CAPITAL PARTNERS, L.P.|SILICON VALLEY CAPITAL PARTNERS, L.P.|560 SOUTH WINCHESTER BLVD.|SUITE 500|SAN JOSE CA 95128|USA|||  ||CHRISTOPHER K. COMBS|408-236-7300|Other (specify)|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/24/2003|0|0|0|0|0|0
San Francisco Regional Office| 125280|801-62037|HARBOUR POINTE FINANCIAL ADVISORS, LLC|HARBOUR POINTE FINANCIAL ADVISORS, LLC|12199 VILLAGE CENTER PLACE|SUITE 201|MUKILTEO WA 98275|USA|||  ||WILLIAM LEE EICHENBERGER|425-493-6788|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/07/2003|0|0|0|0|0|0
San Francisco Regional Office| 125336|801-61836|GRUBER & MCBAINE|GRUBER & MCBAINE CAPITAL MANAGEMENT, LLC|50 OSGOOD PLACE,|PENTHOUSE|SAN FRANCISCO CA 94133-4644|USA|||  ||ELIZABETH D. GIORGIS|415-782-2610|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/25/2003|0|0|0|0|0|0
San Francisco Regional Office| 125344|801-63871|SEASONS CAPITAL MANAGEMENT, LLC|SEASONS CAPITAL MANAGEMENT, LLC|50 CALIFORNIA STREET|SUITE 2750|SAN FRANCISCO CA 94111|USA|||  ||KATHLYNE KIAIE|415 247-5343|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/31/2005|0|0|0|0|0|0
San Francisco Regional Office| 125360|801-64295|TIEMANN INVESTMENT ADVISORS, LLC|TIEMANN INVESTMENT ADVISORS, LLC|750 MENLO AVENUE|SUITE 300|MENLO PARK CA 94025|USA|||  ||JONATHAN TIEMANN|650-566-0200|Limited Liability Company|Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters, Other|APPROVED|05/06/2005|0|0|0|0|0|0
San Francisco Regional Office| 125401|801-68879|CREEKSIDE PARTNERS INVESTMENT COUNSEL LLC|CREEKSIDE PARTNERS INVESTMENT COUNSEL LLC|3595 MT. DIABLO BLVD.|SUITE 300|LAFAYETTE CA 94549|USA|||  ||ANDREW HEMPECK|925-284-1260|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters, Other|APPROVED|02/20/2008|0|0|0|0|0|0
San Francisco Regional Office| 125523|801-61878|ALGERT COLDIRON INVESTORS, LLC|ALGERT COLDIRON INVESTORS, LLC|555 CALIFORNIA STREET|SUITE 3325|SAN FRANCISCO CA 94104|USA|||  ||TOMMY BLAISE ESPERANCE|(415) 675-7300|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/11/2003|0|0|0|0|0|0
San Francisco Regional Office| 125553|801-63021|GRUBMAN FINANCIAL CONSULTING, INC|GRUBMAN FINANCIAL CONSULTING, INC|2115 MILVIA STREET|SUITE 3|BERKELEY CA 94704-1157|USA|||  ||AUDREY GRUBMAN|510.883.1350|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters, Other|APPROVED|05/03/2004|0|0|0|0|0|0
San Francisco Regional Office| 125643|801-62948|PRIVATE CAPITAL MANAGEMENT ASSOCIATES LLC|PRIVATE CAPITAL MANAGEMENT ASSOCIATES LLC|640 COLUMBUS STREET||EL GRANADA CA 94018|USA|80 CABRILLO HIGHWAY NORTH|SUITE Q, BOX 311|HALF MOON BAY CA 94019-1698|USA|NIKKI H. CHICOTEL|(650) 712-1000|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/31/2004|0|0|0|0|0|0
San Francisco Regional Office| 125678|801-62043|RB CAPITAL MANAGEMENT, LLC|RB CAPITAL MANAGEMENT, LLC|2273 E. BEECHWOOD AVENUE|SUITE 105|FRESNO CA 93720|USA|||  ||ROBERT W. BALLAN|(559) 299-6209|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/09/2003|0|0|0|0|0|0
San Francisco Regional Office| 125899|801-69202|DE LUCHI INVESTMENT MANAGEMENT|DE LUCHI, STEPHEN FRANK|2952 GIBBONS DRIVE||ALAMEDA CA 94501-1769|USA|||  ||STEPHEN DE LUCHI|510-521-6632|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|05/22/2008|0|0|0|0|0|0
San Francisco Regional Office| 126077|801-64785|SALEM ASSET MANAGEMENT, LLC|SALEM ASSET MANAGEMENT, LLC|338 HAWTHORNE AVENUE NE||SALEM OR 97301-3414|USA|||  ||JOANNE HUMPHREY|503.585.1040|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|10/14/2005|0|0|0|0|0|0
San Francisco Regional Office| 126150|801-61928|HARVEST CAPITAL ADVISORS INC.|HARVEST CAPITAL ADVISORS INC.|11000 NE 33RD PLACE, SUITE 301||BELLEVUE WA 98004|USA|||  ||ELLEN WEBBER|425.827.6236 X106|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/04/2003|0|0|0|0|0|0
San Francisco Regional Office| 126341|801-61956|BIRMIWAL ASSET MANAGEMENT, INC.|BIRMIWAL ASSET MANAGEMENT, INC.|24140 E GREYSTONE LANE||WOODWAY WA 98020-5226|USA|||  ||KAILASH BIRMIWAL|206-542-7652|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/01/2003|0|0|0|0|0|0
San Francisco Regional Office| 126534|801-62149|WEALTH MANAGEMENT, INC.|WEALTH MANAGEMENT, INC.|14523 WESTLAKE DRIVE||LAKE OSWEGO OR 97035|USA|||  ||GERALD FRANCIS FADDEN, JR.|503-670-0717|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|06/12/2003|0|0|0|0|0|0
San Francisco Regional Office| 126565|801-65950|BURLINGAME ASSET MANAGEMENT, LLC|BURLINGAME ASSET MANAGEMENT, LLC|ONE MARKET STREET|SPEAR TOWER, SUITE 3750|SAN FRANCISCO CA 94105|USA|||  ||VINCENT SCHRUPP|415-490-2590|Limited Liability Company|Other|APPROVED|01/23/2006|0|0|0|0|0|0
San Francisco Regional Office| 126582|801-66613|ALBOURNE AMERICA LLC|ALBOURNE AMERICA LLC|ONE FERRY BUILDING|SUITE 280|SAN FRANCISCO CA 94111|USA|||  ||HITOSHI NAGATA|415 489-7200|Limited Liability Company|Pension consulting services, Selection of other advisers, Other|APPROVED|04/24/2006|0|0|0|0|0|0
San Francisco Regional Office| 126615|801-62040|HUNTINGTON STEELE LLC|HUNTINGTON STEELE LLC|925 4TH AVENUE #3700||SEATTLE WA 98104-1143|USA|||  ||SCOTT HEALEY|206-204-0320|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|05/09/2003|0|0|0|0|0|0
San Francisco Regional Office| 126696|801-62096|BELDEN AND ASSOCIATES|BELDEN AND ASSOCIATES|650 CALIFORNIA STREET|24TH FLOOR|SAN FRANCISCO CA 94108-2605|USA|||  ||ROBERT C. COLEMAN|415-677-1400|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/30/2003|0|0|0|0|0|0
San Francisco Regional Office| 126721|801-62482|EFFICIENT PORTFOLIO CONSULTANTS, LLC|EFFICIENT PORTFOLIO CONSULTANTS, LLC|1380 LEAD HILL BLVD.|SUITE 106|ROSEVILLE CA 95661|USA|||  ||VICTOR A. GONSALVES|916 7801040|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Publication of periodicals or newsletters|APPROVED|11/07/2003|0|0|0|0|0|0
San Francisco Regional Office| 126742|801-62022|VERITY WEALTH ADVISORS, LLC|VERITY WEALTH ADVISORS, LLC|220 HALLECK STREET, STE 120A||SAN FRANCISCO CA 94129|USA|||  ||EVAN OLIVER|415-561-3340|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/01/2003|0|0|0|0|0|0
San Francisco Regional Office| 126825|801-67158|JURIKA, MILLS & KEIFER, LLC|JURIKA, MILLS & KEIFER, LLC|2101 WEBSTER STREET, SUITE 1550||OAKLAND CA 94612|USA|||  ||KARL O. MILLS|(510) 625-0199|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/22/2006|0|0|0|0|0|0
San Francisco Regional Office| 126849|801-62038|APPLE & ASSOCIATES|APPLE & ASSOCIATES|565 BRUNSWICK ROAD, SUITE 8||GRASS VALLEY CA 95945|USA|||  ||DANIEL B. APPLE|(530) 272-1346|Partnership|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/09/2003|0|0|0|0|0|0
San Francisco Regional Office| 126909|801-62613|GENESIS CAPITAL LLC|GENESIS CAPITAL LLC|5202 OLYMPIC DRIVE NW|SUITE 101|GIG HARBOR WA 98335|USA|||  ||BRAD LARSON|253-853-4900|Limited Liability Company|Other|APPROVED|01/07/2004|0|0|0|0|0|0
San Francisco Regional Office| 126930|801-63547|AMERICAN PEGASUS INVESTMENT MANAGEMENT,INC.|AMERICAN PEGASUS INVESTMENT MANAGEMENT,INC.|142 SANSOME STREET||SAN FRANCISCO CA 94104|USA|505 MONTGOMERY STREET|11TH FLOOR|SAN FRANCISCO CA 94111|USA|BENJAMIN P. CHUI|(415) 874-3888|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/27/2004|0|0|0|0|0|0
San Francisco Regional Office| 127005|801-68127|ALUPKA ASSET MANAGEMENT, L.L.C.|ALUPKA ASSET MANAGEMENT, L.L.C.|44 MONTGOMERY STREET|SUITE 1280|SAN FRANCISCO CA 94104|USA|44 MONTGOMERY STREET|SUITE 1280|SAN FRANCISCO CA 94104|USA|NICHOLAS C. BESOBRASOW|(415) 331-1917|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/26/2007|0|1|0|0|0|0
San Francisco Regional Office| 127036|801-66544|ATLAS CAPITAL ADVISORS LLC|ATLAS CAPITAL ADVISORS LLC|106 LINCOLN BLVD||SAN FRANCISCO CA 94129|USA|PO BOX 29069||SAN FRANCISCO CA 94129|USA|JONATHAN EVAN TUNNEY|415-354-2400|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/03/2006|0|0|0|0|0|0
San Francisco Regional Office| 127059|801-62751|HOLBROOK GLOBAL STRATEGIES|GLOBAL WEALTH STRATEGIES LLC|635 BRYANT STREET||PALO ALTO CA 94301|USA|||  ||RICHARD HOLBROOK|650-346-2630|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|02/03/2004|0|0|0|0|0|0
San Francisco Regional Office| 127067|801-62134|BERKELEY CAPITAL MANAGEMENT LLC|BERKELEY CAPITAL MANAGEMENT LLC|ONE BUSH STREET|12TH FLOOR|SAN FRANCISCO CA 94104|USA|||  ||KEVIN CUCCIAS|415-393-0343|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|05/07/2003|0|0|0|0|0|0
San Francisco Regional Office| 127201|801-62133|L. PATRICK SAMSELL LLC|L. PATRICK SAMSELL LLC|7034 BRIDGEPORT CIRCLE||STOCKTON CA 95207-2359|USA|||  ||LEWIS PATRICK SAMSELL|209 473-4725|Limited Liability Company|Financial planning services, Selection of other advisers, Other|APPROVED|06/09/2003|0|0|0|0|0|0
San Francisco Regional Office| 127283|801-63997|ADDISON AVENUE FINANCIAL PARTNERS, LLC|ADDISON AVENUE FINANCIAL PARTNERS, LLC|1011 SUNSET BLVD.||ROCKLIN CA 95765-3702|USA|P.O. BOX 3010||ROCKLIN CA 95677-8465|USA|RICHARD A. NAREZ|916-435-5427|Limited Liability Company|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|02/25/2005|0|0|0|0|0|0
San Francisco Regional Office| 127310|801-64697|UNION FINANCIAL PARTNERS, SAN FRANCISCO, INC.|UNION FINANCIAL PARTNERS, SAN FRANCISCO, INC.|2001 UNION STREET|SUITE 540|SAN FRANCISCO CA 94123|USA|||  ||ANN TERRANOVA|415-563-3000|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|09/15/2005|0|0|0|0|0|0
San Francisco Regional Office| 127335|801-68886|FAMILY CFO INC|FAMILY CFO INC|1064 LAURELES DR||LOS ALTOS CA 94022|USA|||  ||ANNAMALAI RAJENDRAN|650.218.3551|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/10/2008|0|0|0|0|0|0
San Francisco Regional Office| 127435|801-67625|OKLO FINANCIAL, LLC|OKLO FINANCIAL, LLC|1050 NORTHGATE DR|#333|SAN RAFAEL CA 94903|USA|||  ||MARK A. ANDERSON|866-399-1990|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|03/13/2007|0|0|0|0|0|0
San Francisco Regional Office| 127471|801-62490|BENCHMARK PLUS MANAGEMENT|BENCHMARK PLUS MANAGEMENT LLC|820 A STREET|SUITE 700|TACOMA WA 98402|USA|||  ||REX MERCHANT|253-573-0657|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|10/31/2003|0|0|0|0|0|0
San Francisco Regional Office| 127542|801-66733|LAKE UNION CAPITAL MANAGEMENT, LLC|LAKE UNION CAPITAL MANAGEMENT, LLC|600 UNIVERSITY STREET|SUITE 1520|SEATTLE WA 98101|USA|||  ||AMBER BOSCH|206-838-3277|Limited Liability Company|Portfolio management for individuals and/or small businesses, Other|APPROVED|06/15/2006|0|0|0|0|0|0
San Francisco Regional Office| 127546|801-68667|CASTLE PEAK ASSET MANAGEMENT|CASTLE PEAK ASSET MANAGEMENT, LLC|575 MARKET STREET|SUITE 1825|SAN FRANCISCO CA 94105|USA|||  ||BRIAN G LANCASTER|415-296-5070|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/16/2008|0|0|0|0|0|0
San Francisco Regional Office| 127606|801-67157|OLIVER CAPITAL MANAGEMENT, INC.|OLIVER CAPITAL MANAGEMENT, INC.|601 UNION STREET|42ND FLOOR|SEATTLE WA 98101-4036|USA|||  ||MARK K. OLIVER|206-652-3550|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/27/2006|0|1|0|0|0|0
San Francisco Regional Office| 127672|801-62209|KIBBLE & PRENTICE HOLDING COMPANY|KIBBLE & PRENTICE HOLDING COMPANY|601 UNION STREET, SUITE 1000||SEATTLE WA 98101-4064|USA|||  ||TODD MCMAHON|(206) 676-7479|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|07/01/2003|0|1|1|0|0|0
San Francisco Regional Office| 127739|801-62369|CWC ADVISORS, LLC|CLELAND WOOLWORTH CAPITAL GROUP, LLC|5800 MEADOWS ROAD|SUITE 230|LAKE OSWEGO OR 97035|USA|||  ||GARY WOOLWORTH|503.968.0950|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/02/2003|0|0|0|0|0|0
San Francisco Regional Office| 127746|801-62255|SPECTRUM FINANCIAL MANAGEMENT|FRIEDLANDER, BRENDA S|899 NORTHGATE DRIVE|SUITE 305|SAN RAFAEL CA 94903|USA|||  ||JOYCE VOLZ|415-472-7300|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/01/2003|0|0|0|0|0|0
San Francisco Regional Office| 127751|801-62455|POLARIS EQUITY MANAGEMENT, INC.|POLARIS EQUITY MANAGEMENT, INC.|601 MONTGOMERY STREET|SUITE 700|SAN FRANCISCO CA 94111|USA|||  ||JEFFREY J. POWELL|(415) 263-5600|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/24/2003|0|0|0|0|0|0
San Francisco Regional Office| 127758|801-62234|LEGACY WEALTH ADVISORS, LLC|LEGACY WEALTH ADVISORS, LLC|2001 GATEWAY PLACE|SUITE 340E|SAN JOSE CA 95110|USA|||  ||EDWIN K.S. RYU|(408) 452-7700|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/25/2003|0|0|0|0|0|0
San Francisco Regional Office| 127794|801-62334|DENALI CAPITAL MANAGEMENT LLC|DENALI CAPITAL MANAGEMENT LLC|315 BARNETTE STREET|SUITE 201|FAIRBANKS AK 99701|USA|||  ||HEATHER HUSBAND|907-456-3361|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/11/2003|0|0|0|0|0|0
San Francisco Regional Office| 127890|801-62365|CROSSWATER|CROSSWATER INVESTMENT ADVISORS, INC.|845 106TH AVENUE NE|SUITE 103|BELLEVUE WA 98004|USA|||  ||GILINDA MIODUSZEWSKI|425-451-1382|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|09/26/2003|0|0|0|0|0|0
San Francisco Regional Office| 127988|801-62266|RIGEL CAPITAL LLC|RIGEL CAPITAL LLC|3930 TWO UNION SQUARE|601 UNION STREET|SEATTLE WA 98101|USA|||  ||LYNN ROWLEY|206-467-0070|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/08/2003|0|0|0|0|0|0
San Francisco Regional Office| 128012|801-62261|LATASH INVESTMENTS, LLC|LATASH INVESTMENTS, LLC|301 W. NORTHERN LIGHTS BLVD.,|SUITE 412|ANCHORAGE AK 99503|USA|||  ||GARY DALTON|907-868-7580|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|09/05/2003|0|0|0|0|0|0
San Francisco Regional Office| 128053|801-67824|CAMELOTTA|CAMELOT TECHNOLOGY ADVISORS|690 FIFTH STREET|SUITE #201|SAN FRANCISCO CA 94107|USA|||  ||DANA GRIGG|415-806-3641|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|04/23/2007|0|0|0|0|0|0
San Francisco Regional Office| 128055|801-62544|THE LAM GROUP, INC.|THE LAM GROUP, INC.|2352 SUMMIT DRIVE||LAKE OSWEGO OR 97034|USA|P.O. BOX 850||LAKE OSWEGO OR 97034|USA|NELSON J. LAM|503-730-9345|Corporation|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|01/02/2004|0|0|0|0|0|0
San Francisco Regional Office| 128066|801-62370|BAKER STREET ADVISORS, LLC|BAKER STREET ADVISORS, LLC|455 MARKET STREET|SUITE #620|SAN FRANCISCO CA 94105|USA|||  ||ANN THALMAN|415-344-6187|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|09/22/2003|0|0|0|0|0|0
San Francisco Regional Office| 128097|801-66144|CAPSTONE WEALTH MANAGEMENT GROUP, LLC|CAPSTONE WEALTH MANAGEMENT GROUP, LLC|121 NW GREENWOOD AVENUE|SUITE 101|BEND OR 97701|USA|||  ||KEVIN SERRAPEDE|541-330-0266|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/01/2006|0|0|0|0|0|0
San Francisco Regional Office| 128101|801-62440|CATON FINANCIAL, INC.|CATON FINANCIAL, INC.|101 LARKSPUR LANDING CIRCLE|SUITE 220|LARKSPUR CA 94939|USA|||  ||JODI JOHNSON|415-461-6248|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|10/17/2003|0|0|0|0|0|0
San Francisco Regional Office| 128107|801-62298|RIEDEL RESEARCH GROUP, INC|RIEDEL RESEARCH GROUP, INC|380 BRETANO WAY||GREENBRAE CA 94904|USA|||  ||DAVID RIEDEL|1-212-334-6365|Corporation|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters, Other|APPROVED|08/29/2003|0|0|0|0|0|0
San Francisco Regional Office| 128321|801-62350|MYVEST CORPORATION|MYVEST CORPORATION|90 NEW MONTGOMERY, SUITE 250||SAN FRANCISCO CA 94105|USA|||  ||CHERYL NORIYE|415-284-2767|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/26/2003|0|0|0|0|0|0
San Francisco Regional Office| 128407|801-62358|LUCRUM CAPITAL, LLC|LUCRUM CAPITAL, LLC|ONE SANSOME STREET|SUITE 3908|SAN FRANCISCO CA 94104|USA|||  ||BENJAMIN N. HOVERMALE|415-288-2125|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/23/2006|0|0|0|0|0|0
San Francisco Regional Office| 128413|801-68529|MADDOX FINANCIAL GROUP|MADDOX, BILLY, DOUGLAS   JR|810 W. MAIN ST STE D||VISALIA CA 93291|USA|810 W MAIN ST  STE  D||VISALIA CA 93291|USA|MARGARET SHAW AQUINO|559-635-1104|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|12/12/2007|0|3|1|0|0|0
San Francisco Regional Office| 128440|801-62348|SHOTT CAPITAL MANAGEMENT, LLC|SHOTT CAPITAL MANAGEMENT, LLC|601 CALIFORNIA STREET|SUITE 801|SAN FRANCISCO CA 94108|USA|||  ||PAUL WOZNIAK|415 772-8364|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/25/2003|0|0|0|0|0|0
San Francisco Regional Office| 128483|801-62469|CUTLER INVESTMENT COUNSEL, LLC|CUTLER INVESTMENT COUNSEL, LLC|125 E. CALIFORNIA STREET||JACKSONVILLE OR 97530|USA|3555 LEAR WAY||MEDFORD OR 97504|USA|BROOKE C. ASHLAND|541 770 9000|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|10/31/2003|0|0|0|0|0|0
San Francisco Regional Office| 128494|801-62381|FAMILY WEALTH CONSULTANTS, INC.|FAMILY WEALTH CONSULTANTS, INC.|1740 TECHNOLOGY DRIVE|SUITE 260|SAN JOSE CA 95110|USA|||  ||CRAIG L. MARTIN|408-453-2222|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|09/12/2003|0|0|0|0|0|0
San Francisco Regional Office| 128559|801-64797|BUCKLEY INVESTMENT GROUP, LLC|BUCKLEY INVESTMENT GROUP, LLC|20 EAST POPLAR STREET|SUITE 202|WALLA WALLA WA 99362|USA|||  ||JOHN BUCKLEY|509-522-1600|Limited Liability Company|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|10/11/2005|0|0|0|0|0|0
San Francisco Regional Office| 128566|801-62980|GROSSMAN FINANCIAL MANAGEMENT|GROSSMAN, LAWRENCE I|940 ADAMS STREET, SUITE L||BENICIA CA 94510|USA|||  ||LAWRENCE I. GROSSMAN|(707) 745-8756|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/14/2004|0|0|0|0|0|0
San Francisco Regional Office| 128586|801-62398|THE GOLUB GROUP|GOLUB GROUP, LLC|2929 CAMPUS DRIVE|SUITE 145|SAN MATEO CA 94403-2518|USA|||  ||TIMOTHY RICH|650-212-2240|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/26/2003|0|0|0|0|0|0
San Francisco Regional Office| 128678|801-62944|VANCE CAPITAL MANAGEMENT|VANCE, ROBERT, MORGAN|14570 MONO WAY|SUITE A|SONORA CA 95370|UNITED STATES|14570 MONO WAY|SUITE A|SONORA CA 95370|UNITED STATES|ROBERT MORGAN VANCE|(209) 533-8404|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters, Market timing services|APPROVED|03/26/2004|0|0|0|0|0|0
San Francisco Regional Office| 128761|801-62451|SCHULTZ AND ASSOCIATES INC.|SCHULTZ AND ASSOCIATES INC.|125 NORTH 2ND ST||ASHLAND OR 97520|USA|POST OFFICE BOX 863||ASHLAND OR 97520|US|RICHARD SCHULTZ|541 482-5170|Corporation|Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|10/30/2003|0|0|0|0|0|0
San Francisco Regional Office| 128990|801-62477|ZEVENBERGEN CAPITAL INVESTMENTS LLC|ZEVENBERGEN CAPITAL INVESTMENTS LLC|601 UNION STREET|SUITE 4600|SEATTLE WA 98101-2323|USA|||  ||LESLIE C. TUBBS|206.682.8469|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/01/2003|0|0|0|0|0|0
San Francisco Regional Office| 129051|801-67372|FIDUCIARY SERVICES, INC.|FIDUCIARY SERVICES, INC.|54 OAKDALE AVENUE||SAN RAFAEL CA 94901|USA|369-B THIRD STREET|#543|SAN RAFAEL CA 94901|USA|DANIEL M. RESER|415-482-9513|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Other|APPROVED|01/05/2007|0|0|0|0|0|0
San Francisco Regional Office| 129194|801-62579|BELLEVUE ASSET MANAGEMENT, LLC|BELLEVUE ASSET MANAGEMENT, LLC|11400 SE 8TH STREET, SUITE 465||BELLEVUE WA 98004|USA|||  ||MICHAEL R. VILA|425.289.1041|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/02/2004|0|0|0|0|0|0
San Francisco Regional Office| 129412|801-68811|ISF INVESTMENT ADVISERS|ISF INVESTMENT ADVISERS, LLC|1840 GATEWAY DRIVE|SUITE 420|SAN MATEO CA 94404|USA|||  ||RAMON J. POLIN|650-230-4106|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers, Other|APPROVED|01/29/2008|0|0|0|0|0|0
San Francisco Regional Office| 129486|801-62532|RAINBOW CAPITAL, LLC|RAINBOW CAPITAL, LLC|3 VUELO DE LAS PALOMAS||CARMEL CA 93923|USA|||  ||ANDREW GOODMAN|831-624-5550|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/04/2003|0|0|0|0|0|0
San Francisco Regional Office| 129494|801-64539|VEGA CAPITAL GROUP LLC|VEGA CAPITAL GROUP LLC|100 BUSH STREET|SUITE 1625|SAN FRANCISCO CA 94104|USA|||  ||LEONID PINSKI|415-318-8740|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/21/2005|0|0|0|0|0|0
San Francisco Regional Office| 129534|801-68148|TEPPER CAPITAL MANAGEMENT|TEPPER, DAVID LOUIS|220 MONTGOMERY STREET|SUITE 1018|SAN FRANCISCO CA 94104|USA|41 SUTTER STREET|NO. 1487|SAN FRANCISCO CA 94104|USA|DAVID TEPPER|415-956-5593|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|07/23/2007|0|0|0|0|0|0
San Francisco Regional Office| 129596|801-62705|THOMAS & ATKINSON CAPITAL MANAGEMENT LLC|THOMAS & ATKINSON CAPITAL MANAGEMENT LLC|1040 NOEL DRIVE|SUITE 101|MENLO PARK CA 94025-3357|USA|||  ||STANLEY E. THOMAS|650-926-0797|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|01/16/2004|0|0|0|0|0|0
San Francisco Regional Office| 129627|801-64946|CLEARLAKE ADVISORS, L.L.C.|CLEARLAKE ADVISORS, L.L.C.|201 SAN ANSELMO AVENUE||SAN ANSELMO CA 94960-2854|USA|||  ||JOHN MALLARD|415-456-8324, EXT. 14|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|12/02/2005|0|0|0|0|0|0
San Francisco Regional Office| 129694|801-62852|REMICK & BARTOLET FINANCIAL CONSULTING, INC|REMICK & BARTOLET FINANCIAL CONSULTING, INC.|9 MONROE PARKWAY SUITE 200||LAKE OSWEGO OR 97035|USA|||  ||SUSAN E. REMICK, CFP|503-635-4073|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/26/2004|0|0|0|0|0|0
San Francisco Regional Office| 129754|801-67717|S & Y ASSET MANAGEMENT LLC|S & Y ASSET MANAGEMENT LLC|ONE FERRY BUILDING|SUITE 275|SAN FRANCISCO CA 94111-4226|USA|||  ||SCOTT WHITCHER|415-268-2900|Limited Liability Company|Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|04/24/2007|0|0|0|0|0|0
San Francisco Regional Office| 129769|801-62636|HANGAR 4 PARTNERS, LLC|HANGAR 4 PARTNERS, LLC|6 HAMILTON LANDING, SUITE 210||NOVATO CA 94949|USA|||  ||BRUCE M. LUPATKIN|(415)382-4388|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/31/2003|0|0|0|0|0|0
San Francisco Regional Office| 129776|801-62601|NELSON ROBERTS INVESTMENT ADVISORS, LLC|NELSON ROBERTS INVESTMENT ADVISORS, LLC|1950 UNIVERSITY AVENUE|#202|EAST PALO ALTO CA 94303|USA|||  ||BRIAN ROBERTS|(650) 322-4000|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|01/02/2004|0|0|0|0|0|0
San Francisco Regional Office| 129872|801-63077|FREESTONE INVESTMENTS|FREESTONE INVESTMENTS LLC|1191 SECOND AVENUE, SUITE 2100||SEATTLE WA 98101|USA|||  ||JANICE GREENE|206-398-2018|Limited Liability Company|Other|APPROVED|05/10/2004|0|0|0|0|0|0
San Francisco Regional Office| 129903|801-62712|THRESHOLD GROUP, LLC|THRESHOLD GROUP, LLC|3025 HARBORVIEW DR NW||GIG HARBOR WA 98335|USA|PO BOX 2358||GIG HARBOR WA 98335||CHERYL KARBOSKI|253-851-4300|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/16/2004|0|0|0|0|0|0
San Francisco Regional Office| 130005|801-63127|FREESTONE ADVISORS, LLC|FREESTONE ADVISORS, LLC|1191 2ND AVE., SUITE 2100||SEATTLE WA 98101|USA|||  ||JANICE GREENE|206 398-1100|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|05/18/2004|0|0|0|0|0|0
San Francisco Regional Office| 130037|801-66003|JMP ASSET MANAGEMENT LLC|JMP ASSET MANAGEMENT LLC|600 MONTGOMERY STREET|SUITE 1100|SAN FRANCISCO CA 94111|USA|||  ||JOSEPH A. JOLSON|(415) 835-3900|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/01/2006|0|1|0|0|0|0
San Francisco Regional Office| 130046|801-62998|PASKIN & KAHR CAPITAL MANAGEMENT LLC|PASKIN & KAHR CAPITAL MANAGEMENT LLC|712 MONTGOMERY STREET||SAN FRANCISCO CA 94111|USA|||  ||JOAN C. KAHR|415-392-7893|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/07/2004|0|0|0|0|0|0
San Francisco Regional Office| 130128|801-67062|CAPSTONE WEALTH MANAGEMENT|CAPSTONE WEALTH MANAGEMENT, INC.|1500 POLY DRIVE|SUITE 107|BILLINGS MT 59102|USA|||  ||MARK THOMAS|406-259-4939|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|08/03/2006|0|1|0|0|0|0
San Francisco Regional Office| 130152|801-62839|OUTRIDER MANAGEMENT, L.L.C.|OUTRIDER MANAGEMENT, L.L.C.|455 MARKET ST, SUITE 1600||SAN FRANCISCO CA 94105|USA|||  ||STEPHEN HOPE|415-267-1302|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/03/2004|0|0|0|0|0|0
San Francisco Regional Office| 130217|801-67838|MONTROSE ASSET MANAGEMENT, LLC|MONTROSE ASSET MANAGEMENT, LLC|44 MONTGOMERY STREET|SUITE 3050|SAN FRANCISCO CA 94104|USA|||  ||PHILIP LEUNG|415 399-8833|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/16/2007|0|0|0|0|0|0
San Francisco Regional Office| 130232|801-63880|LESA SROUFE & COMPANY, INC.|LESA SROUFE & COMPANY, INC.|1200 5TH AVE., SUITE 1200||SEATTLE WA 98101|USA|||  ||SHAUN CORRY|206-838-8385|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/03/2005|0|0|0|0|0|0
San Francisco Regional Office| 130373|801-63451|LATTICE GROWTH PARTNERS LLC|LATTICE GROWTH PARTNERS LLC|345 CALIFORNIA STREET, SUITE 2575||SAN FRANCISCO CA 94104|USA|||  ||THEODORE J. LUCAS|415-315-1252|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/18/2004|0|0|0|0|0|0
San Francisco Regional Office| 130459|801-62936|COMPASS ANALYTICS, LLC|COMPASS ANALYTICS, LLC|4040 CIVIC CENTER DRIVE|SUITE 450|SAN RAFAEL CA 94903|USA|||  ||TERESA WONG|415 462-7500|Limited Liability Company|Other|APPROVED|04/02/2004|0|0|0|0|0|0
San Francisco Regional Office| 130499|801-67811|ARCHON CAPITAL MANAGEMENT LLC|ARCHON CAPITAL MANAGEMENT LLC|719 SECOND AVENUE, SUITE 1403||SEATTLE WA 98104|USA|||  ||CONSTANTINOS J. CHRISTOFILIS|(206) 438-1865|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/19/2007|0|0|0|0|0|0
San Francisco Regional Office| 130503|801-67386|MCF ASSET MANAGEMENT, LLC|MCF ASSET MANAGEMENT, LLC|600 CALIFORNIA STREET|SUITE 540|SAN FRANCISCO CA 94108|USA|||  ||CHRISTOPHER AGUILAR|415-248-5634|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|01/03/2007|0|0|0|0|0|0
San Francisco Regional Office| 130537|801-63121|BERMAN, STEVEN M.|BERMAN, STEVEN MALLIN|80 MOUNTAIN LANE||MILL VALLEY CA 94941|USA|P.O. BOX 2229||MILL VALLEY CA 94942||STEVEN M. BERMAN|415-388-8938|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/30/2004|0|0|0|0|0|0
San Francisco Regional Office| 130580|801-65584|SKIRITAI CAPITAL LLC|SKIRITAI CAPITAL LLC|388 MARKET STREET|SUITE 700|SAN FRANCISCO CA 94111|USA|||  ||RUSS SILVESTRI|415-391-5929|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/14/2006|0|0|0|0|0|0
San Francisco Regional Office| 130612|801-65188|ARTIS CAPITAL MANAGEMENT, L.P.|ARTIS CAPITAL MANAGEMENT, L.P.|ONE MARKET PLAZA, STEUART TOWER, 27TH FLOOR||SAN FRANCISCO CA 94105|USA|||  ||ROBERT ALLAN RIEMER|415-344-6200|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/18/2006|0|0|0|0|0|0
San Francisco Regional Office| 130655|801-67616|KRISS INVESTMENT GROUP LLC|KRISS INVESTMENT GROUP LLC|30 WOODHAVEN ROAD||INVERNESS CA 94937-1101|USA|PO BOX 1101||INVERNESS CA 94937-1101|USA|MARK R. KRISS|415-669-7380|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|03/07/2007|0|0|0|0|0|0
San Francisco Regional Office| 130724|801-62866|COMPASS INVESTMENT PARTNERS LLC|COMPASS INVESTMENT PARTNERS LLC|33442 FIRST WAY SOUTH|SUITE 100|FEDERAL WAY WA 98003|USA|||  ||MARK EDWARD PONDER|253-528-2100|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|03/18/2004|0|0|0|0|0|0
San Francisco Regional Office| 130726|801-63993|PARACLE ADVISORS LLC|PARACLE ADVISORS LLC|7900 SE 28TH STREET, SUITE 204||MERCER ISLAND WA 98040|USA|||  ||LISA R. HARPER|425-646-9292|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/31/2005|0|0|0|0|0|0
San Francisco Regional Office| 130931|801-66974|ANDREWS, LUCIA WEALTH MANAGEMENT LLC|ANDREWS, LUCIA WEALTH MANAGEMENT LLC|1825 SOUTH GRANT STREET|SUITE 610|SAN MATEO CA 94402|USA|||  ||ROBERT JOSEPH LUCIA|650-345-4845|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/03/2006|0|0|0|0|0|0
San Francisco Regional Office| 130934|801-62989|SIERRA FINANCIAL ADVISORY|SIERRA FINANCIAL ADVISORY INCORPORATED|206 PROVIDENCE MINE ROAD|SUITE 115|NEVADA CITY CA 95959|USA|||  ||JOE TOMKIEWICZ|530-470-8939|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|03/22/2004|0|2|0|0|0|0
San Francisco Regional Office| 130996|801-65244|DUNLAP EQUITY MANAGEMENT, LLC.|DUNLAP EQUITY MANAGEMENT, LLC.|199 FREMONT STREET|SUITE 1110|SAN FRANCISCO CA 94105|USA|||  ||DAVID A. SPILLER|415-568-9600|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|02/01/2006|0|0|0|0|0|0
San Francisco Regional Office| 131006|801-63716|STEVEN WELCH, CPA|JAMES STEVEN WELCH|313 NW "A" STREET||GRANTS PASS OR 97527|USA|||  ||JAMES STEVEN WELCH|541-474-6616|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/06/2005|0|0|0|0|0|0
San Francisco Regional Office| 131037|801-62988|PERIGON WEALTH MANAGEMENT, LLC|PERIGON WEALTH MANAGEMENT, LLC|55 SECOND STREET|SUITE 1900|SAN FRANCISCO CA 94105|USA|||  ||JOSEPH CABALLERO|415-430-4142|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|04/07/2004|0|0|0|0|0|0
San Francisco Regional Office| 131057|801-63167|KLD INVESTMENT MANAGEMENT, LLC|KLD INVESTMENT MANAGEMENT, LLC|738 SE KANE||ROSEBURG OR 97470|USA|||  ||TODD E. SCHWARTZ|503.635.5244|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/14/2004|0|0|0|0|0|0
San Francisco Regional Office| 131077|801-63130|DOBSON ASSET MANAGEMENT|DOBSON, CHARLES CASE|1306 N.W. HOYT ST., SUITE 408||PORTLAND OR 97209|USA|||  ||ERIKA HERMANS|503-417-3481|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/03/2004|0|0|0|0|0|0
San Francisco Regional Office| 131092|801-69375|INTERFUND CAPITAL CORP.|INTERFUND CAPITAL CORPORATION|200 WEST RIVER STREET|SUITE 302|KETCHUM ID 83340|USA|PO BOX 90 PMB 485||SUN VALLEY ID 83353-0090|US|JAMIE B. SCHWARTZ|208-928-6900|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|07/09/2008|0|1|1|0|0|0
San Francisco Regional Office| 131096|801-67047|INVESTORLOGIC, LLC|INVESTORLOGIC, LLC|1230 CAMBRIDGE DRIVE||LAFAYETTE CA 94549|USA|||  ||LAWRENCE R. JOHNSON|(925) 408-7787|Limited Liability Company|Pension consulting services, Other|APPROVED|07/24/2006|0|0|0|0|0|0
San Francisco Regional Office| 131195|801-63028|FOCUS POINT SOLUTIONS|FOCUS POINT SOLUTIONS, INC|3395 SW GARDEN VIEW AVENUE||PORTLAND OR 97225|USA|||  ||CHRISTOPHER K HICKS|503-445-1957|Corporation|Other|APPROVED|04/29/2004|0|0|0|0|0|0
San Francisco Regional Office| 131258|801-67933|GRIDLEY ASSOCIATES INC|GRIDLEY ASSOCIATES INC.|580 CALIFORNIA STREET|SUITE 1600|SAN FRANCISCO CA 94104|USA|||  ||LEWIS R. GRIDLEY|415-397-1100|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|06/04/2007|0|0|0|0|0|0
San Francisco Regional Office| 131308|801-63287|CONTANGO CAPITAL ADVISORS, INC.|CONTANGO CAPITAL ADVISORS, INC.|WELMAN HOLDINGS, INC.|1608 FOURTH STREET, SUITE 410|BERKELEY CA 94710-1749|USA|||  ||CHERIE J. JOLLY|801-844-7959|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|07/28/2004|0|1|0|0|0|0
San Francisco Regional Office| 131342|801-67772|SMART PORTFOLIOS, LLC|SMART PORTFOLIOS, LLC|17865 BALLINGER WAY NE||LAKE FOREST PARK WA 98155|USA|||  ||BRYCE JAMES|206 686 3644|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|05/11/2007|0|0|0|0|0|0
San Francisco Regional Office| 131361|801-63105|WEALTH MANAGEMENT CONSULTANTS, LLC|WEALTH MANAGEMENT CONSULTANTS, LLC|3550 ROUND BARN BLVD|SUITE 212|SANTA ROSA CA 95403-0921|USA|||  ||THELIA EAGAN|(707)542-3600|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|04/29/2004|0|0|0|0|0|0
San Francisco Regional Office| 131413|801-63788|PHILADELPHIA FINANCIAL|PHILADELPHIA FINANCIAL MANAGEMENT OF SAN FRANCISCO, LLC|THREE EMBARCADERO|SUITE 2350|SAN FRANCISCO CA 94111|USA|||  ||RACHAEL CLARKE|(415) 352-4463|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/03/2005|0|0|0|0|0|0
San Francisco Regional Office| 131423|801-63211|ASCENT CAPITAL MANAGEMENT, LLC|ASCENT CAPITAL MANAGEMENT, LLC|975 SW COLORADO|SUITE 200|BEND OR 97702|USA|||  ||SCOTT AGNEW|541-382-4847|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers|APPROVED|06/01/2004|0|0|0|0|0|0
San Francisco Regional Office| 131442|801-63126|FINLEY FINANCIAL, LLC|FINLEY FINANCIAL, LLC|1709 NE 27TH STREET|SUITE B|MCMINNVILLE OR 97128|USA|||  ||JAY FINLEY, CFP, CIMA, AIF|503.474.3535|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/13/2004|0|0|0|0|0|0
San Francisco Regional Office| 131472|801-66257|MARATHON RESOURCE INVESTMENTS, LLC|MARATHON RESOURCE INVESTMENTS, LLC|ONE FERRY BUILDING|SUITE 255|SAN FRANCISCO CA 94111|USA|||  ||NIEL ARMSTRONG|415-677-1557|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|03/06/2006|0|0|0|0|0|0
San Francisco Regional Office| 131584|801-68017|MONETARY MANAGEMENT CORPORATION|MONETARY MANAGEMENT CORPORATION|1 EMBARCADERO CENTER|SUITE 4100|SAN FRANCISCO CA 94111|USA|||  ||W. STEVENSON BROWNE|(415) 981-9200|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/03/2007|0|3|2|0|0|0
San Francisco Regional Office| 131618|801-63156|SENESCHAL ADVISORS, LLC|SENESCHAL ADVISORS, LLC|7350 CIRQUE DRIVE W., SUITE 111||UNIVERSITY PLACE WA 98467|USA|||  ||JON M. DUNCAN|(253)460-3430|Limited Liability Partnership|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|05/14/2004|0|0|0|0|0|0
San Francisco Regional Office| 131628|801-63206|GARNER FINANCIAL MANAGEMENT|GARNER, ROBERT JAMES|3595 MT. DIABLO BLVD.|SUITE 290|LAFAYETTE CA 94549|USA|||  ||ROBERT GARNER|925.282.5500|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|06/15/2004|0|0|0|0|0|0
San Francisco Regional Office| 131655|801-63191|MERIDIAN INVESTMENT COUNSEL, INC.|MERIDIAN INVESTMENT COUNSEL, INC.|15626 BAYPOINT AVENUE||SAN LEANDRO CA 94579|USA|||  ||NANCY WOODALL|510-903-1330|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/28/2004|0|0|0|0|0|0
San Francisco Regional Office| 131689|801-63382|WASI|WESTERN ANNUITY SERVICES, INC.|432 CLEMENT STREET||SAN FRANCISCO CA 94118|USA|||  ||GEORGE GORDON|415-933-8222|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|07/22/2004|0|0|0|0|0|0
San Francisco Regional Office| 131690|801-64813|JLFRANKLIN WEALTH PLANNING|FRANKLIN, JOYCE LEA|900 LARKSPUR LANDING CIRCLE|SUITE 185|LARKSPUR CA 94939-1756|USA|||  ||JOYCE L FRANKLIN|415-925-3400|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|11/08/2005|0|0|0|0|0|0
San Francisco Regional Office| 131699|801-63209|GRANGE CAPITAL, LLC|GRANGE CAPITAL, LLC|300 OSWEGO POINTE DRIVE|SUITE 220|LAKE OSWEGO OR 97034|USA|||  ||DEREK N. DUKART|5036753001|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|06/15/2004|0|0|0|0|0|0
San Francisco Regional Office| 131704|801-64653|LEGATO CAPITAL MANAGEMENT LLC|LEGATO CAPITAL MANAGEMENT LLC|433 CALIFORNIA AVENUE|11TH FLOOR|SAN FRANCISCO CA 94104-2016|USA|||  ||VICTOR L. HYMES|877-838-8301|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/31/2005|0|0|0|0|0|0
San Francisco Regional Office| 131803|801-66240|GREENLEAF & BURLESON WEALTH MANAGEMENT, LLC|GREENLEAF & BURLESON WEALTH MANAGEMENT, LLC|201 1ST STREET|STE 204|PETALUMA CA 94952-4288|USA|||  ||JAMES D. BURLESON|707-283-0520|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|03/24/2006|0|1|0|0|0|0
San Francisco Regional Office| 131834|801-63195|KARP CAPITAL MANAGEMENT CORPORATION|KARP CAPITAL MANAGEMENT CORPORATION|3360 LAGUNA STREET||SAN FRANCISCO CA 94123|USA|2269 CHESTNUT STREET|#308|SAN FRANCISCO CA 94123|USA|PETER C. KARP|(415) 345-8185|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|03/21/2006|0|0|0|0|0|0
San Francisco Regional Office| 131886|801-63238|CEPHUS CAPITAL MANAGEMENT LLC|CEPHUS CAPITAL MANAGEMENT LLC|900 LARKSPUR LANDING CIRCLE|SUITE 103|LARKSPUR CA 94939|USA|||  ||CHRISTOPHER C. YOUNG|(415) 925-0350|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/14/2004|0|0|0|0|0|0
San Francisco Regional Office| 131898|801-63231|TYGH CAPITAL MANAGEMENT, INC.|TYGH CAPITAL MANAGEMENT, INC.|1211 SW FIFTH AVENUE|SUITE 2100|PORTLAND OR 97204|USA|||  ||JEFF B. CURTIS|503-972-0131|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/09/2004|0|0|0|0|0|0
San Francisco Regional Office| 131900|801-63320|PRIVATE REALTY INVESTMENTS, INC.|PRIVATE REALTY INVESTMENTS, INC.|80 E SIR FRANCIS DRAKE BLVD|SUITE 4D|LARKSPUR CA 94939-1709|USA|||  ||SUSAN LETCHER|415-925-1375|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|07/15/2004|0|0|0|0|0|0
San Francisco Regional Office| 131906|801-68077|PASSIVE MOMENTUM ASSET ADVISORS|R.H.S.C. HOLDINGS, INC.|26524 FISHER DRIVE||CARMEL CA 93923|USA|P.O. BOX 221401||CARMEL CA 93923|USA|MATTHEW KING|831-626-6103|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/05/2007|0|0|0|0|0|0
San Francisco Regional Office| 131957|801-63222|WEYERHAEUSER ASSET MANAGEMENT LLC|WEYERHAEUSER ASSET MANAGEMENT LLC|33663 WEYERHAEUSER WAY SOUTH|CH1 C32|FEDERAL WAY WA 98003-9777|USA|P.O. BOX 9777|CH1 C32|FEDERAL WAY WA 98063-9777|USA|NEAL SULLINS|253-924-7860|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/04/2004|0|0|0|0|0|0
San Francisco Regional Office| 132020|801-63398|TAMALPAIS MANAGEMENT GROUP, L.P.|TAMALPAIS MANAGEMENT GROUP, L.P.|600 CALIFORNIA STREET, SUITE 540||SAN FRANCISCO CA 94108|USA|||  ||STEVEN LEDGER|415-568-3916|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/30/2004|0|0|0|0|0|0
San Francisco Regional Office| 132035|801-63313|FIRST REPUBLIC WEALTH ADVISORS, LLC|FIRST REPUBLIC WEALTH ADVISORS, LLC|111 PINE ST|7TH FLOOR|SAN FRANCISCO CA 94111|USA|111 PINE ST|7TH FLOOR|SAN FRANCISCO CA 94111|USA|CHARLES ANTHONY CHRISTOFILIS|415-296-5727|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/15/2004|0|0|1|0|0|0
San Francisco Regional Office| 132122|801-63310|ELITE WEALTH MANAGEMENT, INC.|ELITE WEALTH MANAGEMENT, INC.|1014 MARKET STREET, STE 100||KIRKLAND WA 98033|USA|||  ||FARIBA RONNASI|206-713-7883|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|07/02/2004|0|0|0|0|0|0
San Francisco Regional Office| 132124|801-68920|BLEECK FINANCIAL MANAGEMENT, INC.|BLEECK FINANCIAL MANAGEMENT, INC.|533 AIRPORT BLVD.|SUITE 400|BURLINGAME CA 94010|USA|PO BOX 11370||BURLINGAME CA 94011||ROBERT M. BLEECK|(650) 685-2425|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/02/2008|0|0|0|0|0|0
San Francisco Regional Office| 132131|801-64554|MULTNOMAH GROUP, INC.|MULTNOMAH GROUP, INC.|115 NW 1ST AVENUE|SUITE 201|PORTLAND OR 97201|USA|||  ||SCOTT CAMERON|503-772-0159|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|08/24/2005|0|0|0|0|0|0
San Francisco Regional Office| 132160|801-66966|PLEASANTON FINANCIAL ADVISORS|PLEASANTON FINANCIAL ADVISORS,  LLC|1811 SANTA RITA RD, SUITE 211||PLEASANTON CA 94566|USA|PO BOX 1929||PLEASANTON CA 94566||GARY SMITH|925-846-3768|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/13/2006|0|0|0|0|0|0
San Francisco Regional Office| 132175|801-63416|ANNADEL CAPITAL|ANNADEL CAPITAL, INC.|899 NORTHGATE DRIVE|SUITE 302|SAN RAFAEL CA 94903-3667|USA|||  ||M. GREGORY SMITH|415-499-1901|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|08/05/2004|0|0|1|0|0|0
San Francisco Regional Office| 132337|801-63417|SEIDMAN PRIVATE ADVISORS LLC|SEIDMAN PRIVATE ADVISORS, LLC|520 KIRKLAND WAY|SUITE #300|KIRKLAND WA 98033|USA|P.O. BOX 699||KIRKLAND WA 98083-0699|USA|VICTORIA SERLES|800-785-9340|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|10/06/2004|0|0|0|0|0|0
San Francisco Regional Office| 132415|801-63494|THE HUMPHREYS GROUP|THE HUMPHREYS GROUP, LLC|3401 CLAY STREET|SUITE 703|SAN FRANCISCO CA 94118|USA|||  ||DIANE BOURDO|415-928-0401|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|09/10/2004|0|0|0|0|0|0
San Francisco Regional Office| 132486|801-63467|RAINIER GROUP INVESTMENT ADVISORY LLC|RAINIER GROUP INVESTMENT ADVISORY LLC|500 - 108TH AVENUE NE, SUITE 2000||BELLEVUE WA 98004-5538|USA|||  ||SKIP BELL|425-463-3000|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|09/15/2004|0|0|0|0|0|0
San Francisco Regional Office| 132498|801-63413|CYPRESS WEALTH ADVISORS|CYPRESS WEALTH ADVISORS LLC|TWO EMBARCADERO CENTER|SUITE 2330|SAN FRANCISCO CA 94111|USA|||  ||VINCENT COLABIANCHI|(415)489-2082|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/13/2004|0|0|0|0|0|0
San Francisco Regional Office| 132536|801-66820|ATTENTIVE INVESTMENT MANAGERS, INC.|ATTENTIVE INVESTMENT MANAGERS, INC.|5345 N. EL DORADO|SUITE 4|STOCKTON CA 95207|USA|||  ||MICHAEL L. DALTON|(209) 235-5200|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/26/2006|0|0|0|0|0|0
San Francisco Regional Office| 132551|801-63495|CHANGING PARAMETERS, LLC|CHANGING PARAMETERS, LLC|250 OAK GROVE AVENUE|SUITE A|MENLO PARK CA 94025|USA|||  ||SALLY ANN TALARICO|650-327-7705|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Market timing services|APPROVED|09/10/2004|0|0|0|0|0|0
San Francisco Regional Office| 132563|801-63491|HOLLIS CAPITAL MANAGEMENT, LLC|HOLLIS CAPITAL MANAGEMENT, LLC|ONE SANSOME STREET, 39TH FLOOR||SAN FRANCISCO CA 94104|USA|||  ||SHERI SIEGEL|(415) 288-2344|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|09/02/2004|0|0|0|0|0|0
San Francisco Regional Office| 132569|801-63466|ALISON, LLC INVESTMENT ADVISORS|ALISON, LLC|450 COUNTRY CLUB ROAD|SUITE 200|EUGENE OR 97401|USA|||  ||STEPHEN ALISON|541-342-3433|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|09/02/2004|0|0|0|0|0|0
San Francisco Regional Office| 132578|801-63625|NEWFOCUS FINANCIAL GROUP, LLC|NEWFOCUS FINANCIAL GROUP, LLC|410 WEST 12TH STREET||VANCOUVER WA 98660|USA|||  ||CHAD BURTON|888-762-2423|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|11/08/2004|0|0|0|0|0|0
San Francisco Regional Office| 132619|801-68803|TALISKER INVESTMENT GROUP, LLC.|TALISKER INVESTMENT GROUP, LLC.|3124 N BOGUS BASIN ROAD||BOISE ID 83702|USA|PO BOX 2123||BOISE ID 83701-2123|USA|DANIEL WIGGINS|(208)860-4244|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Market timing services, Other|APPROVED|02/08/2008|0|0|0|0|0|0
San Francisco Regional Office| 132657|801-63576|BAKER AVENUE ASSET MANAGEMENT, LP|BAKER AVENUE ASSET MANAGEMENT, LP|601 CALIFORNIA STREET|SUITE 750|SAN FRANCISCO CA 94108|USA|||  ||STACEY KRUUS|206-275-0089|Other (specify)|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|10/18/2004|0|0|0|0|0|0
San Francisco Regional Office| 132757|801-63518|EPOCH CONSULTING GROUP|EPOCH CONSULTING GROUP|181 CONCOURSE BLVD., SUITE C||SANTA ROSA CA 95403|USA|||  ||RICK TASKER|707-524-5800|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|10/04/2004|0|0|4|0|0|0
San Francisco Regional Office| 132777|801-68880|SECURE RETIREMENT FINANCIAL & INSURANCE SERVICES CORP.|SECURE RETIREMENT FINANCIAL & INSURANCE SERVICES CORP.|18 CROW CANYON COURT|SUITE 300|SAN RAMON CA 94583|USA|||  ||RICHARD R. MOREY|925-855-4300|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/29/2008|0|0|0|0|0|0
San Francisco Regional Office| 132879|801-63575|CONLON & DART LLC|CONLON & DART LLC|200 W MERCER STREET, SUITE 511||SEATTLE WA 98119|USA|||  ||MITCHELL P. CONLON|(206) 728-0222|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|11/15/2004|0|1|0|0|0|0
San Francisco Regional Office| 132909|801-69463|ATHENA ASSET MANAGEMENT & RESEARCH, LLC|ATHENA ASSET MANAGEMENT & RESEARCH, LLC|315 MONTGOMERY STREET|9TH FLOOR|SAN FRANCISCO CA 94104|USA|||  ||TODD ALLEN LEE|415-829-4333|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|07/25/2008|0|0|0|0|0|0
San Francisco Regional Office| 132945|801-68911|BERGER ASSET MANAGEMENT, INC.|BERGER ASSET MANAGEMENT, INC.|701 EAST CANAL DRIVE||TURLOCK CA 95380|USA|||  ||KEVIN BERGER|(209)632-9938|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|03/04/2008|0|0|0|0|0|0
San Francisco Regional Office| 132976|801-63629|CAVALRY ASSET MANAGEMENT|CAVALRY MANAGEMENT GROUP, LLC|ONE CALIFORNIA STREET|SUITE 3000|SAN FRANCISCO CA 94111|USA|||  ||WILLIAM BINDEMAN|415-439-7013|Limited Liability Company|Other|APPROVED|11/05/2004|0|0|0|0|0|0
San Francisco Regional Office| 132996|801-64768|OPES ADVISORS, INC.|OPES ADVISORS, INC.|555 COLLEGE AVENUE||PALO ALTO CA 94306|USA|||  ||DAVID FIRTH|650-319-1618|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/07/2005|0|0|0|0|0|0
San Francisco Regional Office| 133009|801-64965|HEADWATER INVESTMENT CONSULTING,INC.|HEADWATER INVESTMENT CONSULTING,INC.|2290 SW 2ND STREET||MCMINNVILLE OR 97128|USA|2290 SW 2ND STREET||MCMINNVILLE OR 97128|USA|BRIAN LAWRENCE, CFA|(503) 565-2100|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/29/2005|0|0|0|0|0|0
San Francisco Regional Office| 133017|801-63556|HUMAN INVESTING|ANDERSONFISHER LLC|4900 SW MEADOWS ROAD|SUITE 440|LAKE OSWEGO OR 97035|USA|||  ||HALEY ALLEN|503-905-3100|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|10/05/2004|0|0|0|0|0|0
San Francisco Regional Office| 133184|801-63605|GREAT GABLE PARTNERS, LP|GREAT GABLE PARTNERS, LP|601 CALIFORNIA STREET|SUITE 750|SAN FRANCISCO CA 94108|USA|||  ||STACEY KRUUS|206-275-0089|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/17/2004|0|0|0|0|0|0
San Francisco Regional Office| 133198|801-66834|METIS CAPITAL MANAGEMENT LLC|METIS CAPITAL MANAGEMENT LLC|195 BARTLETT STREET||SAN FRANCISCO CA 94110|USA|2370 MARKET STREET #419||SAN FRANCISCO CA 94114|USA|ELIZABETH ALLEN|(415) 294-4789|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/16/2006|0|0|0|0|0|0
San Francisco Regional Office| 133255|801-63907|CHRISTIAN CURRY BATCHELDER, CFP|BATCHELDER, CHRISTIAN CURRY|91 GLEN AVENUE||OAKLAND CA 94611|USA|||  ||CHRISTIAN BATCHELDER|510-428-9952|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/15/2005|0|0|0|0|0|0
San Francisco Regional Office| 133315|801-63697|MT. EDEN INVESTMENT ADVISORS, LLC|MT. EDEN INVESTMENT ADVISORS, LLC|343 SANSOME STREET|SUITE 1600|SAN FRANCISCO CA 94104|USA|||  ||WILLIAM S. MCCREERY|(415) 288-3000|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|12/09/2004|0|0|0|0|0|0
San Francisco Regional Office| 133381|801-63673|STRATEGIC CAPITAL GROUP L.L.C.|STRATEGIC CAPITAL GROUP L.L.C.|5202 OLYMPIC DR. NW|STE 101|GIG HARBOR WA 98335|USA|||  ||BRAD LARSON|253-853-4900|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|11/19/2004|0|0|0|0|0|0
San Francisco Regional Office| 133383|801-63734|EVERGREEN ASSET MANAGEMENT, LLC|EVERGREEN ASSET MANAGEMENT, LLC|7117 STINSON AVENUE, SUITE B||GIG HARBOR WA 98335-4902|UNITED STATES|||  ||SHELLY R. RANSOM|253-853-5500|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|01/03/2005|0|0|0|0|0|0
San Francisco Regional Office| 133409|801-64442|ROSEN REAL ESTATE SECURITIES LLC|ROSEN REAL ESTATE SECURITIES LLC|1995 UNIVERSITY AVENUE|SUITE 550|BERKELEY CA 94704|USA|||  ||BETSY BEROS|510-549-5225|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/28/2005|0|0|0|0|0|0
San Francisco Regional Office| 133433|801-68419|THE TAX PRACTICE, INC.|THE TAX PRACTICE, INC.|3131 S. BASCOM AVE|SUITE 250|CAMPBELL CA 95008-6768|USA|||  ||HARRIS W. WILLNER|(408) 879-0399|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|10/12/2007|0|0|0|0|0|0
San Francisco Regional Office| 133538|801-67418|PWJOHNSON WEALTH MANAGEMENT|PETER WILLIAM JOHNSON, JR.|1153 BORDEAUX DR|#109|SUNNYVALE CA 94089|USA|||  ||PETER W. JOHNSON|408-747-1222|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Publication of periodicals or newsletters|APPROVED|01/03/2007|0|0|0|0|0|0
San Francisco Regional Office| 133586|801-63774|SANSOTERRA GROUP LLC|SANSOTERRA GROUP LLC|4900 WILLIAMS ROAD||SAN JOSE CA 95129|USA|||  ||JAMES SANSOTERRA|408-253-3568|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/03/2005|0|0|0|0|0|0
San Francisco Regional Office| 133620|801-63761|NORTHGATE CAPITAL, LLC|NORTHGATE CAPITAL, LLC|649 SAN RAMON VALLEY BLVD||DANVILLE CA 94526|USA|||  ||CAROL CHRISTENSEN|925-820-9970|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/17/2004|0|0|0|0|0|0
San Francisco Regional Office| 133629|801-63775|TAMALPAIS WEALTH ADVISORS|TAMALPAIS WEALTH ADVISORS|630 LAS GALLINAS AVENUE||SAN RAFAEL CA 94903|USA|||  ||PAULETTE SLACK|415 526-6481|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/15/2004|0|1|0|0|0|0
San Francisco Regional Office| 133753|801-68061|STENSON FINANCIAL CORPORATION|STENSON FINANCIAL CORPORATION|700 LARKSPUR LANDING CIRCLE, SUITE 105||LARKSPUR CA 94939-1710|USA|||  ||ROBERT T. STENSON|(415) 461-8150|Corporation|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|06/25/2007|0|0|0|0|0|0
San Francisco Regional Office| 133794|801-63826|MCCULLOUGH & ASSOCIATES LLC|MCCULLOUGH & ASSOCIATES LLC|101 CALIFORNIA STREET|SUITE 3260|SAN FRANCISCO CA 94111-5844|USA|||  ||MAVIS K. SONNIER|415 956 8700|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/26/2005|0|1|0|0|0|0
San Francisco Regional Office| 133802|801-63808|PRIVATE WEALTH PARTNERS, LLC|PRIVATE WEALTH PARTNERS, LLC|80 E. SIR FRANCIS DRAKE BLVD.|4TH FLOOR|LARKSPUR CA 94939|USA|||  ||DAVID P. WONG|415-464-2113|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/31/2005|0|0|0|0|0|0
San Francisco Regional Office| 133859|801-63839|SUSTAINABLE WEALTH MANAGEMENT LLC|SUSTAINABLE WEALTH MANAGEMENT LLC|576 OLIVE STREET|SUITE 202|EUGENE OR 97401|USA|||  ||SCOTT L. POPE|541-345-5669|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/14/2005|0|0|0|0|0|0
San Francisco Regional Office| 133908|801-66293|PRIALTA ADVISORS, INC.|PRIALTA ADVISORS, INC.|1737 N. FIRST STREET|SUITE 290|SAN JOSE CA 95112-4505|USA|||  ||BRUCE R. BARTON|408-436-9800|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers, Other|APPROVED|02/24/2006|0|0|0|0|0|0
San Francisco Regional Office| 133975|801-64316|GIVEN CAPITAL MANAGEMENT, LLC|GIVEN CAPITAL MANAGEMENT, LLC|200 CLOCKTOWER PLACE|SUITE E-208|CARMEL CA 93923|USA|||  ||HOWARD GIVEN|(831) 625-1530|Limited Liability Company|Portfolio management for individuals and/or small businesses, Other|APPROVED|06/16/2005|0|1|0|0|0|0
San Francisco Regional Office| 134015|801-66004|QUANTAL ASSET MANAGEMENT, LLC.|QUANTAL ASSET MANAGEMENT, LLC.|455 MARKET ST.|SUITE 1200|SAN FRANCISCO CA 94105|USA|||  ||TERRY MARSH|415-644-0754|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/27/2006|0|0|0|0|0|0
San Francisco Regional Office| 134018|801-63857|DIVERSIFIED CREDIT INVESTMENTS LLC|DIVERSIFIED CREDIT INVESTMENTS LLC|201 SPEAR ST|STE250|SAN FRANCISCO CA 94105|USA|||  ||KATHRYN WHEADON|415-764-1906|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/07/2005|0|0|0|0|0|0
San Francisco Regional Office| 134076|801-66359|WILSON & BOUCHER CAPITAL MANAGEMENT, LLC|WILSON & BOUCHER CAPITAL MANAGEMENT, LLC|43G AVENIDA DE ORINDA||ORINDA CA 94563|USA|||  ||JAMES B. BOUCHER|(800) 381-8610|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|03/09/2006|0|0|0|0|0|0
San Francisco Regional Office| 134081|801-64154|KELLING INVESTMENT ADVISORS|ROBERT SOMERVILLE KELLING JR.|596 GRIZZLY PEAK BLVD||BERKELEY CA 94708|USA|||  ||ROBERT S. KELLING|510-898-3468|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/06/2005|0|0|0|0|0|0
San Francisco Regional Office| 134090|801-63870|ATHERTON LANE ADVISERS, LLC|ATHERTON LANE ADVISERS, LLC|3000 SAND HILL ROAD|BLDG. 1, SUITE 270|MENLO PARK CA 94025|USA|||  ||PERRY V. OLSON|(650) 233-1200|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|01/28/2005|0|0|0|0|0|0
San Francisco Regional Office| 134096|801-68887|ACCUVEST GLOBAL ADVISORS|ACCUVEST GLOBAL ADVISORS|3100 OAK ROAD|SUITE 380|WALNUT CREEK CA 94597|USA|||  ||DAVID GARFF|925-930-2882|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/27/2008|0|0|0|0|0|0
San Francisco Regional Office| 134173|801-63916|THE MUTUAL FUND STORE|TMFS-SAN FRANCISCO-OAKLAND, LLC|5684 STONERIDGE DRIVE, SUITE A||PLEASANTON CA 94588|USA|||  ||WALT KASIANCHUK|408-970-0555|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|02/03/2005|0|0|0|0|0|0
San Francisco Regional Office| 134174|801-68504|GOLDBERG ADVISERS, LLC|GOLDBERG ADVISERS, LLC|44 MONTGOMERY STREET|SUITE 2100|SAN FRANCISCO CA 94104|USA|||  ||JOHN J. GOLDBERG|(415) 399-9100|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/21/2007|0|0|0|0|0|0
San Francisco Regional Office| 134306|801-63951|GUARDIAN PLUS INC|GUARDIAN PLUS INC|4718 169TH ST SE||BOTHELL WA 98012|USA|P.O BOX 12248||MILL CREEK WA 98082|USA|WILLIAM MCELROY|425 483-2169|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|02/17/2005|0|0|0|0|0|0
San Francisco Regional Office| 134364|801-69081|TRELLIS ADVISORS, LLC|TRELLIS ADVISORS, LLC|8804 ROOSEVELT WAY NE||SEATTLE WA 98115|USA|||  ||M. RAY GILMOUR|206 522-6111|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|04/23/2008|0|0|0|0|0|0
San Francisco Regional Office| 134376|801-67690|ISAAC MAYANJA & ASSOCIATES|ISAAC MAYANJA & ASSOCIATES|10140 224TH AVE NE||REDMOND WA 98053|USA|||  ||ISAAC MAYANJA|(206)790-1662|Corporation|Selection of other advisers, Other|APPROVED-120|04/03/2007|0|1|0|0|0|0
San Francisco Regional Office| 134456|801-67671|SEASONAL STRATEGY|GAVRICH, ROBERT JAN|870 MARKET STREET|SUITE 919|SAN FRANCISCO CA 94102|USA|||  ||ROBERT J. GAVRICH|(415) 956-1721|Sole Proprietorship|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|04/17/2007|0|0|0|0|0|0
San Francisco Regional Office| 134470|801-68033|R.J. HEALY & COMPANY|R.J. HEALY & COMPANY|1850 MT. DIABLO BOULEVARD|SUITE 410|WALNUT CREEK CA 94596|USA|||  ||ROBERT J. HEALY, JR.|(925) 944-5734|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/20/2007|0|0|0|0|0|0
San Francisco Regional Office| 134484|801-65488|PASSPORT CAPITAL, LLC|PASSPORT CAPITAL, LLC|30 HOTALING PLACE, STE. 300||SAN FRANCISCO CA 94111|USA|||  ||MICHELE CLIFFORD|415-321-4610|Limited Liability Company|Other|APPROVED|01/23/2006|0|0|0|0|0|0
San Francisco Regional Office| 134527|801-69234|H&S FINANCIAL ADVISORS LLC|H&S FINANCIAL ADVISORS LLC|100 MARINE PARKWAY|SUITE 525|REDWOOD CITY CA 94065|USA|||  ||MICHELLE BEAUDOIN|650-610-6100|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|06/12/2008|0|0|0|0|0|0
San Francisco Regional Office| 134529|801-64067|BIVIUM CAPITAL PARTNERS, LLC|BIVIUM CAPITAL PARTNERS, LLC|44 MONTGOMERY STREET|SUITE 3065|SAN FRANCISCO CA 94104-4826|USA|||  ||SABRINA BRUTUS|415-398-0602|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|03/21/2005|0|0|0|0|0|0
San Francisco Regional Office| 134542|801-64361|HOMEWOOD CAPITAL MANAGEMENT|WEE, WILLIAM KENNETH|1079 RIVER ROCK LANE||DANVILLE CA 94526|USA|3000 F DANVILLE BOULEVARD|SUITE 330|ALAMO CA 94507|USA|WILLIAM KENNETH WEE|(925) 838-5445|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/03/2005|0|0|0|0|0|0
San Francisco Regional Office| 134693|801-64085|CATALYST FINANCIAL PLANNING & INVESTMENT MANAGEMENT CORPORATION|CATALYST FINANCIAL PLANNING & INVESTMENT MANAGEMENT CORPORATION|70 WASHINGTON STREET|SUITE 203|OAKLAND CA 94607|USA|||  ||MADELYN MALLORY|(510) 547-5711|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters|APPROVED|02/28/2005|0|0|0|0|0|0
San Francisco Regional Office| 134720|801-66328|MIRAMAR ASSET MANAGEMENT, LLC|MIRAMAR ASSET MANAGEMENT, LLC|ONE SANSOME STREET|SUITE 3134|SAN FRANCISCO CA 94104|USA|ONE SANSOME STREET|SUITE 3900|SAN FRANCISCO CA 94104|USA|DEBBIE MCGRAW|415 288-2321|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/27/2006|0|0|0|0|0|0
San Francisco Regional Office| 134841|801-66605|GRECU CAPITAL MANAGEMENT, INC.|GRECU CAPITAL MANAGEMENT, INC.|3017 DOUGLAS BLVD., SUITE 300||ROSEVILLE CA 95661-3850|USA|||  ||JERROLD A. GRECU|(916) 788-7217|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/16/2006|0|0|0|0|0|0
San Francisco Regional Office| 134846|801-64263|PEAK INVESTMENT SOLUTIONS, LLC|PEAK INVESTMENT SOLUTIONS, LLC|1508 EUREKA ROAD|SUITE 180|ROSEVILLE CA 95661|USA|||  ||CAROLYN ALBRIGHT|916-772-5022|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/09/2005|0|0|0|0|0|0
San Francisco Regional Office| 134874|801-64119|KCO INVESTMENTS, INC.|KCO INVESTMENTS, INCORPORATED|3717 BUCHANAN STREET, SUITE 200||SAN FRANCISCO CA 94123|USA|||  ||KEVIN O'BOYLE|415-441-3034|Corporation|Portfolio management for investment companies|APPROVED|04/20/2005|0|0|0|0|0|0
San Francisco Regional Office| 134950|801-68651|BENNINGFIELD FINANCIAL ADVISORS|BENNINGFIELD, MILO MARK|THE PRESIDIO OF SAN FRANCISCO|1016 LINCOLN BLVD, FIRST FLOOR|SAN FRANCISCO CA 94129-1700|USA|||  ||MILO MARK BENNINGFIELD|415-561-6688|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/02/2008|0|0|0|0|0|0
San Francisco Regional Office| 135060|801-67710|VALENTINE VENTURES, LLC|VALENTINE VENTURES, LLC|550 SW INDUSTRIAL WAY|BUILDING TWO SUITE 201|BEND OR 97702|USA|||  ||WILLIAM L. VALENTINE IV|541-389-4148|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|04/03/2007|0|0|0|0|0|0
San Francisco Regional Office| 135084|801-68643|ALPHASTREAM CAPITAL MANAGEMENT LLC|ALPHASTREAM CAPITAL MANAGEMENT LLC|3404 MT DIABLO BLVD||LAFAYETTE CA 94549|USA|3404 MT DIABLO BLVD|SUITE 17|LAFAYETTE CA 94549|USA|STEPHEN MARSH|925 962 1466|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/19/2007|0|0|0|0|0|0
San Francisco Regional Office| 135147|801-67018|ALLEN CAPITAL MANAGEMENT, LLC|ALLEN CAPITAL MANAGEMENT, LLC|121 SW MORRISON STREET|SUITE 875|PORTLAND OR 97204|USA|||  ||STUART B. ALLEN|503-292-1041|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|07/17/2006|0|0|0|0|0|0
San Francisco Regional Office| 135156|801-68895|KEARNEY-BURCH FINANCIAL SERVICES, INC.|KEARNEY-BURCH FINANCIAL SERVICES, INC.|2694 BISHOP DRIVE, SUITE 290||SAN RAMON CA 94583-4449|USA|||  ||ROBERT A BURCH|(925) 275-4940|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|03/07/2008|0|0|0|0|0|0
San Francisco Regional Office| 135188|801-64387|EVANSON ASSET MANAGEMENT, LLC|EVANSON ASSET MANAGEMENT, LLC|3483 GREENFIELD PLACE||CARMEL CA 93923-9425|USA|||  ||LAURA J. KELLY|800-333-2060|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|10/19/2005|0|0|0|0|0|0
San Francisco Regional Office| 135288|801-69138|AMERICAN INDEPENDENT SECURITIES GROUP, LLC|AMERICAN INDEPENDENT SECURITIES GROUP, LLC|1036 E IRON EAGLE DR. SUITE 120||EAGLE ID 83616|USA|||  ||RYAN S CARLSON|208-489-3131|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|05/27/2008|0|0|0|0|0|0
San Francisco Regional Office| 135292|801-64230|LIFE&WEALTH ADVISORS, INC.|LIFE&WEALTH ADVISORS, INC.|1399 YGNACIO VALLEY ROAD|SUITE 29|WALNUT CREEK CA 94598|USA|||  ||GARY P. GARDNER|(925) 937-7800|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|04/28/2005|0|0|0|0|0|0
San Francisco Regional Office| 135333|801-64255|DESTINATION CAPITAL MANAGEMENT, INC.|DESTINATION CAPITAL MANAGEMENT, INC.|2001 NORTH MAIN STREET|STE 270|WALNUT CREEK CA 94596|USA|||  ||ALEXIS STICE|925-935-2900|Corporation|Portfolio management for investment companies|APPROVED|05/12/2005|0|0|0|0|0|0
San Francisco Regional Office| 135373|801-64313|WEALTH ARCHITECTS, LLC|WEALTH ARCHITECTS, LLC|250 CAMBRIDGE AVENUE|SUITE 201|PALO ALTO CA 94306|USA|||  ||MARK T. JOHNSEN|650-325-9044|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|05/19/2005|0|0|0|0|0|0
San Francisco Regional Office| 135440|801-68451|PRISM CAPITAL MANAGEMENT|PRISM CAPITAL MANAGEMENT, LLC|720 E WASHINGTON ST|SUITE 111|SEQUIM WA 98382-3801|USA|P.O. BOX 3668||SEQUIM WA 98382-3668|USA|DIETER DREWS|360-683-2450|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/07/2008|0|0|0|0|0|0
San Francisco Regional Office| 135470|801-64317|PHOCAS FINANCIAL CORPORATION|PHOCAS FINANCIAL CORPORATION|980 ATLANTIC AVENUE|SUITE 106|ALAMEDA CA 94501-1001|USA|||  ||HAROLD EDWIN JONES|510-523-5800|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/01/2005|0|0|0|0|0|0
San Francisco Regional Office| 135682|801-64366|ELM ADVISORS, LLC|ELM ADVISORS, LLC|1860 EL CAMINO REAL|SUITE 200|BURLINGAME CA 94010|USA|||  ||ELANA M. LIEBERMAN|(650) 697-3013|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/03/2005|0|0|0|0|0|0
San Francisco Regional Office| 135769|801-66657|TIETON CAPITAL MANAGEMENT|TIETON CAPITAL MANAGEMENT, LLC|4700 TIETON DRIVE, SUITE C||YAKIMA WA 98908|USA|||  ||WILLIAM J DEZELLEM, CFA|509-965-6488|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/23/2006|0|0|0|0|0|0
San Francisco Regional Office| 135806|801-64701|ROULAC GLOBAL FUNDS LLC|ROULAC GLOBAL FUNDS LLC|709 FIFTH AVENUE||SAN RAFAEL CA 94901|USA|||  ||STEPHEN E. ROULAC|415-451-4300|Limited Liability Company|Other|APPROVED|09/13/2005|0|0|0|0|0|0
San Francisco Regional Office| 135872|801-65355|MARIN FINANCIAL ADVISORS LLC|MARIN FINANCIAL ADVISORS LLC|80 EAST SIR FRANCIS DRAKE BLVD|SUITE 1A|LARKSPUR CA 94939|USA|||  ||CHRISTINE CIONE|415-925-1212|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/23/2006|0|0|0|0|0|0
San Francisco Regional Office| 136021|801-64557|SUTTER CAPITAL MANAGEMENT, LLC|SUTTER CAPITAL MANAGEMENT, LLC|1640 SCHOOL STREET||MORAGA CA 94556|USA|||  ||JEN MOSER|925-235-1050|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/21/2005|0|0|0|0|0|0
San Francisco Regional Office| 136030|801-68938|JEFFS, ROBIN|JEFFS, ROBIN EDMUND|6 ASHDOWN PLACE||HALF MOON BAY CA 94019|USA|||  ||ROBIN JEFFS|650-712-8591|Sole Proprietorship|Portfolio management for individuals and/or small businesses|APPROVED|03/12/2008|0|0|0|0|0|0
San Francisco Regional Office| 136051|801-68815|WEALTH MANAGEMENT ADVISORS, LLC|WEALTH MANAGEMENT ADVISORS, LLC|1480 DEERWOOD DRIVE||UKIAH CA 95482-3609|USA|||  ||PATRICK COYNE|707-462-9053|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/15/2008|0|0|0|0|0|0
San Francisco Regional Office| 136055|801-64507|ALDEN INTERNATIONAL CORPORATION|ALDEN INTERNATIONAL CORPORATION|1982 STADIUM DRIVE|SUITE 3|BOZEMAN MT 59715|USA|||  ||JOHN H. DAVANT|406 551-4320|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|07/15/2005|0|0|0|0|0|0
San Francisco Regional Office| 136114|801-64525|MARSHALL WHITE, INVESTMENT ADVISOR|WHITE, MARSHALL LEE|418 COLUSA AVENUE||KENSINGTON CA 94707-1211|USA|||  ||MARSHALL WHITE|510-528-9484|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|07/21/2005|0|0|0|0|0|0
San Francisco Regional Office| 136144|801-65101|MATTHES CAPITAL MANAGEMENT, LLC|MATTHES CAPITAL MANAGEMENT, LLC|ONE MARITIME PLAZA SUITE, 1555||SAN FRANCISCO CA 94111|USA|||  ||CYNDI CANNON|415-765-5157|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/03/2006|0|0|0|0|0|0
San Francisco Regional Office| 136246|801-65297|PACIFIC EDGE INVESTMENT MANAGEMENT, LLC|PACIFIC EDGE INVESTMENT MANAGEMENT, LLC|490 S. CALIFORNIA AVENUE|SUITE 310|PALO ALTO CA 94306|USA|||  ||LAARNI P. DEGUZMAN|650-325-3343|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/13/2006|0|0|0|0|0|0
San Francisco Regional Office| 136256|801-66741|BENNING FINANCIAL GROUP, LLC|BENNING FINANCIAL GROUP, LLC|2801 WATERMAN BLVD|STE. 270|FAIRFIELD CA 94534|USA|||  ||RANDY BENNING|707-426-3700|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Other|APPROVED|05/10/2006|0|0|0|0|0|0
San Francisco Regional Office| 136330|801-64685|GPS CAPITAL MANAGEMENT, LLC|GPS CAPITAL MANAGEMENT, LLC|2410 CAMINO RAMON|SUITE 128|SAN RAMON CA 94583|USA|||  ||DANIEL WU|925-328-0800|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/12/2005|0|0|0|0|0|0
San Francisco Regional Office| 136334|801-64509|MILLAR FINANCIAL|MILLAR, TIMOTHY, PATRICK|39560 STEVENSON PLACE, SUITE 115||FREMONT CA 94539-3074|USA|||  ||TIMOTHY MILLAR|510-792-9395|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/20/2005|0|0|0|0|0|0
San Francisco Regional Office| 136401|801-64542|FOUNDERS FINANCIAL NETWORK, LLC|FOUNDERS FINANCIAL NETWORK, LLC|10050 N. WOLFE ROAD|SW1-281|CUPERTINO CA 95014-8508|USA|||  ||ROBERT G. KRESEK|408-366-8920|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/03/2005|0|0|0|0|0|0
San Francisco Regional Office| 136431|801-64572|NORTH BERKELEY INVESTMENT PARTNERS, LLC|NORTH BERKELEY INVESTMENT PARTNERS, LLC|900 COLUSA AVENUE|SUITE 201|BERKELEY CA 94707|USA|||  ||S. KATHERINE CAMPBELL|510-528-5820|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|08/10/2005|0|0|0|0|0|0
San Francisco Regional Office| 136476|801-68249|LEADING EDGE INVESTMENT ADVISORS,LLC|LEADING EDGE INVESTMENT ADVISORS,LLC|601 CALIFORNIA STREET|SUITE 1250|SAN FRANCISCO CA 94108|USA|||  ||SUSAN WILLIAMSEN|(415) 217-7030|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|08/24/2007|0|0|0|0|0|0
San Francisco Regional Office| 136549|801-64728|SCOTT CONYERS CAPITAL MANAGEMENT, INC.|SCOTT CONYERS CAPITAL MANAGEMENT, INC.|9268 CHAMPOEG RD NE||AURORA OR 97002-8651|USA|||  ||SCOTT CONYERS|503-678-6365|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/04/2005|0|0|0|0|0|0
San Francisco Regional Office| 136592|801-64688|PACIFIC GROWTH EQUITY MANAGEMENT, LLC|PACIFIC GROWTH EQUITY MANAGEMENT, LLC|ONE BUSH STREET|SUITE 1700|SAN FRANCISCO CA 94104|USA|||  ||HOWARD BERNSTEIN|415-263-6622|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/12/2005|0|1|0|0|0|0
San Francisco Regional Office| 136686|801-64682|GRUBB & ELLIS ALESCO GLOBAL ADVISORS, LLC|GRUBB & ELLIS ALESCO GLOBAL ADVISORS, LLC|400 EL CAMINO REAL|SUITE 1250|SAN MATEO CA 94402|USA|||  ||BRIAN CHRISTOPHER RONAN|650-653-5600|Limited Liability Company|Other|APPROVED|08/30/2005|0|0|0|0|0|0
San Francisco Regional Office| 136694|801-66320|M FINANCIAL ASSET MANAGEMENT, INC.|M FINANCIAL ASSET MANAGEMENT, INC.|1125 NW COUCH ST|STE 900|PORTLAND OR 97209|USA|||  ||BEN BRAMER|503-414-7368|Corporation|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|02/24/2006|0|0|0|0|0|0
San Francisco Regional Office| 136729|801-64684|STANLEY F. GREEN, LLC|STANLEY F. GREEN, LLC|700 LARKSPUR LANDING CIRCLE|STE. 285|LARKSPUR CA 94939-7826|USA|||  ||STANLEY FRANKLIN GREEN|415-461-7826|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|09/08/2005|0|0|0|0|0|0
San Francisco Regional Office| 136865|801-64662|SHAREBUILDER ADVISORS, LLC|SHAREBUILDER ADVISORS, LLC|1445 120TH AVENUE NE||BELLEVUE WA 98005|USA|||  ||BRIAN T. APPLEGATE|425-467-7357|Limited Liability Company|Pension consulting services|APPROVED|09/02/2005|0|1|0|0|0|0
San Francisco Regional Office| 136906|801-64742|MCDONALD FRANCESCHI, LLC|MCDONALD FRANCESCHI, LLC|520 SW YAMHILL STREET|SUITE 500|PORTLAND OR 97204|USA|||  ||BERNARD P. FRANCESCHI|503-227-0581|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|09/30/2005|0|0|0|0|0|0
San Francisco Regional Office| 136970|801-67963|TITUS WEALTH MANAGEMENT|TITUS WEALTH MANAGEMENT|4 WEST 4TH AVENUE|SUITE 400|SAN MATEO CA 94402|USA|||  ||JENNIFER ANCONA|(415) 461-4807|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Market timing services|APPROVED|06/08/2007|0|0|0|0|0|0
San Francisco Regional Office| 136983|801-68816|CAPITAL CAPITAL ADVISORS LLC|CAPITAL CAPITAL ADVISORS LLC|21 WARD STREET|SUITE 7|LARKSPUR CA 94939-1374|USA|||  ||ROY HARVEY KISSIN|415-924-4949|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|02/04/2008|0|0|0|0|0|0
San Francisco Regional Office| 137131|801-64850|EAGLE PEAK ASSET MANAGEMENT, LLC|EAGLE PEAK ASSET MANAGEMENT, LLC|10436 RED FIR ROAD||TRUCKEE CA 96161|USA|||  ||ROBERT ATLEE RICHARDS|530-582-1306|Limited Liability Company|Portfolio management for individuals and/or small businesses, Other|APPROVED|11/15/2005|0|0|0|0|0|0
San Francisco Regional Office| 137150|801-67886|WALES INVESTMENTS INC|WALES INVESTMENTS INC|2055 JUNCTION AVE SUITE 100||SAN JOSE CA 95131|USA|||  ||SANDRA WALES|408-944-9176|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|05/04/2007|0|0|0|0|0|0
San Francisco Regional Office| 137164|801-64740|EVERGREEN WEALTH MANAGEMENT SERVICES, INC.|EVERGREEN WEALTH MANAGEMENT SERVICES, INC.|50 HARMS LANE||PORT LUDLOW WA 98365|USA|46 VILLAGE WAY, PMB 110||PORT LUDLOW WA 98365|USA|R. BRUCE PYLES|(206) 393-0639|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|09/28/2005|0|1|0|0|0|0
San Francisco Regional Office| 137236|801-64771|YELLOWSTONE PARTNERS|YELLOWSTONE PARTNERS LLC|3340 MERLIN DRIVE||IDAHO FALLS ID 83404|USA|||  ||DAVID HANSEN|208-612-1000|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|10/24/2005|0|0|0|0|0|0
San Francisco Regional Office| 137251|801-65860|EM CAPITAL MANAGEMENT, LLC|EM CAPITAL MANAGEMENT, LLC|920 COUNTRY CLUB DRIVE|SUITE 1-E|MORAGA CA 94556|USA|||  ||SETH R FREEMAN|925-376-8700|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/30/2006|0|0|0|0|0|0
San Francisco Regional Office| 137495|801-64908|PMB ADVISORS|BERESH, PATRICK M|101 LARKSPUR LANDING CIRCLE|SUITE 211|LARKSPUR CA 94939-1746|USA|||  ||PATRICK M. BERESH|415-336-5501|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|11/18/2005|0|0|0|0|0|0
San Francisco Regional Office| 137496|801-66807|NIGHTINGALE FINANCIAL ADVISORY|NIGHTINGALE, JERRY|2600 EL CAMINO REAL, SUITE 220||PALO ALTO CA 94306|USA|||  ||JERRY NIGHTINGALE|(650) 843-0760|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/08/2006|0|0|0|0|0|0
San Francisco Regional Office| 137530|801-64793|AK GLOBAL ASSET MANAGEMENT, LLC|AK GLOBAL ASSET MANAGEMENT, LLC|1300 CLAY STREET|SUITE 600|OAKLAND CA 94612|USA|||  ||ANTONIO SHUI WAI KWOK|510-466-6338|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/11/2005|0|0|0|0|0|0
San Francisco Regional Office| 137611|801-66331|LONG-TERM SOLUTIONS, LLC|LONG-TERM SOLUTIONS, LLC|345 CALIFORNIA STREET|SUITE 1160|SAN FRANCISCO CA 94104|USA|268 BUSH STREET|NO. 2818|SAN FRANCISCO CA 94104|USA|ELIZABETH PEARSALL-PALMER|877-341-1980|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|04/14/2006|0|0|0|0|0|0
San Francisco Regional Office| 137654|801-65074|SELECT HEALTHCARE CAPITAL, LLC|SELECT HEALTHCARE CAPITAL, LLC|ONE FERRY BUILDING|SUITE 255|SAN FRANCISCO CA 94111|USA|||  ||J. NIEL ARMSTRONG|415 677-1557|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/25/2006|0|0|0|0|0|0
San Francisco Regional Office| 137810|801-64893|GREENE WEALTH MANAGEMENT, LLC|GREENE WEALTH MANAGEMENT, LLC|720 OLIVE WAY|SUITE 1925|SEATTLE WA 98101-1871|USA|||  ||KIRK P. GREENE|206-623-2200|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|11/15/2005|0|0|0|0|0|0
San Francisco Regional Office| 137830|801-64902|RBP INVESTMENT ADVISORS INC.|RBP INVESTMENT ADVISORS INC.|413 ANITA DRIVE||GRANTS PASS OR 97526|USA|||  ||RICHARD B. PEAR|(888) 806-0604|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/29/2005|0|0|0|0|0|0
San Francisco Regional Office| 137897|801-65032|FINTAN PARTNERS LLC|FINTAN PARTNERS LLC|300 HAMILTON AVE, 4TH FLOOR||PALO ALTO CA 94301|USA|||  ||CHRISTOPHER MONTCLARE|650.687-3403|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/03/2006|0|0|0|0|0|0
San Francisco Regional Office| 137963|801-64903|PACIFIC COAST INVESTMENT ADVISORS, LLC|PACIFIC COAST INVESTMENT ADVISORS, LLC|5285 SW MEADOWS ROAD|SUITE 330|LAKE OSWEGO OR 97035|USA|||  ||JOHN J. MURPHY|503-968-2500|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|04/03/2006|0|0|0|0|0|0
San Francisco Regional Office| 138212|801-65084|PANTERA CAPITAL MANAGEMENT LP|PANTERA CAPITAL MANAGEMENT LP|FOUR EMBARCADERO CENTER|SUITE 3660|SAN FRANCISCO CA 94111|USA|||  ||JOHN HERR|415-869-6600|Partnership|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/23/2006|0|0|0|0|0|0
San Francisco Regional Office| 138261|801-64991|TRADEWINDS INVESTMENT MANAGEMENT, L.P.|TRADEWINDS INVESTMENT MANAGEMENT, L.P.|THREE HARBOR DRIVE|SUITE 213|SAUSALITO CA 94965|USA|||  ||ROBERT SCANNELL|4152890500|Partnership|Other|APPROVED|01/23/2006|0|0|0|0|0|0
San Francisco Regional Office| 138347|801-65858|SPECTRUM STRATEGIC CAPITAL MANAGEMENT, LLC|SPECTRUM STRATEGIC CAPITAL MANAGEMENT, LLC|2358 NW KINGS BLVD.|SUITE 200|CORVALLIS OR 97330-3925|USA|P.O. BOX 905||CORVALLIS OR 97339-0905|USA|NICHOLS CUTTING|541-752-4556|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|02/01/2006|0|0|0|0|0|0
San Francisco Regional Office| 138419|801-65126|FILAMENT, LLC|FILAMENT, LLC|701 PIKE STREEET|SUITE 2225|SEATTLE WA 98101|USA|||  ||S. JOHN GOODWIN|206-436-2300|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|01/12/2006|0|0|0|0|0|0
San Francisco Regional Office| 138570|801-65133|GREEN STREET CAPITAL MANAGEMENT LLC|GREEN STREET CAPITAL MANAGEMENT LLC|340 PINE STREET|SUITE 401|SAN FRANCISCO CA 94104|USA|||  ||ANDREW SPRINGER|310-433-1112|Limited Liability Company|Other|APPROVED|01/13/2006|0|0|0|0|0|0
San Francisco Regional Office| 138617|801-65786|ASI INVESTMENTS, LLC|ASI INVESTMENTS, LLC|3675 MOUNT DIABLO BOULEVARD|SUITE 300|LAFAYETTE CA 94549|USA|||  ||MICHELLE FARMER|925.444.1331|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/30/2006|0|0|0|0|0|0
San Francisco Regional Office| 138626|801-69373|WEBB ASSET MANAGEMENT, INC.|WEBB ASSET MANAGEMENT, INC.|65 POPLAR AVENUE||ROSS CA 94957|USA|||  ||DEREK H. WEBB|(415) 354-2850|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/15/2008|0|0|0|0|0|0
San Francisco Regional Office| 138687|801-65114|DTS GROUP LLC|DTS GROUP LLC|TWO BELVEDERE PLACE, SUITE 320||MILL VALLEY CA 94941-2486|USA|||  ||NOEL MURPHY|415-497-7533|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/11/2006|0|0|0|0|0|0
San Francisco Regional Office| 138725|801-65547|ASCEND PARAGON CAPITAL, LLC|ASCEND PARAGON CAPITAL, LLC|50 CALIFORNIA STREET|SUITE 2940|SAN FRANCISCO CA 94111|USA|||  ||BENJAMIN D. SLAVET|415-217-8304|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/27/2006|0|1|1|0|0|0
San Francisco Regional Office| 138804|801-65489|PASSPORT MANAGEMENT, LLC|PASSPORT MANAGEMENT, LLC|30 HOTALING PLACE, STE 300||SAN FRANCISCO CA 94111|USA|||  ||MICHELE CLIFFORD|415-321-4610|Limited Liability Company|Other|APPROVED|01/23/2006|0|0|0|0|0|0
San Francisco Regional Office| 138891|801-67151|MAXIM GLOBAL WEALTH ADVISORS|MAXIM CAPITAL MANAGEMENT LLC|6650 SW REDWOOD LANE|SUITE 300|PORTLAND OR 97224|USA|||  ||JEANNIE PEDERSEN|503-620-3600|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|09/05/2006|0|0|0|0|0|0
San Francisco Regional Office| 138971|801-65470|CLARIUM CAPITAL MANAGEMENT LLC|CLARIUM CAPITAL MANAGEMENT LLC|1 LETTERMAN DRIVE|BUILDING C, SUITE 400|SAN FRANCISCO CA 94129-1495|USA|||  ||BRUCE GIBNEY|415-248-5161|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/23/2006|0|0|1|0|0|0
San Francisco Regional Office| 139025|801-65953|FORT MASON CAPITAL LLC|FORT MASON CAPITAL LLC|580 CALIFORNIA STREET|SUITE 1925|SAN FRANCISCO CA 94104|USA|||  ||DAVID A. SMOLEN|415-288-8116|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/23/2006|0|0|0|0|0|0
San Francisco Regional Office| 139158|801-69465|COGO WOLF ASSET MANAGEMENT, LLC|COGO WOLF ASSET MANAGEMENT, LLC|ONE EMBARCADERO CENTER|SUITE 1140|SAN FRANCISCO CA 94111|USA|||  ||CHRISTOPHER R. WOLF|(415) 438-1700|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/25/2008|0|0|0|0|0|0
San Francisco Regional Office| 139237|801-66794|WERBA & DAVIS ADVISORY SERVICES, LLC|WERBA & DAVIS ADVISORY SERVICES, LLC|3055 OLIN AVENUE|SUITE 2000|SAN JOSE CA 95128|USA|||  ||ALAN WERBA|(408) 260-3109|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/02/2006|0|0|0|0|0|0
San Francisco Regional Office| 139249|801-66094|MILLER FINANCIAL GROUP|MILLER, BRUCE W.|9115 SW OLESON RD|SUITE 200|PORTLAND OR 97223|USA|||  ||ROBYN MITCHAM|503 808-9404|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/31/2006|0|0|0|0|0|0
San Francisco Regional Office| 139358|801-66205|RETIREMENT PLANNING SPECIALISTS, INC.|THOMAS B. GAU ENTERPRISES, INC. DBA RETIREMENT PLANNING SPECIALI|645 A STREET||ASHLAND OR 97520|USA|||  ||CHAD SMITH|541-482-0138|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|02/15/2006|0|0|0|0|0|0
San Francisco Regional Office| 139397|801-66398|MONEY MYSTIQUE ASSET MANAGEMENT CO.|MONEY MYSTIQUE ASSET MANAGEMENT CO.|FIVE CENTERPOINTE DRIVE|SUITE 400|LAKE OSWEGO OR 97035|USA|||  ||KAREN SHERIDAN|503-620-5098|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/01/2006|0|0|0|0|0|0
San Francisco Regional Office| 139457|801-66214|GREAT NORTHERN ASSET MANAGEMENT, LLC|GREAT NORTHERN ASSET MANAGEMENT, LLC|1111 MAIN STREET|SUITE 650|VANCOUVER WA 98660|USA|||  ||JOHN D. RITCHIE|360-567-3300|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/06/2006|0|0|0|0|0|0
San Francisco Regional Office| 139505|801-66277|PACIFIC PORTFOLIO CONSULTING, LLC|PACIFIC PORTFOLIO CONSULTING, LLC|601 UNION STREET|SUITE 4343|SEATTLE WA 98101|USA|||  ||RITCHIE HOOD|206-623-6641|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|01/08/2006|0|0|0|0|0|0
San Francisco Regional Office| 139571|801-66431|GORDON VENTURE MEDIA AND ENTERTAINMENT. LLC|GORDON VENTURE MEDIA AND ENTERTAINMENT. LLC|15 LINDA VISTA AVENUE||TIBURON CA 94920|USA|||  ||LANCE GORDON|415-435-8172|Limited Liability Company|Other|APPROVED-120|04/10/2006|0|0|0|0|0|0
San Francisco Regional Office| 139587|801-66318|GREEN WEALTH MANAGEMENT, LLC|GREEN WEALTH MANAGEMENT, LLC|350 MILLER STREET SE|SUITE 200|SALEM OR 97302|USA|||  ||JEFFREY R. GRISWOLD|503.391.1040|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|03/22/2006|0|0|0|0|0|0
San Francisco Regional Office| 139715|801-68832|CABEZON CAPITAL MANAGEMENT, LLC|CABEZON CAPITAL MANAGEMENT, LLC|220 HALLECK STREET|SUITE 230|SAN FRANCISCO CA 94129|USA|||  ||KENNETH CHAN|415-518-8894|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/05/2008|0|0|0|0|0|0
San Francisco Regional Office| 139719|801-68700|SET ADVISORS, LLC|SET ADVISORS, LLC|403 BLAINE STREET||CALDWELL ID 83605|USA|||  ||RICHARD E. HOGG|208-459-4338|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|01/17/2008|0|0|0|0|0|0
San Francisco Regional Office| 139762|801-66315|EXPLORADOR CAPITAL MANAGEMENT, LLC|EXPLORADOR CAPITAL MANAGEMENT, LLC|ONE MARITIME PLAZA|SUITE 1575|SAN FRANCISCO CA 94111|USA|||  ||ANDREW H. CUMMINS|415-392-1300|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/29/2006|0|0|0|0|0|0
San Francisco Regional Office| 139780|801-66336|HIGHLAND CAPITAL ADVISORS, LLC|HIGHLAND CAPITAL ADVISORS, LLC|1605 NW SAMMAMISH ROAD, SUITE 250||ISSAQUAH WA 98027|USA|||  ||WILLIAM S. SMALL|425-466-2946|Limited Liability Company|Financial planning services, Pension consulting services, Selection of other advisers|APPROVED|05/21/2006|0|0|0|0|0|0
San Francisco Regional Office| 139825|801-66629|A.M. WEALTH MANAGEMENT, LLC|A.M. WEALTH MANAGEMENT, LLC|300 HAMILTON AVENUE|FOURTH FLOOR|PALO ALTO CA 94301|USA|||  ||MATTHEW B. KENASTON|650-617-0293|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|04/24/2006|0|0|0|0|0|0
San Francisco Regional Office| 139881|801-66415|THREE RIVERS CAPITAL LLC|THREE RIVERS CAPITAL LLC|1216 PAGE STREET||SAN FRANCISCO CA 94117|USA|||  ||HENRY WU|702-241-1004|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|03/23/2006|0|0|0|0|0|0
San Francisco Regional Office| 139996|801-66913|MCF/NV ASSET MANAGEMENT, LLC|MCF/NV ASSET MANAGEMENT, LLC|600 CALIFORNIA STREET|SUITE 540|SAN FRANCISCO CA 94108|USA|||  ||CHRISTOPHER AGUILAR|415-248-5634|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/29/2006|0|0|0|0|0|0
San Francisco Regional Office| 140004|801-66449|KK WEALTH ADVISORS, LLC|KK WEALTH ADVISORS, LLC|4300 EL CAMINO REAL|SUITE 105|LOS ALTOS CA 94022|USA|||  ||KAREN R. GOODFRIEND|650-941-5530|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|03/21/2006|0|0|0|0|0|0
San Francisco Regional Office| 140054|801-66461|TOREADOR RESEARCH & TRADING, LLC|TOREADOR RESEARCH & TRADING, LLC|7493 N. INGRAM|SUITE 104|FRESNO CA 93711|USA|||  ||DAVID JONES|281-419-2140|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/17/2006|0|0|0|0|0|0
San Francisco Regional Office| 140092|801-66873|WATERSHED ASSET MANAGEMENT, L.L.C.|WATERSHED ASSET MANAGEMENT, L.L.C.|ONE MARITIME PLAZA, SUITE 1525||SAN FRANCISCO CA 94111|USA|||  ||ERIN C. ROSS|415-391-8900|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/16/2006|0|0|0|0|0|0
San Francisco Regional Office| 140103|801-66642|EMPIRICAL WEALTH MANAGEMENT, LLC|EMPIRICAL WEALTH MANAGEMENT, LLC|9755 SW BARNES ROAD|SUITE 210|PORTLAND OR 97225|USA|||  ||MELISSA MCDERMOTT|503-808-9005|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/30/2006|0|1|0|0|0|0
San Francisco Regional Office| 140134|801-66545|STRUCTURAL WEALTH MANAGEMENT LLC|STRUCTURAL WEALTH MANAGEMENT LLC|530 JACKSON STREET|4TH FLOOR|SAN FRANCISCO CA 94133|USA|||  ||VAN MENARD|415 963-4900|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|05/03/2006|0|0|0|0|0|0
San Francisco Regional Office| 140184|801-69338|SAFEGUARD FINANCIAL AND INSURANCE SERVICES|SAFEGUARD FINANCIAL AND INSURANCE SERVICES|2999 OAK ROAD, SUITE 120||WALNUT CREEK CA 94597|USA|||  ||JASON LOHE|925-627-1800|Other (specify)|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/27/2008|0|0|0|0|0|0
San Francisco Regional Office| 140214|801-66571|NORTHGATE CAPITAL, L.P.|NORTHGATE CAPITAL, L.P.|649 SAN RAMON VALLEY BLVD||DANVILLE CA 94526|USA|||  ||CAROL CHRISTENSEN|925-820-9970|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/24/2006|0|0|0|0|0|0
San Francisco Regional Office| 140253|801-66606|EVERGREEN WEALTH ADVISORY GROUP, LLC|EVERGREEN WEALTH ADVISORY GROUP, LLC|101 METRO DR.|STE 650|SAN JOSE CA 95110|USA|||  ||VICTOR CHENG|408-715-7881|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|05/24/2006|0|0|0|0|0|0
San Francisco Regional Office| 140262|801-66670|BLUEPOINTE CAPITAL MANAGEMENT, LLC|BLUEPOINTE CAPITAL MANAGEMENT, LLC|400 S. EL CAMINO REAL|SUITE 350|SAN MATEO CA 94402|USA|||  ||K. MARIJKE MULLER|650-293-4545|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|05/01/2006|0|0|0|0|0|0
San Francisco Regional Office| 140329|801-66589|DELTA FORCE CAPITAL, LLC|DELTA FORCE CAPITAL, LLC|456 MONTGOMERY STREET||SAN FRANCISCO CA 94104|USA|172 GOLDEN GATE AVENUE||SAN FRANCISCO CA 94102|USA|NICHOLAS G. ATKESON|(415) 776-9000|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|04/24/2006|0|0|0|0|0|0
San Francisco Regional Office| 140339|801-68704|CEDAR MOUNTAIN ADVISORS, LLC|CEDAR MOUNTAIN ADVISORS, LLC|1750 SW HARBOR WAY|SUITE 340|PORTLAND OR 97201|USA|||  ||ADAM L. WOODS|503-224-6868|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|01/03/2008|0|0|0|0|0|0
San Francisco Regional Office| 140392|801-67009|HRJ CAPITAL|HRJ CAPITAL, L.L.C.|2965 WOODSIDE ROAD|SUITE A|WOODSIDE CA 94062|USA|||  ||LINDA WAISSAR|650-327-5023|Limited Liability Company|Other|APPROVED|07/14/2006|0|0|0|0|0|0
San Francisco Regional Office| 140455|801-66916|PROBITAS PORTFOLIO MANAGEMENT, LLC|PROBITAS PORTFOLIO MANAGEMENT, LLC|425 CALIFORNIA STREET|SUITE 2300|SAN FRANCISCO CA 94104|USA|||  ||DAVID DINERMAN|(415) 402-0700|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/30/2006|0|0|0|0|0|0
San Francisco Regional Office| 140702|801-68326|THE MUTUAL FUND STORE|TMFS SACRAMENTO LLC|963 PLEASANT GROVE BLVD. SUITE 130||ROSEVILLE CA 95678|USA|||  ||KENNETH GARDNER BIELEJESKI|916-780-5353|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|09/21/2007|0|0|0|0|0|0
San Francisco Regional Office| 140792|801-66825|BRICK ASSET MANAGEMENT INC.|BRICK ASSET MANAGEMENT INC.|1700 CALIFORNIA STREET, STE 335||SAN FRANCISCO CA 94109|USA|||  ||MALCOLM H. GISSEN|415-749-6565|Corporation|Portfolio management for investment companies|APPROVED|06/26/2006|0|1|0|0|0|0
San Francisco Regional Office| 140800|801-68107|PARALLEL ADVISORS, LLC|PARALLEL ADVISORS, LLC|FOUR EMBARCADERO CENTER, SUITE 2620||SAN FRANCISCO CA 94111|USA|||  ||JERRY RENDIC|415-839-8347|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/26/2007|0|0|0|0|0|0
San Francisco Regional Office| 140861|801-67070|VALENTINE CAPITAL ASSET MANAGEMENT, INC.|VALENTINE CAPITAL ASSET MANAGEMENT, INC.|6111 BOLLINGER CANYON ROAD|SUITE 100|SAN RAMON CA 94583|USA|||  ||JOHN VALENTINE|925-275-0200|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Publication of periodicals or newsletters, Other|APPROVED|08/04/2006|0|0|0|0|0|0
San Francisco Regional Office| 140866|801-67053|RETIREMENT ASSET MANAGEMENT, LLC|RETIREMENT ASSET MANAGEMENT, LLC|10801 MAIN STREET|SUITE 206|BELLEVUE WA 98004|USA|||  ||LUELLEN H. LOCKWOOD|425-467-1011|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|08/04/2006|0|0|0|0|0|0
San Francisco Regional Office| 140876|801-66844|MCMILLEN & COMPANY, INC.|MCMILLEN & COMPANY, INC.|350 NORTH 9TH STREET|SUITE 406|BOISE ID 83702|USA|||  ||BRANDEE SCHUELKE|208-343-1274|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/22/2006|0|0|0|0|0|0
San Francisco Regional Office| 140959|801-66973|CHANG MOORE JONES INC.|CHANG MOORE JONES INC.|2185 N. CALIFORNIA BLVD.|SUITE 275|WALNUT CREEK CA 94596|USA|||  ||JUNMIN CHANG|925-937-7771|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|07/12/2006|0|0|0|0|0|0
San Francisco Regional Office| 140963|801-66927|RS INVESTMENTS|RS INVESTMENT MANAGEMENT CO. LLC|388 MARKET STREET|SUITE 1700|SAN FRANCISCO CA 94111|USA|||  ||BENJAMIN L. DOUGLAS|415-591-2729|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/12/2006|0|5|0|0|0|0
San Francisco Regional Office| 140977|801-67001|STRATEGIC WEALTH ADVISORS GROUP|STRATEGIC WEALTH ADVISORS GROUP, INC.|411 BOREL AVENUE, SUITE 620||SAN MATEO CA 94402|USA|||  ||ALLISON L. COUCH|650.571.1934|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|07/20/2006|0|0|0|0|0|0
San Francisco Regional Office| 141060|801-66929|INVESTOR'S CAPITAL MANAGEMENT, LLC|INVESTOR'S CAPITAL MANAGEMENT, LLC|1100 ALMA STREET, SUITE 200||MENLO PARK CA 94025|USA|||  ||JENNIFER CRAY|866 966 9291 X3|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|07/21/2006|0|0|0|0|0|0
San Francisco Regional Office| 141223|801-67422|SUSAN A. NESTOR, P.C.|SUSAN A. NESTOR, P.C.|9600 SW CAPITOL HWY|SUITE 100|PORTLAND OR 97219|USA|||  ||SUSAN A. NESTOR|503-245-8090|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/09/2007|0|0|0|0|0|0
San Francisco Regional Office| 141253|801-67992|CONCERT WEALTH MANAGEMENT, INC.|CONCERT WEALTH MANAGEMENT, INC.|1871 THE ALAMEDA|STE. 350|SAN JOSE CA 95126|USA|||  ||ELIZABETH LUNA|408-856-6142|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|06/21/2007|0|0|1|0|0|0
San Francisco Regional Office| 141271|801-67251|WILLIAM DOWNEY FINANCIAL MANAGEMENT COMPANY LLC|WILLIAM DOWNEY FINANCIAL MANAGEMENT COMPANY LLC|6376 FIREFLY DRIVE||SAN JOSE CA 95120|USA|||  ||WILLIAM DOWNEY|408-927-0559|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED-120|11/02/2006|0|0|0|0|0|0
San Francisco Regional Office| 141286|801-67031|TAMALPAIS ASSET MANAGEMENT, L.P.|TAMALPAIS ASSET MANAGEMENT, L.P.|3 HARBOR DRIVE SUITE 204||SAUSALITO CA 94965-1454|USA|||  ||DARREN HUBER|415 289-3600|Partnership|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|07/24/2006|0|0|0|0|0|0
San Francisco Regional Office| 141440|801-67170|SOUND INVESTMENT STRATEGIES, INC.|SOUND INVESTMENT STRATEGIES, INC.|407 LINCOLN AVENUE||MUKILTEO WA 98275|USA|||  ||JAMES ADAMS|425-353-4960|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|10/02/2006|0|0|0|0|0|0
San Francisco Regional Office| 141481|801-67258|ASIA ALTERNATIVES MANAGEMENT LLC|ASIA ALTERNATIVES MANAGEMENT LLC|ONE MARITIME PLAZA|SUITE 1000|SAN FRANCISCO CA 94111|USA|||  ||WILLIAM D. LAFAYETTE|415-723-8102|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/26/2006|0|0|0|0|0|0
San Francisco Regional Office| 141634|801-67142|TWEDDELL GOLDBERG INVESTMENT MANAGEMENT|TWEDDELL GOLDBERG LLC|20320 MIDLAND DRIVE||SONORA CA 95370-9602|USA|||  ||JEROLD TWEDDELL|209-536-9734|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|09/20/2006|0|0|0|0|0|0
San Francisco Regional Office| 141793|801-67265|NLJ ADVISORS, INC.|NLJ ADVISORS, INC.|206 S. LINCOLN STREET|SUITE 205|PORT ANGELES WA 98362|USA|||  ||NANCY L. JACOB|360-452-3001|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|11/08/2006|0|0|0|0|0|0
San Francisco Regional Office| 141833|801-67207|CYPRESS MANAGEMENT ADVISORS II, LLC|CYPRESS MANAGEMENT ADVISORS II, LLC|100 PINE STREET, SUITE 2700||SAN FRANCISCO CA 94111|USA|||  ||LEON ROOT|(415) 229-9000|Limited Liability Company|Other|APPROVED|10/09/2006|0|1|0|0|0|0
San Francisco Regional Office| 141860|801-67224|LATTICE CAPITAL MANAGEMENT LLC|LATTICE CAPITAL MANAGEMENT LLC|1014 MARKET STREET||KIRKLAND WA 98033|USA|||  ||TRENT NEVILLS|425 828-4300|Limited Liability Company|Other|APPROVED|10/26/2006|0|0|0|0|0|0
San Francisco Regional Office| 141951|801-67208|THIRD STAGE INVESTMENT GROUP, LLC|THIRD STAGE INVESTMENT GROUP, LLC|1326 BELLEVUE WAY NE #6||BELLEVUE WA 98004-3685|USA|||  ||MARK MILLER|425-451-8255|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|10/17/2006|0|0|0|0|0|0
San Francisco Regional Office| 141971|801-68605|PRIVATE WEALTH ADVISORS, LLC|PRIVATE WEALTH ADVISORS, LLC|7447 N. FIRST|SUITE 202|FRESNO CA 93720|USA|||  ||MARTIN MAZORRA|559-451-3463|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|01/02/2008|0|0|0|0|0|0
San Francisco Regional Office| 141974|801-68139|FRONT STREET CAPITAL MANAGEMENT, INC.|FRONT STREET CAPITAL MANAGEMENT, INC.|218 EAST FRONT STREET, SUITE 205||MISSOULA MT 59802|USA|||  ||VIRGINIA BELKER|406.541.0130|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|07/17/2007|0|0|0|0|0|0
San Francisco Regional Office| 142019|801-68975|VINTAGE LANE VENTURE PARTNERS, L.L.C.|VINTAGE LANE VENTURE PARTNERS, L.L.C.|3710 168TH ST NE, SUITE 207B||ARLINGTON WA 98223|USA|||  ||COLE YOUNGER|360-658-6010|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|03/26/2008|0|0|0|0|0|0
San Francisco Regional Office| 142049|801-67257|TEAMCO ADVISERS LLC|TEAMCO ADVISERS LLC|ONE BUSH STREET|SUITE 550|SAN FRANCISCO CA 94104-4419|USA|||  ||ROBERT A. MCCORMISH|415-445-9800|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|11/02/2006|0|0|0|0|0|0
San Francisco Regional Office| 142073|801-67277|BAKER STREET PRIVATE WEALTH|BAKER STREET PRIVATE WEALTH, LLC|455 MARKET STREET|SUITE #620|SAN FRANCISCO CA 94105|USA|||  ||ANN THALMAN|415-344-6187|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|11/13/2006|0|0|0|0|0|0
San Francisco Regional Office| 142563|801-67410|HONU WEALTH MANAGEMENT|WILLIAMS, GARTH ALAN|1 FIRST STREET|SUITE 1|LOS ALTOS CA 94022|USA|||  ||GARTH WILLIAMS|650.917.3400|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|01/08/2007|0|0|0|0|0|0
San Francisco Regional Office| 142580|801-67426|ASHFIELD CAPITAL PARTNERS|ASHFIELD CAPITAL PARTNERS, LLC|750 BATTERY STREET, SUITE 600||SAN FRANCISCO CA 94111|USA|||  ||LESLEY JONES|415-391-4747|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|01/04/2007|0|0|0|0|0|0
San Francisco Regional Office| 142622|801-67394|MERITAGE GROUP LP|MERITAGE GROUP LP|PIER 5, THE EMBARCADERO|SUITE 101|SAN FRANCISCO CA 94111|USA|||  ||LAURA BAXTER-SIMONS|(415) 399-5342|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/03/2007|0|0|0|0|0|0
San Francisco Regional Office| 142666|801-67391|ADVISORY CONSULTING GROUP LLC|ADVISORY CONSULTING GROUP LLC|35 IRON POINT CIRCLE|SUITE 100|FOLSOM CA 95630|USA|||  ||MICHAEL WALKER|916-932-2575 X1103|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|01/03/2007|0|0|0|0|0|0
San Francisco Regional Office| 142681|801-67409|ELY PRUDENT PORTFOLIOS, LLC|ELY PRUDENT PORTFOLIOS, LLC|40 PHILADELPHIA DRIVE|SUITE 101|CHICO CA 95973|USA|||  ||GUERDON ELY|530-895-0636|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|01/12/2007|0|0|0|0|0|0
San Francisco Regional Office| 142713|801-67781|PARISH & COMPANY LLC|PARISH & COMPANY LLC|10260 SW GREENBURG RD|SUITE 400|PORTLAND OR 97223|USA|||  ||BILL PARISH|503-643-6999|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|04/24/2007|0|0|0|0|0|0
San Francisco Regional Office| 142725|801-67453|COLUMBIA PACIFIC ADVISORS, LLC|COLUMBIA PACIFIC ADVISORS, LLC|600 UNIVERSITY STREET|SUITE 2500|SEATTLE WA 98101|USA|||  ||ALEXANDER B. WASHBURN|(206) 728-9063|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/10/2007|0|0|0|0|0|0
San Francisco Regional Office| 142787|801-67438|THIRSTY HORSES|THIRSTY HORSES GROUP, INC.|80 EAST SIR FRANCIS DRAKE BLVD.|SUITE 3A|LARKSPUR CA 94939|USA|||  ||DAVID L. GANTSWEG|415-464-0800|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|01/25/2007|0|0|0|0|0|0
San Francisco Regional Office| 142828|801-67636|AMERICA FIRST CAPITAL MANAGEMENT, LLC|AMERICA FIRST CAPITAL MANAGEMENT, LLC|8150 SIERRA COLLEGE BLVD|SUITE 290|ROSEVILLE CA 95661|USA|101 PARKSHORE DRIVE|SUITE 100|FOLSOM CA 95630-4726|USA|DENA SMITH|916-932-7145|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/03/2007|0|0|0|0|0|0
San Francisco Regional Office| 142861|801-67472|MONEY MANAGEMENT GROUP LP|MONEY MANAGEMENT GROUP LP|2999 OAK ROAD, SUITE 800||WALNUT CREEK CA 94597|USA|||  ||LESLIE WEAVER|925-944-7827|Other (specify)|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/22/2007|0|1|0|0|0|0
San Francisco Regional Office| 142885|801-67537|KEYSTONE NATIONAL GROUP LLC|KEYSTONE NATIONAL GROUP LLC|2410 CAMINO RAMON|STE 120|SAN RAMON CA 94583|USA|||  ||LYNETTE WALBOM|925-407-3120 X4|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/08/2007|0|0|0|0|0|0
San Francisco Regional Office| 142903|801-67790|GEBHARDT GROUP, INC|GEBHARDT GROUP, INC|3620 HAPPY VALLEY ROAD|SUITE 204|LAFAYETTE CA 94549|USA|||  ||JAMES C. GEBHARDT|925-283-9150|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|05/04/2007|0|0|0|0|0|0
San Francisco Regional Office| 142917|801-67534|GIFFORD FONG ASSOCIATES|GIFFORD FONG ASSOCIATES|3658 MT. DIABLO BLVD.|SUITE 200|LAFAYETTE CA 94549|USA|||  ||H. CLIFFORD FONG|925-299-7800|Corporation|Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services|APPROVED|02/22/2007|0|0|0|0|0|0
San Francisco Regional Office| 142962|801-67503|TRUE CAPITAL MANAGEMENT|TRUE CAPITAL MANAGEMENT LLC|455 MARKET STREET|SUITE 2240|SAN FRANCISCO CA 94105|USA|||  ||HEATHER K. GOODMAN|415-538-3600|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|01/24/2007|0|0|0|0|0|0
San Francisco Regional Office| 143035|801-67532|CORINTHIAN WEALTH MANAGEMENT|CORINTHIAN WEALTH MANAGEMENT, LLC|1871 THE ALAMEDA, SUITE 240||SAN JOSE CA 95126|USA|||  ||DAVID SAMUELS|408-995-0915|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|01/29/2007|0|0|0|0|0|0
San Francisco Regional Office| 143150|801-67571|QCM, LLC|QCM, LLC|770 TAMALPAIS DRIVE|SUITE 204|CORTE MADERA CA 94925|USA|||  ||STEPHEN A. BRADLEY|415-927-8430|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/16/2007|0|0|0|0|0|0
San Francisco Regional Office| 143203|801-67566|PALADIN REGISTRY, INC.|PALADIN REGISTRY, INC.|395 S. HIGHWAY 65|SUITE A-275|LINCOLN CA 95648|USA|||  ||JOHN BRUCE WAYMIRE|916-253-3334|Corporation|Other|APPROVED|02/21/2007|0|0|0|0|0|0
San Francisco Regional Office| 143308|801-67620|TW ASSET MANAGEMENT LLC|TW ASSET MANAGEMENT LLC|ONE MONTGOMERY STREET|SUITE 3700|SAN FRANCISCO CA 94104|USA|||  ||MARK FISHER|415-364-2500|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|03/23/2007|0|0|0|0|0|0
San Francisco Regional Office| 143309|801-67647|MCCUTCHEN GROUP LLC|MCCUTCHEN GROUP LLC|925 FOURTH AVENUE, SUITE 2288||SEATTLE WA 98104|USA|||  ||MATTHEW MCCUTCHEN|206-816-6850|Limited Liability Company|Selection of other advisers, Other, Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/11/2007|0|0|0|0|0|0
San Francisco Regional Office| 143409|801-67715|LEWIS ASSET MANAGEMENT|LEWIS ASSET MANAGEMENT, LLC|315 MONTGOMERY STREET|8TH FLOOR|SAN FRANCISCO CA 94104|USA|||  ||DAVID W. LEWIS|415-829-4214|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|04/03/2007|0|0|1|0|0|0
San Francisco Regional Office| 143417|801-68234|ROBINSWOOD FINANCIAL|ROBINSWOOD FINANCIAL LLC|5400 CARILLON POINT|BUILDING 5000, 4TH FLOOR|KIRKLAND WA 98033|USA|||  ||EDWARD L. WARD|425-576-4160|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|08/20/2007|0|0|0|0|0|0
San Francisco Regional Office| 143425|801-67656|STEWART WEALTH MANAGEMENT, INC.|STEWART WEALTH MANAGEMENT, INC.|1050 NORTHGATE DRIVE|SUITE 50|SAN RAFAEL CA 94903|USA|||  ||BENJAMIN STEWART|415-499-1544|Corporation|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|03/20/2007|0|0|0|0|0|0
San Francisco Regional Office| 143536|801-67709|GASKIN WEALTH MANAGEMENT|GASKIN WEALTH MANAGEMENT, LLC|318 DIABLO ROAD, STE. 230||DANVILLE CA 94526-3443|USA|||  ||GREGORY S. GASKIN|925-837-0955|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|03/30/2007|0|0|0|0|0|0
San Francisco Regional Office| 143543|801-68251|BELLATORE FINANCIAL, INC.|BELLATORE FINANCIAL, INC.|333 WEST SAN CARLOS STREET|SUITE 1200|SAN JOSE CA 95110|USA|||  ||JONATHAN SCHEID|408-998-7700|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/04/2007|0|1|0|0|0|0
San Francisco Regional Office| 143567|801-67839|SMEAD CAPITAL MANAGEMENT, INC.|SMEAD CAPITAL MANAGEMENT, INC.|1420 FIFTH AVENUE|SUITE 2625|SEATTLE WA 98101|USA|||  ||BRENDA LARSON|206-838-9850|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|04/26/2007|0|0|0|0|0|0
San Francisco Regional Office| 143601|801-68016|CAIRN INVESTMENT GROUP|CAIRN INVESTMENT GROUP, INC.|121 SW MORRISON|SUITE 1060|PORTLAND OR 97204|USA|||  ||JAMES D. PARR|503-241-4901|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|06/07/2007|0|0|0|0|0|0
San Francisco Regional Office| 143606|801-67747|REDMILE GROUP|REDMILE GROUP, LLC|ONE FERRY BLDG, SUITE 255||SAN FRANCISCO CA 94111|USA|||  ||J. NIEL ARMSTRONG|415 677-1557|Limited Liability Company|Other|APPROVED|04/19/2007|0|0|0|0|0|0
San Francisco Regional Office| 143609|801-67799|PIONEER SQUARE ADVISORS, LLC|PIONEER SQUARE ADVISORS, LLC|1221 SECOND AVENUE, SUITE 320||SEATTLE WA 98101|USA|||  ||ANDREW ROBBINS|212-863-9798|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|04/26/2007|0|0|0|0|0|0
San Francisco Regional Office| 143629|801-67801|SABIN INVESTMENT MANAGEMENT, INC.|SABIN INVESTMENT MANAGEMENT, INC.|5102 99TH AVE. COURT||GIG HARBOR WA 98335|USA|||  ||LARRY D. SABIN|206-999-2014|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|04/24/2007|0|0|0|0|0|0
San Francisco Regional Office| 143673|801-67820|PENSION CONSULTING ALLIANCE, INC.|PENSION CONSULTING ALLIANCE, INC.|514 NW 11TH AVE. #203||PORTLAND OR 97209-3227|USA|||  ||JEREMY THIESSEN|503-226-1050|Corporation|Pension consulting services|APPROVED|05/04/2007|0|0|0|0|0|0
San Francisco Regional Office| 143674|801-67822|PARTNERS GROUP REAL ESTATE, LLC|PARTNERS GROUP REAL ESTATE, LLC|150 SPEAR STREET|SUITE 1850|SAN FRANCISCO CA 94105|USA|||  ||PAMELA M. ALSTERLIND|415-537-8585|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/03/2007|0|0|0|0|0|0
San Francisco Regional Office| 143780|801-68039|AEQUITAS INVESTMENT MANAGEMENT, LLC|AEQUITAS INVESTMENT MANAGEMENT, LLC|5300 MEADOWS ROAD|SUITE 400|LAKE OSWEGO OR 97035|USA|||  ||ANDREW MACRITCHIE|(503) 419-3500|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/19/2007|0|0|0|0|0|0
San Francisco Regional Office| 143817|801-67921|PATHWAYS ADVISORY GROUP, INC.|PATHWAYS ADVISORY GROUP, INC.|684 WEST CROMWELL AVENUE|SUITE 103|FRESNO CA 93711|USA|||  ||DAVID WILLIAMSON|559-431-4700|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters|APPROVED|06/08/2007|0|0|0|0|0|0
San Francisco Regional Office| 143881|801-69145|ALPHASHARES, LLC|ALPHASHARES, LLC|1515 OAKLAND BLVD.|SUITE 260|WALNUT CREEK CA 94596|USA|||  ||MARK ADAMS|925-930-6991|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|05/02/2008|0|0|0|0|0|0
San Francisco Regional Office| 144012|801-68144|BABCOCK & BROWN INFRASTRUCTURE MANAGEMENT US LLC|BABCOCK & BROWN INFRASTRUCTURE MANAGEMENT US LLC|ONE LETTERMAN DRIVE|BUILDING D|SAN FRANCISCO CA 94129|USA|||  ||NANCY J. HITCHINGS|415-512-1515|Limited Liability Company|Other|APPROVED|08/01/2007|0|0|0|0|0|0
San Francisco Regional Office| 144107|801-67943|SECURITY GLOBAL INVESTORS|SECURITY GLOBAL INVESTORS, LLC|801 MONTGOMERY STEET|2ND FLOOR|SAN FRANCISCO CA 94133-5164|USA|||  ||AMY LEE|(785) 438-3226|Limited Liability Company|Portfolio management for investment companies, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|06/05/2007|0|0|0|0|0|0
San Francisco Regional Office| 144185|801-67993|NC III, L.L.C.|NC III, L.L.C.|649 SAN RAMON VALLEY BLVD||DANVILLE CA 94526|USA|||  ||CAROL CHRISTENSEN|925-820-9970|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/13/2007|0|0|0|0|0|0
San Francisco Regional Office| 144356|801-68295|AMERICAN SERVICE CORP.|AMERICAN SERVICE CORP.|123 E. POWELL BLVD., STE 210||GRESHAM OR 97030|USA|||  ||PAMELA ABBOTT|503-661-9010|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/06/2007|0|0|0|0|0|0
San Francisco Regional Office| 144377|801-68050|CYGNUS CAPITAL LLC|CYGNUS CAPITAL LLC|4500 SW KRUSE WAY|SUITE 300|LAKE OSWEGO OR 97035|USA|||  ||SHAWN WILLARD|(503) 905-3450|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|06/25/2007|0|0|0|0|0|0
San Francisco Regional Office| 144422|801-68118|D'ANNUNZIO CONSULTING GROUP, LLC|D'ANNUNZIO CONSULTING GROUP, LLC|2111 NORTH 30TH STREET||TACOMA WA 98403|USA|||  ||HOLLY D'ANNUNZIO|253-272-1972|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Other|APPROVED|07/12/2007|0|0|0|0|0|0
San Francisco Regional Office| 144480|801-68164|CLEARROCK CAPITAL LLC|CLEARROCK CAPITAL LLC|491 N. MAIN STREET||KETCHUM ID 83340|USA|P.O. BOX 607||KETCHUM ID 83340|USA|JAMES EVERITT|208-720-3741|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|07/20/2007|0|0|0|0|0|0
San Francisco Regional Office| 144481|801-68097|ARGOS WEALTH ADVISORS LLC|ARGOS WEALTH ADVISORS LLC|333 AVILA STREET||SAN FRANCISCO CA 94123|USA|||  ||MICHAEL H. RUSSO|888-348-0003|Limited Liability Company|Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|07/12/2007|0|0|0|0|0|0
San Francisco Regional Office| 144489|801-68163|WELZ FINANCIAL SERVICES, INC.|WELZ FINANCIAL SERVICES, INC.|2431 WEST MARCH LANE|SUITE 100|STOCKTON CA 95207|USA|||  ||TAYLOR M. WELZ|209-472-9359|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|07/23/2007|0|0|0|0|0|0
San Francisco Regional Office| 144546|801-68178|PAUL CAPITAL INVESTMENTS|PAUL CAPITAL INVESTMENTS LLC|50 CALIFORNIA ST.|SUITE 3000|SAN FRANCISCO CA 94111|USA|||  ||HEATHER BURTON|415-283-4300|Limited Liability Company|Other|APPROVED|08/20/2007|0|1|0|0|0|0
San Francisco Regional Office| 144589|801-68161|PRESIDIUM PARTNERS, LLC|PRESIDIUM PARTNERS, LLC|2400 CAMINO RAMON|SUITE 178|SAN RAMON CA 94583|USA|||  ||FRANK NEWSOM|925-790-0400|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|08/01/2007|0|0|0|0|0|0
San Francisco Regional Office| 144731|801-68299|IMPRINT CAPITAL ADVISORS, LLC|IMPRINT CAPITAL ADVISORS, LLC|1236 VALLEJO STREET||SAN FRANCISCO CA 94109|USA|||  ||TAYLOR JORDAN|303-829-1999|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Other|APPROVED|09/29/2007|0|0|0|0|0|0
San Francisco Regional Office| 144735|801-68278|RIDLEY ASSET MANAGEMENT, LLC|RIDLEY ASSET MANAGEMENT, LLC|48 LOWER NORTH TERRACE||TIBURON CA 94920|USA|775 E. BLITHEDALE AVE.|#305|MILL VALLEY CA 94941|UNITED STATES|CRAIG REISFIELD|415-381-5583|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|08/23/2007|0|0|0|0|0|0
San Francisco Regional Office| 144773|801-68940|CONCENTRIC WEALTH MANAGEMENT LLC|CONCENTRIC WEALTH MANAGEMENT LLC|251 LAFAYETTE CIRCLE|SUITE 200|LAFAYETTE CA 94549|USA|||  ||ERIC FLETT|925-962-1100|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED-120|04/08/2008|0|0|0|0|0|0
San Francisco Regional Office| 144844|801-68280|ICM PARTNERS, LLC|ICM PARTNERS, LLC|601 W. MAIN AVENUE|SUITE 600|SPOKANE WA 99201-0613|USA|||  ||ROBERT J. LAW|509-455-3588|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|08/23/2007|0|0|0|0|0|0
San Francisco Regional Office| 144850|801-68754|VERITAS WEALTH ADVISORS, LLC|VERITAS WEALTH ADVISORS, LLC|100 CLOCK TOWER PLACE|#215|CARMEL CA 93923|USA|||  ||DANIEL J. GROVER|(831) 625-5800|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|01/23/2008|0|1|0|0|0|0
San Francisco Regional Office| 144875|801-68289|GINSBURG FINANCIAL ADVISORS|GINSBURG FINANCIAL ADVISORS, INC.|6201 MEDAU PLACE|SUITE 101|OAKLAND CA 94611|USA|||  ||LARRY P. GINSBURG|(510) 339-3933|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Publication of periodicals or newsletters, Other|APPROVED|08/30/2007|0|0|0|0|0|0
San Francisco Regional Office| 144878|801-69033|DBL INVESTORS, LLC|DBL INVESTORS, LLC|ONE BUSH STREET|12TH FLOOR|SAN FRANCISCO CA 94104-4418|USA|||  ||CAROL WONG|415-354-2867|Limited Liability Company|Other|APPROVED|04/14/2008|0|0|0|0|0|0
San Francisco Regional Office| 144903|801-68284|BRADLEY & COMPANY, LLC|BRADLEY & COMPANY, LLC|45 BELDEN PLACE|THIRD FLOOR|SAN FRANCISCO CA 94104|USA|||  ||MICHAEL BRADLEY|415-655-5500|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|09/06/2007|0|0|0|0|0|0
San Francisco Regional Office| 144948|801-68655|WEALTHMARK, LLC|WEALTHMARK, LLC|2200 RIMLAND DRIVE, SUITE 205||BELLINGHAM WA 98226|USA|||  ||BENJAMIN ARTHUR ESGET|(360) 734-1323|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|12/20/2007|0|0|0|0|0|0
San Francisco Regional Office| 145005|801-68392|JOCELYN INVESTMENT MANAGEMENT, LLC|JOCELYN INVESTMENT MANAGEMENT, LLC|145 NORTH REDWOOD DRIVE||SAN RAFAEL CA 94903|USA|||  ||ROBERT A. JOCELYN|415-256-1795|Limited Liability Company|Portfolio management for individuals and/or small businesses, Pension consulting services|APPROVED|10/10/2007|0|0|0|0|0|0
San Francisco Regional Office| 145096|801-68337|HUTCHINSON & ZIEGLER FINANCIAL ADVISORS, INC.|HUTCHINSON & ZIEGLER FINANCIAL ADVISORS, INC.|1010 B STREET, SUITE 325||SAN RAFAEL CA 94901|USA|||  ||HEATHER HUTCHINSON|415-259-3933|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|09/12/2007|0|0|0|0|0|0
San Francisco Regional Office| 145167|801-68652|SGL INVESTMENT ADVISORS, INC.|SGL INVESTMENT ADVISORS, INC.|283 W. FRONT STREET SUITE 302||MISSOULA MT 59802-4328|USA|||  ||KIM SMITH|406-721-0999|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|01/07/2008|0|0|0|0|0|0
San Francisco Regional Office| 145177|801-68367|BANDON CAPITAL MANAGEMENT, LLC|BANDON CAPITAL MANAGEMENT, LLC|1613 SW HUME CT||PORTLAND OR 97219|USA|||  ||BRIE VALANT|503-477-8100|Limited Liability Company|Portfolio management for individuals and/or small businesses, Selection of other advisers, Other|APPROVED|09/18/2007|0|0|0|0|0|0
San Francisco Regional Office| 145179|801-68424|AUXANO ADVISORS|AUXANO ADVISORS, LLC|401 PARKPLACE, SUITE 400||KIRKLAND WA 98033|USA|||  ||PETER W. CLINE|425-889-1261|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|10/04/2007|0|0|0|0|0|0
San Francisco Regional Office| 145317|801-69136|BLAYLOCK ROBERT VAN, LLC|BLAYLOCK ROBERT VAN, LLC|350 FRANK H. OGAWA PLAZA|10TH FLOOR|OAKLAND CA 94612|USA|||  ||STEVE SINGLTON|510-208-6101|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|05/08/2008|0|1|0|0|0|0
San Francisco Regional Office| 145322|801-68459|FULCRUM CAPITAL, LLC|FULCRUM CAPITAL, LLC|1420 FIFTH AVE|SUITE 2200|SEATTLE WA 98101|USA|||  ||ROBERT KUEHN|206-223-9790|Limited Liability Company|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|10/23/2007|0|0|0|0|0|0
San Francisco Regional Office| 145427|801-68542|WEALTH TRAK FINANCIAL SERVICES, LLC|WEALTH TRAK FINANCIAL SERVICES, LLC|886 NW COUNCIL DRIVE||GRESHAM OR 97030-3752|USA|||  ||ROBERT B. KEHOE|503-667-4186|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|11/20/2007|0|0|0|0|0|0
San Francisco Regional Office| 145684|801-68565|HUNTSMAN GAY CAPITAL PARTNERS, LLC|HUNTSMAN GAY CAPITAL PARTNERS, LLC|1900 UNIVERSITY AVENUE|SUITE 201|PALO ALTO CA 94303|USA|||  ||MR. GREGORY M. BENSON|6503214910|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|11/26/2007|0|0|0|0|0|0
San Francisco Regional Office| 145711|801-69073|FREESTONE CAPITAL MANAGEMENT, LLC|FREESTONE CAPITAL MANAGEMENT, LLC|1191 2ND AVE|SUITE 2100|SEATTLE WA 98101|USA|||  ||JANICE GREENE|206-398-2018|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters, Other|APPROVED|04/25/2008|0|0|0|0|0|0
San Francisco Regional Office| 145820|801-68809|C.S. ANDERSON FINANCIAL SERVICES, INC|C.S. ANDERSON FINANCIAL SERVICES, INC|127 PARFITT WAY S.W||BAINBRIDGE ISLAND WA 98110|USA|||  ||CHARLES S. ANDERSON|206-780-1755|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|01/28/2008|0|0|0|0|0|0
San Francisco Regional Office| 145837|801-68685|SORTINO INVESTMENT ADVISORS, LLC|SORTINO INVESTMENT ADVISORS, LLC|61 POLITZER DRIVE||MENLO PARK CA 94025|USA|||  ||JAMES KAFFEN|949-481-5051|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED-120|01/07/2008|0|0|0|0|0|0
San Francisco Regional Office| 145884|801-68630|HANA ROAD CAPITAL LLC|HANA ROAD CAPITAL LLC|520 PIKE STREET|SUITE 2600|SEATTLE WA 98101|USA|||  ||WALTER F. WALKER|206-223-8550|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|12/18/2007|0|0|0|0|0|0
San Francisco Regional Office| 145900|801-68861|FOUNDATIONS ASSET MANAGEMENT, LLC|FOUNDATIONS ASSET MANAGEMENT, LLC|3601 C STREET|SUITE 600|ANCHORAGE AK 99503|USA|||  ||MICAHAEL W. SHAMBURGER|907-646-7373|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|03/10/2008|0|0|0|0|0|0
San Francisco Regional Office| 145934|801-68789|TRADEWINDS CAPITAL MANAGEMENT, LLC|TRADEWINDS CAPITAL MANAGEMENT, LLC|12 BELLWETHER WAY, SUITE 201||BELLINGHAM WA 98225|USA|||  ||BRYANT ENGREBRETSON|360-715-9000|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED|02/06/2008|0|0|0|0|0|0
San Francisco Regional Office| 145983|801-68835|DAVID GRATKE INVESTMENT ADVISORS, LLC|DAVID GRATKE INVESTMENT ADVISORS, LLC|10167 SW MORRISON STREET||PORTLAND OR 97225|USA|||  ||TODD SCHWARTZ|503-635-5244|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|02/07/2008|0|0|0|0|0|0
San Francisco Regional Office| 146178|801-69337|BROUWER & JANACHOWSKI, LLC|BROUWER & JANACHOWSKI, LLC|1831 TIBURON BLVD||TIBURON CA 94920|USA|||  ||SUZANNE WILLIAMSON|415-435-8330|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|06/24/2008|0|0|0|0|0|0
San Francisco Regional Office| 146253|801-68834|SUNDOWNER CAPITAL MANAGEMENT LLC|SUNDOWNER CAPITAL MANAGEMENT LLC|796 SW BRADBURY WAY|SUITE 102|BEND OR 97702|USA|PO BOX 66||BEND OR 97709|USA|DOUGLAS E. DOWNER|541.389.3311|Limited Liability Company|Portfolio management for individuals and/or small businesses|APPROVED|02/14/2008|0|0|0|0|0|0
San Francisco Regional Office| 146284|801-68871|FILIGREE ADVISORS|FILIGREE ADVISORS LLC|260 IRON MOUNTAIN BLVD||LAKE OSWEGO OR 97034|USA|||  ||GERALD J GRAVES|503-866-0656|Limited Liability Company|Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED-120|03/11/2008|0|0|0|0|0|0
San Francisco Regional Office| 146324|801-68866|VALLEY WEALTH, INC.|VALLEY WEALTH, INC.|1101 SYLVAN AVE. #B6||MODESTO CA 95350|USA|||  ||JEFFREY SCOTT BURROW|209-579-5900|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers|APPROVED-120|02/28/2008|0|0|0|0|0|0
San Francisco Regional Office| 146386|801-68943|VICTORIA 1522 INVESTMENTS, LP|VICTORIA 1522 INVESTMENTS, LP|244 CALIFORNIA STREET|SUITE 610|SAN FRANCISCO CA 94111-4351|USA|||  ||SALVADOR IBANEZ DE OPACUA|415-362-1522|Other (specify)|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|03/19/2008|0|0|0|0|0|0
San Francisco Regional Office| 146447|801-68957|LANCASTER CAPITAL MANAGEMENT, LLC|LANCASTER CAPITAL MANAGEMENT, LLC|1110 BURLINGAME AVENUE|SUITE 203|BURLINGAME CA 94010|USA|||  ||DAVID LANCASTER|650-401-7700|Limited Liability Company|Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|04/03/2008|0|0|0|0|0|0
San Francisco Regional Office| 146451|801-68870|ASCENSION WEALTH PARTNERS, LLC|ASCENSION WEALTH PARTNERS, LLC|2000 POWELL STREET|SUITE 1203|EMERYVILLE CA 94608|USA|||  ||MICHAEL R. SAPPINGTON|510-547-7200|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|02/19/2008|0|0|0|0|0|0
San Francisco Regional Office| 146531|801-68913|THINKCAPITAL MANAGEMENT LLC|THINKCAPITAL MANAGEMENT LLC|600 MONTGOMERY STREET|16TH FLOOR|SAN FRANCISCO CA 94111|USA|||  ||THOMAS FORCIER|02076148399|Limited Liability Company|Portfolio management for investment companies, Publication of periodicals or newsletters|APPROVED|03/07/2008|0|0|0|0|0|0
San Francisco Regional Office| 146569|801-69114|INTEGRAL INVESTMENT ADVISORS, INC.|INTEGRAL INVESTMENT ADVISORS, INC.|1111 I STREET|SUITE 304|MODESTO CA 95354|USA|||  ||JOHN CARR|503-635-5244|Corporation|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED-120|05/07/2008|0|0|0|0|0|0
San Francisco Regional Office| 146665|801-68973|ELECTRANET CAPITAL, LP|ELECTRANET CAPITAL, LP|580 CALIFORNIA STREET|SUITE 1601|SAN FRANCISCO CA 94104|USA|||  ||LARA ALDAG|415-283-3332|Partnership|Other|APPROVED-120|04/09/2008|0|0|0|0|0|0
San Francisco Regional Office| 146720|801-68987|KOCHIS FITZ/QUINTILE LLC|ASPIRIANT, LLC|101 SECOND STREET|SUITE 1400|SAN FRANCISCO CA 94105|USA|||  ||MICHAEL KOSSMAN|415-371-7800|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Selection of other advisers, Publication of periodicals or newsletters|APPROVED|04/08/2008|0|0|0|0|0|0
San Francisco Regional Office| 146747|801-69012|PARTNER FUND MANAGEMENT, L.P.|PARTNER FUND MANAGEMENT, L.P.|1 MARKET STREET|SUITE 2200 STEUART TOWER|SAN FRANCISCO CA 94105|USA|||  ||LINDA FITZGERALD|415-281-1000|Partnership|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|04/10/2008|0|0|0|0|0|0
San Francisco Regional Office| 146756|801-69014|PARTNER ADVISORY SERVICES, L.P.|PARTNER ADVISORY SERVICES, L.P.|1 MARKET STREET|SUITE 2200, STEUART TOWER|SAN FRANCISCO CA 94105|USA|||  ||LINDA FITZGERALD|415-281-1000|Partnership|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|04/11/2008|0|0|0|0|0|0
San Francisco Regional Office| 146757|801-69015|PARTNER INVESTMENT MANAGEMENT, L.P.|PARTNER INVESTMENT MANAGEMENT, L.P.|1 MARKET STREET|SUITE 2200, STEUART TOWER|SAN FRANCISCO CA 94105|USA|||  ||LINDA FITZGERALD|415-281-1000|Partnership|Portfolio management for businesses or institutional clients (other than investment companies), Other|APPROVED|04/11/2008|0|0|0|0|0|0
San Francisco Regional Office| 146824|801-69092|THINKCAPITAL ADVISERS, LLC|THINKCAPITAL ADVISERS, LLC|600 MONTGOMERY STREET|16TH FLOOR|SAN FRANCISCO CA 94111|USA|||  ||HARRIET BRITT|415-249-6321|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED|05/02/2008|0|2|0|0|0|0
San Francisco Regional Office| 146856|801-69027|PARK, MILLER, LLC|PARK, MILLER, LLC|2121 NORTH CALIFORNIA BLVD.|SUITE 290|WALNUT CREEK CA 94596|USA|||  ||STUART J. PARK|925-974-3323|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|04/18/2008|0|0|0|0|0|0
San Francisco Regional Office| 146902|801-69178|SIENA WEALTH MANAGEMENT, INC.|SIENA WEALTH MANAGEMENT, INC.|3055 OLIN AVENUE|SUITE 2000|SAN JOSE CA 95128|USA|||  ||MICHAEL ALEN WEAKLEY|(408) 260-3108|Corporation|Portfolio management for individuals and/or small businesses|APPROVED|05/21/2008|0|0|0|0|0|0
San Francisco Regional Office| 146912|801-69082|E*TRADE FINANCIAL ADVISORY SERVICES, INC.|E*TRADE FINANCIAL ADVISORY SERVICES, INC.|4500 BOHANNON DRIVE||MENLO PARK CA 94025|USA|||  ||TIMOTHY WILLIAMS|703-236-8234|Corporation|Other|APPROVED|05/07/2008|0|0|0|0|0|0
San Francisco Regional Office| 146958|801-69288|DARWISH, RYAN|DARWISH, RYAN|5070 DONALD STREET||EUGENE OR 97405|USA|||  ||RYAN DARWISH|541-345-9025|Sole Proprietorship|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED|06/12/2008|0|0|0|0|0|0
San Francisco Regional Office| 147053|801-69156|CTC CONSULTING, LLC|CTC CONSULTING, LLC|4380 SW MACADAM AVENUE|THE RIVER FORUM, SUITE 490|PORTLAND OR 97239-6407|USA|||  ||KATHRYN L. KAMERER|503-778-2384|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers, Other|APPROVED|03/31/2008|0|0|0|0|0|0
San Francisco Regional Office| 147054|801-69098|IRVINGTON CAPITAL LLC|IRVINGTON CAPITAL LLC|5 CENTERPOINTE|SUITE 400|LAKE OSWEGO OR 97035|USA|||  ||MICHAEL ELFERS|866-724-0046|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|04/22/2008|0|0|0|0|0|0
San Francisco Regional Office| 147086|801-69129|PACIFIC VALUE, LLC|PACIFIC VALUE, LLC|101 SOUTH CAPITAL BLVD.|SUITE 502|BOISE ID 83702|USA|||  ||TODD SCHWARTZ|(503) 635-5244|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers|APPROVED|05/12/2008|0|0|0|0|0|0
San Francisco Regional Office| 147200|801-69190|AKT WEALTH ADVISORS, LP|AKT WEALTH ADVISORS, LP|5665 SW MEADOWS RD|SUITE 200|LAKE OSWEGO OR 97035|USA|||  ||K. SCOTT BARCHUS|503-620-5329|Partnership|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED|05/27/2008|0|0|0|0|0|0
San Francisco Regional Office| 147237|801-69222|SOCIALLY RESPONSIBLE INVESTORS|SOCIALLY RESPONSIBLE INVESTORS, INC.|8450 NEPHI WAY||FAIR OAKS CA 95628|USA|||  ||EVAN F. COLE|916 792-1050|Corporation|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|06/03/2008|0|0|0|0|0|0
San Francisco Regional Office| 147435|801-69265|QUANTUM PACIFIC INVESTMENTS, LLC|QUANTUM PACIFIC INVESTMENTS, LLC|100 PINE STREET|SUITE 2700|SAN FRANCISCO CA 94111|USA|||  ||LEON ROOT|415-229-9012|Limited Liability Company|Other|APPROVED|06/30/2008|0|1|0|0|0|0
San Francisco Regional Office| 147512|801-69352|FLUENT WEALTH PARTNERS|FLUENT WEALTH PARTNERS, LLC|1530 THE ALAMEDA|SUITE 115|SAN JOSE CA 95126|USA|||  ||JASON PAPIER|408-470-8395|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses|APPROVED-120|07/09/2008|0|0|0|0|0|0
San Francisco Regional Office| 147575|801-69328|THE MUTUAL FUND STORE|TMFS - FRESNO, LLC|9423 N. FORT WASHINGTON|UNIT# 104|FRESNO CA 93720|USA|||  ||JIM SHERWOOD|(314)432-3320|Limited Liability Company|Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies)|APPROVED-120|07/08/2008|0|0|0|0|0|0
San Francisco Regional Office| 147690|801-69376|NEW WORLD INVESTMENT MANAGEMENT, LLC|NEW WORLD INVESTMENT MANAGEMENT, LLC|530 BUSH STREET, 9TH FLOOR||SAN FRANCISCO CA 94108|USA|||  ||CHAD PARKS|415-477-8800|Limited Liability Company|Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients (other than investment companies), Pension consulting services, Selection of other advisers|APPROVED-120|07/31/2008|0|0|0|0|0|0
